Division 1: Declaration of
Policy
Section 2-41
Statement of Purpose
It is essential in a democratic system that the public have confidence in
the integrity, independence, and impartiality of those who act on their behalf
in government. Such confidence depends not only on the conduct of those who
exercise official power, but on the availability of aid or redress to all
persons on equal terms and on the accessibility and dissemination of information
relating to the conduct of public affairs. For the purpose of promoting
confidence in the government of the City of San Antonio and thereby enhancing
the city’s ability to function effectively, this code of ethics is adopted. The
code establishes standards of conduct, disclosure requirements, and enforcement
mechanisms relating to city officials and employees and others whose actions
inevitably affect public faith in city government, such as former city officials
and employees, candidates for public office, persons doing business with the
city, and lobbyists. By prohibiting conduct incompatible with the city’s best
interests and minimizing the risk of any appearance of impropriety, this code of
ethics furthers the legitimate interests of democracy.
Public service is a
public trust. All city officials and employees are stewards of the public trust.
They have a responsibility to the citizens of San Antonio to enforce the City
Charter and the associated ordinances and codes. To ensure and enhance public
confidence in City Government, each city official must not only adhere to the
principles of ethical conduct set forth in this code and technical compliance
therewith, but they must scrupulously avoid the appearance of impropriety at all
times.
As used in this code of ethics, the following words and phrases have the
meaning ascribed to them in this Section, unless the context requires otherwise
or more specific definitions set forth elsewhere in this code
apply
(a)
Acceptance.
A written or
verbal indication that someone agrees; “Acceptance” of an offer of subsequent
employment or business opportunities includes legally binding contracts and all
informal understandings that the parties expect to be carried out. An agreement, either by
express act or by implication from conduct, to the terms of an offer so that a
binding contract is formed.
(b)
Affiliated.
Business
entities are “affiliated” if one is the parent or subsidiary of the other or if
they are subsidiaries of the same parent business entity.
(c)
Affinity.
Relationship
by “affinity” (by marriage) is defined in Sections 573.024 and 573.025 of the
Texas Government Code.
(d)
Before the
City. Representation
or appearance “before the city” means before the City Council; before a board,
commission, or other city entity; or before a city official or employee. Representation “before the city” does not include
representation before a board where members of said board are not wholly
appointed by the City Council.
(e)
Benefit. “Benefit”
means anything reasonably regarded as pecuniary gain or pecuniary advantage,
including a benefit to any other person in whose welfare the beneficiary has a
direct and substantial interest.
(f)
Business
Entity. "Business
entity" means a sole proprietorship, partnership, firm, corporation, holding
company, joint‑stock company, receivership, trust, unincorporated association,
or any other entity recognized by law.
(g)
Candidate. “Candidate”
means a person who knowingly and willingly takes affirmative action for the
purpose of gaining nomination or election to public office or for the purpose of
satisfying financial obligations incurred by the person in connection with the
campaign for nomination or election.
Examples of affirmative action include:
(1)
the
filing of a campaign treasurer appointment, except that the filing does not
constitute candidacy or an announcement of candidacy for purposes of automatic
resignation provisions of Article XVI, Section 65, or Article XI, Section 11, of
the Texas Constitution;
(2)
the
filing of an application for a place on a ballot;
(3)
the
making of a public announcement of a definite intent to run for public office in
a particular election, regardless of whether the specific office is mentioned in
the announcement;
(4)
before
a public announcement of intent, the making of a statement of definite intent to
run for public office and the soliciting of support by letter or other mode of
communication; and
(5)
the
soliciting or accepting of a campaign contribution or the making of a campaign
expenditure.
(h)
City. “City”
means the City of San Antonio.
(i)
Code of
Ethics. “Code of
ethics,” “ethics code,” or “this
code” means Divisions 1 through 10
of this Chapter, its amendment(s) and/or
enhanced definitions.
(j)
“Complainant”
means an
individual who has filed a sworn complaint with the City Clerk as provided in
Division 8, Section 2-83 (Complaints).
(k)
Confidential
Government Information.
“Confidential government information” includes all information held by the city
that is not available to the public under the Texas Public Information Act and
any information from a meeting closed to the public pursuant to the Texas Open
Meetings Act, unless disclosure is permitted under the Open Meetings
Act.
(l)
Consanguinity.
Relationship
by “consanguinity” (by blood) is defined in Sections 573.022 and 573.023 of the
Texas Government Code.
(m)
Discretionary
Contract.
“Discretionary contract” means any contract other than those which by law must
be awarded on a low or high qualified bid basis. Discretionary contracts do not
include those contracts subject to Section 252.022(a)(7) of the Texas Local
Government Code or those contracts not involving an exercise of judgment or
choice.
(n)
Economic
Interest. “Economic
interest” includes, but is not limited to, legal or equitable property interests
in land, chattels, and intangibles, and contractual rights having more than de
minimis value. Service by a city official or employee as an officer, director,
advisor, or otherwise active participant in an educational, religious,
charitable, fraternal, or civic organization does not create for that city
official or employee an economic interest in the property of the
organization.
Ownership of an interest in a mutual or common investment fund that holds
securities or other assets is not an economic interest in such securities or
other assets unless the person in question participates in the management of the
fund. Ownership of stock in a publicly traded
corporation does not constitute ownership for purposes of this code if the
employee or official owns less than 10% of the voting stock or shares of the
entity and the value of the stock is less than $15,000.
(o)
Employee. Except as
provided in Section 2-52 of Division 2 (Prohibited Interests in
Contracts), Section 2-58(c) of Division 3 (Discretionary Contracts), and
Division 7 (Financial Disclosure), the term “employee” or “city employee” is any
person listed on the City of San Antonio payroll as an employee, whether
part-time or full-time.
(p)
Former City
Official or Employee. A “former city official” or “former city
employee” is a person whose city duties terminate on or after the effective date
of this code.
(q)
Gift. “Gift”
means a voluntary transfer of property (including the payment of money) or the conferral of a benefit having pecuniary value
(such as the rendition of services or the forbearance of collection on a debt),
unless consideration of equal or greater value is received by the
donor.
(r)
Indirect
Ownership. A person
“indirectly owns” an equity interest in a business entity where the interest is
held through a series of business entities, some of which own interests in
others.
(s)
Intentionally.
A person
acts intentionally, or with intent, with respect to the nature of his conduct or
to a result of his conduct when it is his conscious objective or desire to
engage in the conduct or cause the result.
(t)
Knowingly. A person
acts knowingly, or with knowledge, with respect to the nature of his or her
conduct or to circumstances surrounding his or her conduct when he or she is
aware of the nature of his or her conduct or that the circumstances exist. A
person acts knowingly, or with knowledge, with respect to a result of his or her
conduct when he or she is aware that his or her conduct is reasonably certain to
cause the result.
(u)
Official. Except in
Division 5 (Lobbyists), the term “official” or “city official” includes the
following persons:
The Mayor;
Members of the City Council;
Municipal Court Judges and Magistrates;
The City Manager;
Deputy City Manager;
Assistant City Managers;
Assistants to the City Manager;
City Clerk;
Assistant City Clerk;
All department heads and assistant department heads;
Internal Auditor and all assistant internal auditors;
Market Square Superintendent;
Assistant to City Council;
Assistant to Mayor;
Secretary to City Manager;
Executive Secretaries;
Community Action Manager;
Public Utilities Supervisor; and
Members
of all boards, commissions (except the Youth Commission whose members are
minors), committees, and other bodies created by the City Council pursuant to
federal or state law or City ordinance, including entities that may be advisory
only in nature, who are appointed by City Council or who are designated in the
by-laws or organization papers of the entity to serve on behalf of the city; and
board members
of any entity who are appointed by the City
Council to such board membership.
The term “official” has a different meaning in Division 5 (Lobbyists),
which is defined in Section 2-62(a) of that Division. The term “officer” is defined in
Section 2-52(e)(2) of Division 2 (Prohibited
Interests in Contracts) and Section 2-58(c)(2) of Division 3 (Discretionary
Contracts) and is not synonymous with any use of the term “official” in this
code.
(v)
Official
Action. “Official
action” includes:
(1)
any
affirmative act (including the making of a recommendation) within the scope of,
or in violation of, an official or employee’s duties, and
(2)
any failure
to act, if the official or employee is under a duty to act and knows that
inaction is likely to affect substantially an economic interest of the official
or employee or any person or entity listed in Subsections 2-43(a)(2) through (9)
of Division 2 (Conflicts of Interest).
(w)
Official
Information. “Official
information” includes information gathered pursuant to the power or authority of
city government.
(x)
Ownership. Ownership
of an interest in a mutual or common investment fund that holds securities or other assets does not
constitute direct or indirect ownership of such securities or other assets
unless the person in question participates in the management of the fund. Ownership of stock in a publicly traded corporation does
not constitute ownership for purposes of this code if the employee or official
owns less than 10% of the voting stock or shares of the entity and the value of
the stock is less than $15,000.
(y)
Partner. Someone who
engages in an activity or undertaking with another; “Partner” includes partners in general
partnerships, limited partnerships, and joint ventures.
One who shares or takes part with another
especially in a venture with shared benefits and shared risks.
(z)
Personally
and Substantially Participated. “Personally
and Substantially Participated” means to have taken action as an official or
employee through decision, approval, disapproval, recommendation, giving advice,
investigation or similar action.
The fact
that the person had responsibility for a matter does not by itself establish
that the person “personally and substantially participated” in the
matter.
(aa)
Recklessly.
A person
acts recklessly, or is reckless, with respect to circumstances surrounding his
conduct or the result of his conduct when he is aware of but consciously
disregards a substantial and unjustifiable risk that the circumstances exist or
the result will occur. The risk must be of such a nature and degree that its
disregard constitutes a gross deviation from the standard of care that an
ordinary person would exercise under all the circumstances as viewed from the
actor's standpoint.
(bb)
Representation. “Representation” is a presentation of fact – either by
words or by conduct – made to induce someone to act. Representation does not
include appearance as a witness in litigation or other official
proceedings.
(cc)
Respondent
means
an individual identified in a sworn complaint to have allegedly violated the
Ethics Code or the Code of Municipal Campaign Finance Regulations of the City of
San Antonio.
(dd) Solicitation. “Solicitation” of subsequent employment or business opportunities includes all forms of proposals and negotiations relating thereto.
Division 2: Present City
Officials and Employees
Section 2-43 conflicts of
interest
(a) General
Rule. To avoid
the appearance and risk of impropriety, a city official or employee shall not
take any official action that he or she knows is likely to affect the economic interests of:
(1)
the official
or employee;
(2)
his or her
parent, child, spouse, or other family member within the second degree of consanguinity or affinity;
(3)
his
or her outside client;
(4)
a
member of his or her household;
(5)
the
outside employer of the official or employee or of his or her parent, child
(unless the child is a
minor),
spouse, or member of the household (unless member of household is a minor);
(6)
a
business entity in which the official or employee knows that any of the persons
listed in Subsections (a)(1) or (a)(2) holds an economic interest as that term
is defined in Section 2-42;
(7)
a
business entity which the official or employee knows is an affiliated business
or partner of a business entity in which any of the persons listed in
Subsections (a)(1) or (a)(2) holds an economic interest as defined in Section
2-42;
(8)
a
business entity or nonprofit entity for which the city official or employee
serves as an officer or director or in any other policy making position; or
(9)
a
person or business entity with whom, within the past twelve months:
(A)
the official or employee, or his or her spouse, directly or indirectly
has
(i)
solicited
an offer of employment for which the application is still pending,
(ii)
received
an offer of employment which has not been rejected, or
(iii)
accepted
an offer of employment; or
(B)
the official or employee, or his or her spouse, directly or indirectly
engaged in negotiations pertaining to business opportunities, where such
negotiations are pending or not terminated.
(b) Recusal
and Disclosure.
A city
official or employee whose conduct would otherwise
violate Subsection (a) must recuse himself or herself. From the time that the
conflict is, or should have been
recognized, he or she shall:
(1)
immediately
refrain from further participation in the matter, including discussions with any
persons likely to consider the matter; and
(2)
promptly
file with the City Clerk the appropriate form for disclosing the nature and
extent of the prohibited conduct.
(3)
a
supervised employee shall promptly bring the conflict to the attention of his or
her supervisor,
who will then, if necessary, reassign responsibility for handling the matter to
another person; and
(4)
a member of
a board shall promptly disclose the conflict to other members of the board and
shall not be present during the board’s discussion of, or voting on, the
matter.
(c)
Definitions.
For purposes of this rule:
(1)
An
action is likely to affect an economic interest if it is likely to have an
effect on that interest that is distinguishable from its effect on members of
the public in general or a substantial segment thereof; and
(2)
The term client includes
business relationships of a highly personalized nature, but not ordinary
business-customer relationships.
(a) General
Rule.
A city official or employee may not use his or her official position to unfairly
advance or impede private interests, or to grant or secure, or attempt to grant
or secure, for any person (including himself or herself) any form of special
consideration, treatment, exemption, or advantage beyond that which is lawfully
available to other persons.
A
city official who represents to a person that he or she may provide an advantage
to that person based on the official’s position on a board or commission
violates this rule.
(b) Special
Rules.
The following special rules apply in addition to the general rule:
(1)
Acquisition
of Interest in Impending Matters.
A city official or employee shall not acquire an interest in, or affected by,
any contract, transaction, zoning decision, or other matter, if the official or
employee knows, or has reason to know, that the interest will be directly or
indirectly affected by impending official action by the city.
(2)
Reciprocal
Favors.
A city official or employee may not enter into an agreement or understanding
with any other person that official action by the official or employee will be
rewarded or reciprocated by the other person, directly or indirectly.
(3)
Appointment
of Relatives.
A city official or employee shall not appoint or employ or vote to appoint or
employ any relative within the third degree of consanguinity or affinity to any
office or position of employment within the city.
(4)
Supervision
of Relatives.
No official or employee shall be permitted to be in the line of supervision of a relative
within the third degree of consanguinity or second degree of affinity. Department
heads are responsible for enforcing this policy. If an employee, by reason of
marriage, promotion, reorganization, or otherwise, is placed into the line of
supervision of a relative, one of the employees will be reassigned or other
appropriate arrangements will be made for supervision.
(c)
Recusal
and Disclosure.
A city official or employee whose conduct would otherwise violate this Section shall adhere to the recusal and
disclosure provisions provided in Section 2-43(b) of Division 2 (Conflicts of
Interest).
(a) General
Rule.
(1)
A city
official or employee shall not solicit, accept, or agree to accept any gift or
benefit for himself or herself or his or her business:
(A) that
reasonably tends to influence or reward official conduct; or
(B) that
the official or employee knows or should know is being offered with the intent
to influence or reward official conduct.
A city official or
employee may accept a public award or reward for meritorious service of
professional achievement, provided that the award or reward is reasonable in
light of the occasion and it is not prohibited under the Texas Penal Code
Section 36.08.
(2)
A
city official or employee shall not solicit, accept, or agree to accept any gift
or benefit, from:
(A) any
individual or entity doing or seeking to do business with the City; or
(B) any
registered lobbyist or public relations firm; or
(C) any
person or entity seeking action or advocating on zoning or platting matters
before a city body,
save and except for
i) items received that are
of nominal value; or
ii)
meals in an individual expense of $50 or less at any occurrence, and no more
than a cumulative value of $500 in a single calendar year from a single
source.
Doing
business with the city includes, but is not limited to, individuals and business
entities that are parties to a discretionary contract, individuals and business
entities that are subcontractors to a discretionary contract, and partners
and/or parents and/or subsidiary business entities of any individuals and
business entities that are parties to a discretionary contract.
(b) Special
Applications. Subsection (a)(2) does not include:
(1)
a
gift to a city official or employee relating to a special occasion, such as a
wedding, anniversary, graduation, birth, illness, death, or holiday, provided
that the value of the gift is fairly commensurate with the occasion and the
relationship between the donor and recipient;
(2)
advancement
for or reimbursement of reasonable expenses for travel in connection with
official duties authorized in accordance with city policies; such payments must
be disclosed in a travel report as required in Section 2-76; payment for or reimbursement of expenses
for travel in excess of authorized rates under city policy will be treated as a
personal gift to the official or employee for any applicable reporting
requirements under Sections 2-73, 2-74 or 2-78;
(3)
a
public award or reward for meritorious service or professional achievement,
provided that the award or reward is reasonable in light of the occasion
and it is not prohibited
under the Texas Penal Code Section 36.08;
(4)
a
loan from a lending institution made in its regular course of business on the
same terms generally available to the public;
(5)
a
scholarship or fellowship awarded on the same terms and based on the same
criteria that are applied to other applicants;
(6)
any
solicitation for civic or charitable causes;
(7)
admission
to an event in which the city official or employee is participating in
connection with his or her spouse’s position;
(8)
ceremonial
and protocol gifts presented to city officials from a foreign government or international or
multinational organization and accepted for the City of San Antonio;
(9)
admission
to a widely attended event, such as a convention, conference, symposium, forum,
panel discussion, dinner, viewing, reception or similar event, offered by the
sponsor of the event, and unsolicited by the City official or employee, if
(A)
the official or employee participates in the event as a speaker or panel
participant by presenting information related to matters before the City; or
(B) the
official or employee performs a ceremonial function appropriate to that individual’s
position with the City; or
(C) attendance at the event is appropriate to the performance of the official duties or representative function of the official or employee;
(10)
(11)
admission
to training or education program, including meals and refreshments furnished to
all attendees, if such training is related to the official or employee’s
official duties and the training is in the interest of the City;
(12)
lodging, transportation, or
entertainment that the official or employee accepts as a guest and, if the donee
is required by law to report those items, reported by the donee in accordance
with that law, up to $500 from a single source in a calendar year.
(c)
Campaign
Contribution Exception.
The general rule stated in Subsection (a) does not apply to a campaign
contribution made pursuant to the Texas Election Code.
(d) Gifts
to Closely Related Persons.
A city official or employee shall take reasonable steps to persuade:
(1)
a
parent, spouse, child, or other relative within the second
degree of consanguinity or affinity, or
(2)
an
outside business associate
not to solicit, accept, or agree to accept any gift or benefit:
(3)
that
reasonably tends to
influence or reward the city official’s or employee’s official conduct, or
(4)
that
the official or employee knows or should know is being offered with the intent
to influence or reward the city official’s or employee’s discharge of official
duties.
If a city official or employee required to file a financial disclosure
report under Division 7 (Financial Disclosure) knows that a gift or benefit
meeting the requirements of Subsections (d)(3) or (d)(4) of this rule has been
accepted and retained by a person identified in Subsections (d)(1) or (d)(2) of
this rule, the official or employee shall promptly file a report with the City
Clerk’s office disclosing the donor, the value of the gift or benefit, the
recipient, and the recipient’s relationship to the official or employee filing
the report.
(e) Definitions.
(1) For purposes of this
rule, a person is an “outside
business associate” if both that person and the city official or employee own,
with respect to the same business entity:
(A)
ten
(10) percent or more of the voting stock or shares of the business entity,
or
(B) ten (10) percent or more of the fair
market value of the business entity.
(2) For purposes of this
rule, a “sponsor” of an event is the person or persons primarily responsible for
organizing the event or sponsoring a table or tables. A person who simply
contributes money or buys tickets to an event is not considered a
sponsor.
(3) A "source" is the individual or entity that funds an expenditure or series of expenditures. Expenditures made by multiple agents of the same source will be considered to be expenditures from a single source.
(4) Any item of "nominal value" is an item with a fair market value of $50 or less.
(a) Improper
Access.
A city official or employee shall not use his or her position to obtain official
information about any person or entity for any purpose other than the
performance of official duties.
(b) Improper
Disclosure or Use.
A city official or employee shall not intentionally,
knowingly, or recklessly disclose
any confidential information gained by reason of
said official’s or employee’s position concerning the property, operations,
policies or affairs of the city. This rule does not prohibit:
(1) any
disclosure
that
is no longer confidential by law; or
(2)
the
confidential reporting of illegal or unethical conduct to authorities designated
by law.
Section 2-47 Representation of Private
Interests
(a) Representation
Before the City by a Member of the Board.
A city official or employee who is a member of a board or other city body shall
not represent any person, group, or entity:
(1) before
that board or body;
(2) before
city staff having responsibility for making recommendations to, or taking any
action on behalf of, that board or body, unless the board or body is only
advisory in nature; or
(3) before
a board or other city body which has appellate jurisdiction over the board or
body of which the city official or employee is a member, if any issue relates to
the official’s or employee’s official duties.
(b) Representation
Before the City by City Officials and Employees.
(1) General
Rule.
A city official or employee shall not represent for compensation any person,
group, or entity, other than himself or herself, or his or her spouse or minor
children, before the city. For purposes of this subsection, the term
compensation means money or any other thing of value that is received, or is to
be received, in return for or in connection with such representation.
(2)
Exception
for Board Members.
The rule stated in subsection b(1) does not apply to a person who is classified
as a city official only because he or she is an appointed member of a board or
other city body.
(c) Prestige
of Office and Improper Influence.
In connection with the representation of private interests before the city, a
city official or employee shall not:
(1)
assert
the prestige of the official’s or employee’s city position for the purpose of
advancing private interests; or
(2)
state
or imply that he or she is able to influence city action on any basis other than
the merits.
(d) Representation
in Litigation Adverse to the City.
(1)
Officials
and Employees (Other than Board Members). A
city official or employee, other than a person who is classified as an official
only because he or she is an appointed member of a board or other city body,
shall not represent any person, group, or entity, other than himself or herself,
or his or her spouse or minor children, in any litigation to which the city is a
party, if the interests of that person, group, or entity are adverse to the
interests of the city.
(2) Board
Members. A person
who is classified as a city official only because he or she is an appointed
member of a board or other city body shall not represent any person, group, or
entity, other than himself or herself, or his or her spouse or minor children,
in any litigation to which the city is a party, if the interests of that person,
group, or entity are adverse to interests of the city and the matter is
substantially related to the official’s duties to the city.
Section 2-48 Conflicting Outside
Employment
(a) General
Rule.
A city official or employee shall not solicit, accept, or engage in concurrent
outside employment which could reasonably be expected to impair independence of
judgment in, or faithful performance of, official duties.
(b) Special
Application.
The following special rule applies in addition to the general rule: A city
official or employee shall not provide services to an outside employer related
to the official’s or employee’s city duties.
(c) Other
Rules.
The general rule stated above applies in addition to all other rules relating to
outside employment of city officials and employees, including requirements for
obtaining prior approval of outside employment as applicable.
A
city official or employee shall not use, request, or permit the use of city facilities,
personnel, equipment, or supplies or
time while on city duty
for private purposes (including political purposes), except:
(a) pursuant
to duly adopted city policies, or
(b) to
the extent and according to the terms that those resources are lawfully
available to the public.
Section 2-50 Political
Activity
Limitations on
the political activities of city officials and employees are imposed by state
law, the City Charter, and city personnel rules and are
incorporated into this provision by reference. In addition, the following
ethical restrictions apply:
(a)
Influencing
Subordinates.
A city official or employee shall not, directly or indirectly, induce or attempt
to induce any city subordinate of the official or employee:
(1) to
participate in an election campaign, contribute to a candidate or political
committee, or engage in any other political activity relating to a particular
party, candidate, or issue, or
(2) to
refrain from engaging in any lawful political activity.
A
general statement merely encouraging another person to vote does not violate
this rule.
(b) Paid
Campaigning.
A city official or employee shall not accept
any thing of value, directly or indirectly, for
political activity relating to an item pending on the ballot, if he or she
participated in, or provided advice relating to, the exercise of
discretionary authority by a
city body that contributed to the development of the ballot item. Any thing of value does not include a meal or
other item of nominal value the city official or employee receives in return
for providing information on an item pending on the ballot.
(c) Official
Vehicles.
A city official or employee shall not display or fail to remove campaign
materials on any city vehicle under his or her control.
Limitations on the use of public property and resources for political
purposes are imposed by Section 2-49 of Division 2 (Public Property and
Resources).
(a) Violations
by Other Persons. A city
official or employee shall not intentionally
or
knowingly
assist or induce, or attempt to assist or induce, any person to violate
any provision in this code of ethics.
(b)
Using Others
to Engage in Forbidden Conduct. A city
official or employee shall not violate the provisions of this code of ethics
through the acts of another.
Section 2-52
Prohibited Interests in Contracts
(a) Charter
Provision.
The Charter of the City of San Antonio, in Section 141,
states “No officer or employee of the City shall have
a financial interest, direct or indirect, in any contract with the City, or
shall be financially interested, directly or indirectly, in the sale to the City
of any land, materials, supplies, or service, except on behalf of the City as an
officer or employee. Any willful violation of this Section shall constitute
malfeasance in office, and any officer or employee guilty thereof shall thereby
forfeit his office or position. Any violation of this Section, with the
knowledge, expressed or implied, of the person or corporation contracting with
the Council shall render the contract involved voidable by the City Manager or
the Council.”
(b) Financial
Interest.
An officer or employee is presumed to have a prohibited “financial interest” in
a contract with the city, or in the sale to the city of land, materials,
supplies, or service, if any of the following individuals or entities is a party
to the contract or sale:
(1)
the
officer or employee;
(2)
his
or her spouse, sibling, parent, child
or other family member within the first degree of consanguinity or
affinity;
(3)
a
business entity in which the officer or employee, or his or her parent, child or
spouse, directly or indirectly owns:
(A) ten
(10) percent or more of the voting stock or shares of the business entity,
or
(B) ten
(10) percent or more of the fair market value of the business entity; or
(4)
a
business entity of which any individual or entity listed in Subsection (1), (2)
or (3) is:
(A) a
subcontractor on a city contract;
(B) a
partner; or
(C) a
parent or subsidiary business entity.
(c)
If an officer or
employee has or may potentially have a presumed prohibited financial interest in
a contract with the city, or in the sale to the city of land, materials,
supplies or service under subsection (b), the officer or employee may apply to
the Ethics Review Board for a determination and decision on whether the officer
or employee has an actual direct or indirect financial interest in that contract
or transaction.
The Ethics Review Board
will make this assessment using a standard of “clear and convincing” evidence at
a hearing. A request for such a
determination cannot be made confidentially. The hearing must be posted two weeks in
advance clearly stating the officer or employee with the presumed prohibited
financial interest, the contract or transaction at issue, and the individual or
business entity that is the party to the contract or transaction at
issue.
(d) Any contract or
transaction already in place at the time the individual becomes an officer or
employee subject to the prohibitions in Section 141 of the City Charter may
remain in place until the contract expires or the transaction is completed
without creating a prohibited financial interest for the officer or
employee.
(e) Definitions.
For
purposes of enforcing Section 141 of the City Charter under the provision of
this Section:
(1) a city
“employee” is any employee of the city who is required to file a financial
disclosure statement pursuant to Section 2-73(a) of Division 7 (Financial
Disclosure Report).
(2) a city “officer”
is:
(A) the Mayor or any Council
member;
(B) a Municipal Court Judge
or Magistrate;
(C) a member of any board or
commission which is more than advisory in nature. The term does not include
members of the board of another governmental entity even if some or all of these
members are appointed by the city.
(a) A
member of the City Council who, in the course of official duties, has direct
supervisory authority over contract personnel shall make reasonable efforts to
ensure that the conduct of contract personnel is compatible with the obligations
imposed on city officials and employees by this code of ethics.
(b) Contract
personnel employed by a member of the city council shall comply with all
obligations imposed by this code of ethics on city employees, except for
restrictions on political activity imposed on city employees by the City Charter
or the City’s Personnel Rules under Division 2, Section 2-50 of this Code. Contract personnel, though, may not
engage in political activity using City resources or during duty
hours.
(c) All
contracts for administrative services between a member of the City Council and
independent contractors shall contain a provision requiring the independent
contractor to comply with all requirements imposed by this code on city
employees.
(a) A
City official or employee who has knowledge of a violation of any of the
provisions of this Ethics Code shall report this violation as provided below
within a reasonable time after the person has knowledge of a violation. A City
official or employee shall not delegate to, or rely on, another person to make
the report. Any City official or employee who has knowledge that a violation of
the Ethics Code has been committed and intentionally fails to report such
violation is subject to the penalties herein.
(b) Unless
waived in writing by the person making the report, the identity of an individual
making a report under this section is confidential and may be disclosed only to
the proper authorities for the purposes of conducting an investigation of the
report.
(c) A
report made under this Section shall be made to:
(1)
the
Ethics Compliance Officer or his or her designee; or
(2)
the
Ethics Review Board.
(d) A
report shall state:
(1)
the
name of the City official or employee who believes that a violation of a
provision of the Ethics Code has been or may have been committed;
(2)
the
identity of the person or persons who allegedly committed the violation;
(3)
a
statement of the facts on which the belief is made; and
(4)
any
other pertinent information concerning the alleged violation.
Division 3: Former
City Officials and Employees
Section 2-55 Continuing
Confidentiality
A former city
official or employee shall not use or disclose confidential government
information acquired during service as a city official or
employee. This rule does not prohibit:
(a) any
disclosure that is no longer confidential
by
law; or
(b) the
confidential reporting of illegal or unethical conduct to authorities designated
by law.
(a) Representation
of Private Interests Before the City by a Former Board Member.
A person who was a member of a board or other city body shall not represent any
person, group, or entity for a period of two (2)
years after the
termination of his or her official duties:
(1)
before
that board or body;
(2)
before city
staff having responsibility for making recommendations to, or taking any action
on behalf of, that board or body, unless the board or body is only advisory in
nature; or
(3)
before
a board or other city body which has appellate jurisdiction over the board or
body of which the former city official or employee was a member, if any issue
relates to his or her former duties.
(b) Representation
of Private Interests Before the City by Former City Officials and
Employees.
A former city official or employee shall not represent for compensation any
person, private group, or private entity, other than himself or herself, or his
or her spouse or minor children, before the city for a period of two (2)
years after termination of his or her official duties. This subsection does not
apply to a person who was classified as a city official only because he or she
was an appointed member of a board or other city body. For purposes of this
subsection, the term compensation means money or any other thing of value that
is received, or is to be received, in return for or in connection with such
representation.
(c) Improper
Representation of Influence. In connection with the representation of
private interests before the city, a former city official or employee shall not
state or imply that he or she is able to influence city action on any basis
other than the merits.
(d) Representation
in Litigation Adverse to the City.
A former city official or employee shall not, absent consent from the city,
represent any person, group, or entity, other than himself or herself, or his or
her spouse or minor children, in any litigation to which the city is a party, if
the interests of that person, group, or entity are adverse to the interests of
the city and the matter is one in which the former city official or employee
personally and substantially participated prior to termination of his or her
official duties.
Section 2-57 Prior Participation in the
Negotiation, Award or
administration of
Contracts
A former city official or employee shall not, within two (2) years of the termination of official duties for the city, perform work on a compensated basis relating to a discretionary city contract, if he or she personally and substantially participated in the negotiation, award or administration of the contract.
A former city official or
employee, within two (2) years of termination of official duties, must disclose
to the City Clerk immediately upon knowing that he or she will perform work on a
compensated basis relating to a discretionary city contract for which he or she
did not personally and substantially participate in its negotiation, award or
administration. This subsection
does not apply to a person who was classified as a city official only because he
or she was an appointed member of a board or other city body.
SECTION
2-58 DISCRETIONARY CONTRACTS
(a)
Impermissible
Interest in Discretionary Contract or Sale. This Subsection applies only to
contracts or sales made on a discretionary basis, and does not apply to
contracts or sales made on a competitive bid basis. Within one (1) year of the
termination of official duties, a former city officer or employee shall neither
have a financial interest, direct or indirect, in any discretionary contract
with the City, nor have a financial interest, direct or indirect, in the sale to
the City of any land, materials, supplies, or service. Any violation of this
Section, with the knowledge, expressed or implied, of the individual or business
entity contracting with the Council shall render the contract involved voidable
by the City Manager or the Council. A former city officer or employee has a
prohibited “financial interest” in a discretionary
contract
with the city, or in the sale to the city of land, materials, supplies, or
service, if any of the following individuals or entities is a party to the
contract or sale:
(1)
the
former officer or employee;
(2)
his
or her parent, child, or spouse;
(3)
a
business entity in which the former officer or employee, or his or her parent,
child or spouse, directly or indirectly owns:
(A) ten
(10) percent or more of the voting stock or shares of the business entity,
or
(B) ten
(10) percent or more of the fair market value of the business entity; or
(4)
a
business entity of which any individual or entity listed in Subsection (1), (2)
or (3) is:
(A) a
subcontractor on a city contract;
(B) a
partner; or
(C) a
parent or subsidiary business entity.
(b) Exception:
Prior Employment or Status.
Notwithstanding subsection (a) of this Section 2-58 (Discretionary Contracts)
and Section 2-57 (Prior Participation in Negotiation, Award or Administration of
Contracts), a former city official or employee may upon leaving official duties
return to employment or other status enjoyed immediately prior to commencing
official city duties.
(c) Definitions.
For purposes of this Section:
(1)
A
“former city employee” is any person who, prior to termination of employee
status, was required to file a financial disclosure statement pursuant to
Section 2-73(a) of Division 7 (Financial Disclosure Report).
(2)
A
“former city officer” is any person who, immediately prior to termination of
official duties, was:
(A) the
Mayor or a member of City Council;
(B) a
Municipal Court Judge or Magistrate; or
(C) a
member of any board or commission which is more than advisory in
nature.
The
term does not include members of the board of another governmental entity even
if some or all of these members are appointed by the city.
(3)
The
term “contract” means any discretionary contract other than a contract for the
personal services of the former city official or employee.
(4)
The
term “service” means any services other than the personal services of the former
official or employee.
Division 4: Persons
Doing Business With the City
Section 2-59 Persons Seeking Discretionary
Contracts
(a) Disclosure
of Parties, Owners, and Closely Related Persons.
For the purpose of assisting the city in the enforcement of provisions contained
in the City Charter and this code of ethics, an individual or business entity
seeking a discretionary contract from the city is required to disclose in
connection with a proposal for a discretionary contract on a form provided by
the city:
(1)
the
identity of any individual who would be a party to the discretionary
contract;
(2)
the
identity of any business entity that would be a party to the discretionary
contract and the name of:
(A) any
individual or business entity that would be a subcontractor on the discretionary
contract; and
(B) any
individual or business entity that is known to be a partner or a parent entity
of any individual or business entity who would be a party to the discretionary
contract, or any subsidiary business entity that is anticipated to be involved
in the execution of the contract; and
(3)
the identity
of any lobbyist or public relations firm employed for purposes relating to the
discretionary contract being sought by any individual or business entity who
would be a party to the discretionary contract.
An individual or business entity seeking a discretionary contract is
required to supplement this filing on a form provided by the city in the event
there is any change in the information required of the individual or business
entity under this subsection. The individual or business entity seeking a
discretionary contract must supplement this filing before the discretionary
contract is the subject of council action, and no later than five (5) business
days after any change about which information is required to be filed.
(b) Political
Contributions.
Any individual or business entity seeking a discretionary contract from the city
must disclose in connection with a proposal for a discretionary contract, on a
form provided by the city, all political contributions totaling one hundred
dollars ($100) or more within the past twenty-four (24) months made directly or
indirectly to any current or former member of City Council, any candidate for
City Council, or to any political action committee that contributes to City
Council elections, by any individual or business entity whose identity must be
disclosed under Subsection (a).
Indirect contributions by an individual include, but are not limited to, contributions made by an individual’s spouse, whether statutory or common-law. Indirect contributions by an entity include, but are not limited to, contributions made by the officers, owners, attorneys, or registered lobbyists of the entity.
Indirect contributions do not include contributions by owners of a business
entity who hold less than 5% of the fair market value or voting stock of the
entity.
(c) Briefing
Papers and Open Records.
Briefing papers prepared for the city council concerning any proposed
discretionary contract to be considered for ordinance action shall reveal the
information disclosed in compliance with Subsections (a) and (b), and that
information shall constitute an open record available to the public.
Section
2-60 Disclosure of Association with
City Official or Employee
(a) Disclosures
During Appearances.
A person appearing before a city board or other city body shall disclose to it
any known facts which, reasonably understood, raise a question as to whether any
member of the board or body would violate Section 2-43 of Division 2 (Conflicts
of Interest) by participating in
official action relating to a matter pending before the board or body.
(b) Disclosures
in Proposals.
Any individual or business entity seeking a discretionary
contract
with the city shall disclose, on a form provided by the city, any known facts
which, reasonably understood, raise a question as to whether any city official
would violate 2-43 of Division 2
(Conflicts of Interest) by participating in official action relating to the
discretionary contract.
(c) Disclosure of Benefit. If a person who requests official action on a matter knows that the requested action will confer an economic benefit on any city official or employee that is distinguishable from the effect that the action will have on members of the public in general or a substantial segment thereof, he or she shall disclose that fact in a signed writing to the city official, employee, or body that has been requested to act in the matter, unless the interest of the city official or employee in the matter is apparent. The disclosure shall also be made in a signed writing filed with the City Clerk.
(d)
Definition.
For purposes of this rule, facts are “reasonably understood” to “raise a
question” about the appropriateness of official action if a disinterested person
would conclude that the facts, if true, require recusal or require careful
consideration of whether or not recusal is required.
Section 2-61 prohibited
contacts
during contract solicitation period
As used in Division 5 (Lobbyists), the following words and phrases have
the meaning ascribed to them in this Section, unless the context requires
otherwise:
(a) City
official
means the Mayor, members of the City Council, Municipal Court Judges and
Magistrates, the City Manager, Deputy City Manager, City Clerk, Assistant City Clerk,
Assistant City Managers, Assistants to the City Manager, all department heads,
assistant department heads, Internal Auditor and assistant internal auditors;
Market Square Superintendent; Assistant to City Council; Assistants to City
Council, including contract personnel, Assistant to Mayor; Assistants to the
Mayor, including contract personnel, Secretary
to City Manager; Executive Secretaries; Community Action Manager; Public
Utilities Supervisor, members of bid committees, and
members of the following boards and commissions: Board of Adjustment; Board of
Appeals; City Public Service;
Fire Fighter’s and
Police Officer’s Civil Service Commission; Electrical Examining and Supervising
Board; Ethics Review Board established pursuant to this Ethics Code; Greater
Kelly Development Authority and any authority later created under Chapter 378,
Defense Base Development Authorities, of Subtitle A, Title 12 of the Texas Local
Government Code; Historic and Design Review Commission; Housing Authority of San
Antonio; Municipal Civil Service Commission; Planning Commission; Plumbing
Appeals and Advisory Board; Public Library Board of Trustees; San Antonio Water
System; Urban Renewal Agency (SADA);
Zoning Commission; and any other board
or commission that is more than advisory in nature.
(b) Client
means
any person on whose behalf lobbying is conducted. If a person engages in
lobbying on that person's own
behalf, whether directly or through the acts of others, the person is both a
client and a lobbyist (as defined in Subsection (g)). In the case of a coalition
or association that employs or retains other persons to conduct lobbying
activities, the client is the coalition or association and not its individual
members.
(c) Compensation
means money or any other thing of value that is received, or is to be received,
in return for or in connection with lobbying services rendered, or to be rendered,
including reimbursement of expenses incurred in lobbying. “Compensation” for professional services
that do not primarily require contact or advocacy with public officials does not
constitute “compensation in connection with lobbying services” for purposes of
this section, if contact with public officials is incidental to the primary
purpose of the employment.
Compensation does not include a payment made to any individual regularly
employed by a person if
(1) the payment ordinarily would be made regardless of whether the
individual engaged in lobbying activities; and
(2)
lobbying activities are not part of the individual’s regular responsibilities to
the person making the payment.
Compensation does not include the financial gain that a person may
realize as a result of the determination of a municipal question, unless that
gain is in the form of a contingent fee.
If a lobbyist engages in both lobbying activities and other activities on
behalf of a person, compensation for lobbying includes all amounts received from
that person, if, for the purpose of evading the obligations imposed under
Division 5 (Lobbyists), the lobbyist has structured the receipt of compensation
in a way that unreasonably minimizes the value of the lobbying
activities.
Compensation which has not yet been received is considered to be
received on the date that it is earned, if that date is ascertainable;
otherwise, it is received on the
date on which the contract or agreement for compensation is made,
or on the date lobbying commences, whichever is first. Compensation does not
include any amounts previously reported under Section 2-66 of Division 5
(Quarterly Activity Reports).
(d)
Expenditure
means a payment, distribution, loan, advance, reimbursement, deposit, or gift of
money or anything of value, including a contract, promise, or agreement to make
an expenditure, regardless of whether such contract, promise, or agreement is
legally enforceable.
Expenditure does not include an amount paid to any individual regularly
employed by a person if
(1) the amounts paid to the individual are ordinarily paid regardless of
whether the individual engages in lobbying activities; and
(2)
lobbying activities are not part of the individual’s regular responsibilities to
the person making the payment.
The
date on which an expenditure is incurred is determined according to generally
accepted accounting principles. The term “expenditure” does not include the cost
of photocopying city documents, if those costs are the only expenditures made by
the person in question on lobbying activities. The term “expenditure” also does not
include the cost of photocopying documents, or creating other informational
material by individuals who communicate with public officials to express
personal opinions on behalf of themselves, their family or members of their
household.
(e) Gift
has
the same meaning as in Division 1, Section 2-42 (Definitions).
(f)
Immediate
family
means a spouse and dependent children.
(g) Lobbyist
means a person who engages in lobbying, whether directly or through the acts of
another. If an agent or employee engages in lobbying for a principal or
employer, both the agent and the principal, or the employee and the employer, are lobbyists.
(h) Lobby
or Lobbying, except as provided
below, means any oral or written communication (including an electronic
communication) to a city official, made directly or indirectly by any person in
an effort to influence or persuade an official to favor or oppose, recommend or
not recommend, vote for or against, or take or refrain from taking action on any
municipal question. The term lobby or lobbying does not include a
communication:
(1)
merely
requesting information or inquiring about the facts or status of any municipal
question, matter, or procedure, and not attempting to influence a city
official;
(2) made
by a public official or employee (including, but not limited to, an official or
employee of the City of San Antonio) acting in his or her official
capacity;
(3)
made
by a representative of a media organization if the purpose of the communication
is gathering and disseminating news and information to the public;
(4) made
in a speech, article, publication, or other material that is distributed and
made available to the public, or through radio, television, cable television, or
any other medium of mass communication;
(5)
made
at a meeting open to the public under the Open Meetings Act;
(6)
made
in the form of a written comment filed in the course of a public proceeding or
any other communication that is made on the record in a public proceeding;
(7)
made
in writing as a petition for official action and required to be a public record
pursuant to established city procedures;
(8)
made
in writing to provide information in response to an oral or written request by a
city official for specific information;
(9)
the
content of which is compelled by law;
(10)
made
in response to a public notice soliciting communications from the public and
directed to the official specifically designated in the notice to receive such
communications;
(11)
made
on behalf of an individual with regard to that individual's employment or
benefits;
(12)
made
by a fact witness or expert witness at an official proceeding; or
(13)
made
by a person solely on behalf of that individual, his or her spouse, or his or
her minor children.
(i) Lobbying
firm
means:
(1)
a
self-employed lobbyist, or
(2)
a
person that has one or more employees who are lobbyists on behalf of a client or
clients other than that person.
(j)
Municipal
question
means a public policy issue of a discretionary nature pending or impending
before city council or any board or commission, including, but not limited to, proposed action, or proposals for
action, in the form of ordinances, resolutions, motions, recommendations,
reports, regulations, policies, nominations, appointments, sanctions, and bids,
including the adoption of specifications, awards, grants, or contracts.
The
term “municipal question” does not include the day-to-day application,
administration, or execution of existing city programs, policies, ordinances,
resolutions, or practices, including matters that may be approved
administratively without consideration by a board, a commission, or the City
Council. The term “municipal
question” does include all discretionary matters before the Board of Adjustment,
the Planning Commission and all advisory committees and subcommittees
thereof.
(k) Person
means an individual, corporation, association, firm, partnership, committee,
club, organization, or a group of persons voluntarily acting in concert.
(l) Registrant
means a person required to register under Section 2-63 of Division 5 (Persons
Required to Register as Lobbyists).
(m) Knowingly
has the same meaning as in Division 1, Section 2-42 (Definitions).
Section 2-63 Persons Required to Register as
Lobbyists
Except as provided by Section 2-64 of Division 5 (Exceptions), a person
or entity who engages in lobbying must register with the City Clerk if:
(a)
with
respect to any client, the person or entity engages in lobbying activities for
compensation; or
(b) the
person or entity expends monies for lobbying activities.
The terms
“compensation” and “expenditure” are defined in Section 2-62 of Division 5
(Definitions).
The following persons
and entities are not required to register under Section 2-65 of Division 5
(Registration) or file an activity report under Section 2-66 of Division 5
(Quarterly Activity
Reports):
(a) Media
Outlets.
A person who owns, publishes or is employed by:
(1)
a
newspaper;
(2)
any
other regularly published periodical;
(3)
a
radio station;
(4)
a
television station;
(5)
a
wire service; or
(6)
any
other bona fide news medium that in the ordinary course of business disseminates
news, opinions, or paid advertisements that directly or indirectly oppose or
promote municipal questions or seek to influence official action relating
thereto, if the person does not engage in other activities that require
registration under Division 5 (Lobbyists).
This
Subsection does not exempt the news media or
a
person whose relation to the news media is only incidental to a lobbying effort
or if a position taken or advocated by a media outlet directly impacts, affects,
or seeks to influence a municipal question in which the media outlet has a
direct or indirect economic interest.
(b) Mobilizing
Entity Constituents and Not-for-Profit Organizations.
A person whose only lobbying activity is to encourage or solicit the members,
employees, or owners (including shareholders) of an entity by whom the person is
compensated to communicate directly with one or more city officials to influence
municipal questions. This exception is intended to apply
to neighborhood associations and
not-for-profit organizations.
(c) Governmental
Entities.
Governmental entities and their officials and employees, provided the
communications relate solely to subjects of governmental interest concerning the
respective governmental bodies and the city.
(d) Unknown
Municipal Questions.
A person who neither knows nor has
reason to know that a municipal question is pending at the time of contact
with a city official. This Subsection does not apply if the existence of a
municipal question is discovered during on-going contacts with a city official
and the person then engages in additional lobbying of the same official or other
city officials with respect to that municipal question.
(e) Dispute
Resolution.
An attorney or other person whose contact with a city official is made solely as
part of resolving a dispute with the city, provided that the contact is solely
with city officials who do not vote on or have final authority over any
municipal question involved and so long as such an attorney complies with Rule
4.02 of the Texas Disciplinary Rules of Professional Conduct, as amended.
(f)
Compensation of Registrant. A client who would only be
required to register under Section 2-63 because of any expenditure to compensate
a registrant, other than an employee, to lobby on a municipal question of
interest to the client, provided that the compensated registrant files a
registration statement or activity report for the period in question.
(g) Agent
or employee. An
agent or employee of a lobbying firm or other registrant that files a
registration statement or activity report for the period in question fully
disclosing all relevant information known to the agent or employee.
(h) Individual. An individual who engages in lobbying
but who neither receives compensation nor expends monies for lobbying with
respect to any client. The term
“expends” does not include the cost of photocopying documents, or creating other
informational material by individuals who communicate with public officials to
express personal opinions on behalf of themselves, their family or members of
their household.
(i)
Attorneys. A
licensed attorney who is performing an act that may be performed only by a
licensed attorney.
(a) Separate
Registrations.
A person or entity required to register as a lobbyist under Section 2-63 of
Division 5 (Persons Required to Register as Lobbyists) must file a separate
registration form for each client. A registrant who makes more than one lobbying
contact for the same client shall file a single registration form covering all
lobbying contacts for that client. Each registration form must be signed under
oath. If the registrant is not an individual, an authorized officer or agent of
the registrant shall sign the form.
(b)
Initial
Registration.
An initial registration form relating to a client must be filed by a person
required to register under Section 2-63 of Division 5 (Persons Required to
Register as Lobbyists) within 90 days
after
the start of lobbying activity for that client. However, in no event shall a
registrant knowingly fail to register,
or knowingly fail to disclose such registration to relevant city officials,
prior to official city action relating to the subject matter of the lobbying
activity.
(c) Subsequent
Annual Registration.
Except as provided in Subsection (f) (Termination of Registration) subsequent
registration forms must be filed annually each January for each client for whom
a registrant previously filed, or was required to file, an initial registration
form.
(d)
Consolidated
Registration for Firms/Organizations. An
individual, firm or organization that registers as a lobbyist and that employs
agents or employees who engage in lobbying activity on behalf of the
registrant’s clients may include the agents or employees within the registrant’s
initial and annual registration, by identifying the agents or employees and
disclosing lobbying activity as required under Subsection (e) by each agent or
employee,
(e) Required
Disclosures.
Initial or subsequent registration shall be on a form prescribed by the City
Clerk and shall include, to the extent applicable:
(1)
the
full name, telephone number, permanent
address, and nature of the business of:
(A) the
registrant;
(B) the client;
(C) any person, other
than the client, on whose behalf the registrant has been engaged by the client
to lobby;
(D) any person, other
than the client, who is known by the registrant to contribute financially to
the
compensation
of the registrant, or which, in whole or in major part, plans, supervises, or
controls the registrant’s lobbying activities on behalf of the client;
(E) any lobbying firm
for which the registrant is an agent or employee with respect to the client;
and
(F)
each employee or agent of the registrant who has acted or whom the
registrant expects to act as a lobbyist on behalf of the client;
(2)
a
statement of all municipal questions on which the
registrant
or its agents or employees has lobbied for the client in the year preceding the
filing of the registration or foreseeably will lobby;
(3) a
list of any positions held by the registrant or its agents or employees as an
official or employee of the City of San Antonio, as those terms are defined in
Section 2-42 of Division 1 (Definitions) during the past two (2) years.
(4)
if
the registrant or its agents or employees
is a former city official or employee, a statement that the registrant’s
lobbying activities have not violated and will not foreseeably violate Section
2-56(a) or (b)
or
Section 2-57(b) of Division 3 (Former City Officials and Employees)
of this ethics code.
(f) Termination
of Registration.
A registrant shall file a notice of termination of registration with the City
Clerk if the registrant is no longer required to register by Section 2-63 of
Division 5 (Persons Required to Register as Lobbyists).
A
filing under this Subsection does not relieve the registrant of reporting
requirements imposed by Section 2-66 of Division 5 (Quarterly Activity Reports)
for the reporting period in question.
(g)
Fee.
At
the time of initial or subsequent annual registration with respect to a client,
a registrant shall pay to the city, and the City Clerk shall collect, a fee of
$300 for the registrant and $300 for each agent or employee of the registrant
that engages in lobbying activity on behalf of the registrant’s clients, up to a
maximum total fee for a registrant of $1200. All lobbyist registration fees
shall be deposited into a separate account within the general fund, which
account shall be used to offset the costs of administering the city’s lobbying
ordinance and the costs of handling disclosure filings.
(h)
Ethics
Code Briefing. During the registration process, the
Ethics Compliance Officer shall offer a briefing to each new registrant on
Division 5 Lobbyists of the Ethics Code and each shall be provided with
information regarding the lobbyist provisions of the Ethics Code.
Section 2-66 quarterly
Activity
reports
A firm, entity, or individual that employs agents or employees who lobby
on behalf of that organization’s or employer’s clients may file quarterly
reports regarding lobbying activities on behalf of all the organization’s or
employer’s clients, so long as all activities by agents and employees that must
be disclosed pursuant to Division 5 are reported on the consolidated quarterly
report. When a registrant files a
quarterly report disclosing the lobbying activities of its agents or employees,
the registrant’s agents and employees are not required to file separate
quarterly reports.
The report for the preceding calendar quarter shall be filed between the
first and fifteenth day of April, July, October, or January, or on the date
registration on behalf of the client is required, whichever comes later. If the
registrant is not an individual, an authorized officer or agent of the
registrant shall sign the form. The report shall be on the form prescribed by
the City Clerk and shall include, with respect to the previous calendar quarter,
to the extent applicable:
(1)
the
name of the registrant, the name of the client, and any changes or updates in
the information provided in the most recent registration statement filed
pursuant to Section 2-65 of Division 5 (Registration);
(2)
a
list of the specific issues upon which the registrant or its agents or
employees
engaged in lobbying activities, including, to the maximum
extent
practicable,
a list of specific legislative proposals and other proposed, pending, or
completed official actions;
(3) a
list of the city officials contacted by the registrant or its agents or
employees
on behalf of the client with regard to a municipal question;
(4) a
list of the employees or agents of the registrant who acted as lobbyists on
behalf of the client;
(5) in
the case of a registrant engaged in lobbying activities on its own behalf, a
good faith estimate of the total expenditures as defined in Section 2-62 of
Division 5 (Definitions) that the registrant and its agents or employees
incurred in connection with lobbying activities;
(6) each gift, benefit, or
expenditure greater than fifty
dollars ($50);
(7) made to, conferred
upon, or incurred on behalf of a city official or his or her immediate family by
the registrant, or by anyone acting on behalf of the registrant, shall be
itemized by date, city official, actual cost, and circumstances of the
transaction;
(8) each exchange of money,
goods, services, or anything of value by the registrant, or by anyone acting on
behalf of the registrant, with any business entity in which the registrant knows
or should know that a city official has an economic interest, or for which the
city official serves as a director or
officer,
or in any other policy making position, if:
(A) the total of such
exchanges is one thousand dollars ($1000) or more in a calendar quarter;
and
(B) the city
official:
(i) has
been lobbied by the registrant or
its agents or employees during
the calendar quarter; or
(ii) serves
on a board or other city body that has appellate jurisdiction over the subject
matter of the lobbying.
Each exchange shall
be itemized by date, business entity and address, city official, amount, and
nature of transaction. For purposes of this Subsection, the term “exchange” does
not include a routine purchase from a commercial business establishment, if the
city official in question is neither aware, nor likely to become aware, of the
transaction; and
(9) the
name and position of each city official or member of a
city
official’s immediate family who is employed by the
registrant.
(b) Preservation
of Records. Each
registrant shall obtain and preserve all accounts, bills, receipts, books,
papers and documents necessary to substantiate the activity reports required to
be made pursuant to this Section for five (5) years from the date of filing of
the report containing such items.
(c)
No
Activity or Changes. No quarterly activity report is required
if there is no activity during the preceding quarter calendar year and there are
no other changes to items required to be reported.
(d)
Estimates
of income or expenses.
For purposes of Subsections (a)(5), (a)(6), and (a)(7), required estimates of compensation or expenses shall be
made to the nearest one hundred dollars ($100), for amounts totaling less than
five thousand dollars ($5,000), and to the nearest one thousand dollars ($1000),
for amounts totaling more than five thousand dollars ($5000).
(e)
Contingent
fees. A
person shall disclose employment to lobby on a contingent fee basis as well as
any arrangement to engage in lobbying activities on a contingent fee
arrangement.
(a)
False
Statements.
A person who lobbies or engages another person to lobby, or any other person
acting on behalf of such
persons, shall not intentionally or
knowingly make any false or misleading
statement of fact to any city official, or, knowing a document to contain a
false statement, cause a copy of such document to be received by a city official
without notifying such official in writing of the truth.
(b)
Failure
to Correct Erroneous Statement.
A registrant who learns that a statement contained in a registration form or
activity report filed by the registrant during the past three (3) years is false
shall not fail to correct that statement by written notification to the City
Clerk within thirty days of learning of the falsehood.
(c)
Personal
Obligation of City Officials.
A person who lobbies or engages another person to lobby, or any other person acting on behalf of such
person, shall not do any act, or refrain from doing any act, with the express purpose and
intent of placing any city official under personal obligation to such lobbyist
or person.
(d)
Improper
Influence.
A registrant shall not cause or influence the introduction of any ordinance,
resolution, appeal, application, petition, nomination, or amendment thereto for
the purpose of thereafter being employed as a lobbyist to secure its granting,
denial, confirmation, rejection, passage, or defeat.
(e)
Use
of False Identification.
A person who lobbies or engages another person to lobby, or any other person acting on behalf of such
person, shall not cause any communication to
be sent to a city official in the name of any fictitious person or in the name
of any real person, except with the consent of such real person.
(f)
Prohibited
Representations.
A person who lobbies or engages another person to lobby, or any other person
acting on behalf of such person, shall not represent, either directly or
indirectly, orally or in writing, that that person can control or obtain the
vote or action of any city official.
(g) Legislator’s
Exclusion. At
any time within sixty (60) days of a date when the Texas Legislature is to be in
session, or at any time the Texas Legislature is in session, or when the Texas
Legislature sits as a Constitutional Convention,
members of the Texas Legislature and their agents and employees are prohibited
from lobbying as that term is defined in Section 2-62, subsection (h), of
Division 5, (Lobbyists) of this Code.
At any other time, the
City of San Antonio strongly discourages members of the Texas Legislature and
their spouses, agents and employees from lobbying before the City of San
Antonio.
If
a legislator, his or her spouse, agent, or employee does engage in lobbying
activity during a time outside a regular session and
outside the sixty (60) days before and after a regular session, and the governor
calls a special session for which the legislator had no notice at the time of
the lobbying activity, this section is not violated.
(h) Lobbying by
Councilmembers. At any
time within sixty (60) days of a date when the Texas Legislature is to be in
session, or at any time the Texas Legislature is in session, or when the Texas
Legislature sits as a Constitutional Convention, Members of the City Council of
the City of San Antonio are prohibited from lobbying members of the Texas
Legislature on behalf of the Councilmember’s private client(s) or employer.
Councilmembers are not prohibited from meeting with members of the Texas
Legislature on behalf of the City of San Antonio concerning legislation,
administrative action, or any other action in their official City capacity. For
the purposes of this subsection, lobbying means any oral or written
communication (including an electronic communication) to a member of the
legislative branch, made directly or indirectly, by a City Councilmember in an
effort to influence or persuade a member of the legislative branch to favor or
oppose, recommend or not recommend, vote for or against, or take or refrain from
taking action on any legislation or administrative action on behalf of the
Councilmember’s private client(s) or employer.
At any
other time, the City of San Antonio strongly discourages members of the City
Council and their spouses, agents and employees from lobbying before the Texas
Legislature. This does not apply to
lobbying on behalf of the City of San Antonio concerning legislation,
administrative action, or any other action in their official City capacity.
If a Councilmember, his
or her spouse,
agent, or employee does engage in lobbying activity during a time outside a
regular legislative session and outside the sixty (60) days before and after a
regular session, and the Governor calls a special session of which the
Councilmember had no notice at the time of the lobbying activity, this section
is not violated.
(i)
Limitations
on Gifts. A person who lobbies or engages another
person to lobby, or any other person acting on behalf of such persons, shall not
give gifts to a City official or a City employee or his or her immediate family,
save and except for
(1) items received that are of nominal value; or
(2) meals in an individual expense of $50 or less at any occurrence, and
no more than a cumulative value of $500 in a single calendar year, from a single
source, as permitted in section 2-45, or
(3) other gifts permitted under section
2-45.
(j)
Prohibited Lobbying. A person who lobbies or engages another
person to lobby, or any other person acting on behalf of such person, is
prohibited from lobbying activities with City officials and employees regarding
such contract after a Request for Proposal (RFP), a Request for Qualifications
(RFQ) or other solicitation has been released. This no-contact provision shall conclude when
the contract is posted as City Council agenda item. If contact is
required with City officials and employees such contact will be done in
accordance with procedures incorporated into the solicitation document. Violation of this provision by
respondents or their agent(s) may lead to disqualification of their offer from
consideration.
Section 2-68 Identification of
Clients
(a)
Appearances.
Each person who lobbies or engages another person to lobby appearing before the
City Council or an official body identified in the definition of “city official”
in Section 2-62
of
Division 5 (Definitions) shall orally identify himself or herself and the
client(s) he or she represents upon beginning an address. Each person who
lobbies or engages another person to lobby shall also disclose on appropriate
sign-in sheets his or her identity, the identity of the client he or she
represents, and whether he or she is registered as a lobbyist as required by
Section 2-63
of
Division 5 (Persons Required to Register as Lobbyists).
(b)
Oral
Lobbying Contacts.
Any person who makes an oral lobbying contact with an official shall, identify
the client or clients on whose behalf the lobbying contact is made and identify
himself or herself as a registered lobbyist.
(c)
Written
Lobbying Contacts.
Any registrant who makes a written lobbying contact (including an electronic
communication) with a city official shall identify the client(s) on whose behalf
the lobbying contact is made and identify himself or herself as a registered
lobbyist.
Section
2-69 Timeliness of Filing
Registrations and Reports
A
registration or report filed by first-class United States mail or by common or
contract carrier is timely if:
(a) it
is properly addressed with postage and handling charges prepaid; and
(b) it bears a post office
cancellation mark or a receipt mark from a common or contract carrier indicating
a time within the applicable filing period or before the applicable filing
deadline, or if the person required to file furnishes satisfactory proof that it
was deposited in the mail or with a common or contract carrier within that
period or before that deadline.
The City
Clerk shall:
(a) provide guidance and
assistance on the registration and reporting requirements for lobbyists and
develop common standards, rules, and procedures for compliance with Division 5
(Lobbyists);
(b) review
for completeness and timeliness registrations and reports;
(c) maintain filing,
coding, and cross‑indexing systems to carry out the purposes of Division 5
(Lobbyists), including:
(1)
a publicly available list of all registered lobbyists, lobbying firms,
and their clients; and
(2)
computerized
systems designed to minimize the burden of filing and maximize public access to
materials filed under Division 5
(Lobbyists);
(d) make
available for public inspection and copying at reasonable times the
registrations and reports filed under Division 5 (Lobbyists); and
(e) retain
registrations and reports in accordance with the Local Government Records Act.
Section 2-71 Constitutional
Rights
Division 6 (Members of the Public and Others) applies to current and former city
officials and employees, persons doing business with the city, and lobbyists, as
well as to members of the public and any other person (including business
entities and nonprofit entities).
No person shall intentionally or knowingly induce, attempt to induce,
conspire with, aid or assist, or attempt to aid or assist another person to
engage in conduct violative of the obligations imposed by Divisions 2 (Present City Officials and
Employees), 3 (Former City Officials and Employees), 4 (Persons Doing Business
with the City), and 5 (Lobbyists) of this ethics code.
Section 2-73 Financial Disclosure
Report
(a) Persons
Required to File Disclosure Form.
(1)
City
Officials and Designated City
Employees.
No later than thirty (30) days after
accepting
appointment or assuming the duties of office, and annually thereafter, the city
officials defined in Section 2-42 of Division 1 (Definitions), Police Department Captains, Assistant Chiefs, and Deputy
Chiefs, all appointed Deputy Fire Chiefs and appointed Assistant Fire Chiefs,
and any Assistant Fire Chief who either works in the Fire Administration
Building or any other division and is involved in having input to any contract,
vehicle specification, or who is otherwise involved with the purchasing of any
product, service, or land for the Fire Department, any fire Inspector, Plan
Reviewer or Uniformed Administrator of the Fire Prevention Division, any
uniformed employee involved in maintaining Departmental Personnel Records
located at the Fire Administration Building, any uniformed Personnel utilized in
evaluating or purchasing equipment, vehicles or any other purchases who also
have contact with contractor(s) who provide such equipment or vehicles, and any
Uniformed Personnel utilized in providing input to any contract or composing
specifications of equipment and vehicles, who also have contact with
contractor(s) who provide such services, equipment or vehicles are required to
file with the City Clerk a complete sworn financial disclosure report.
(2)
Exception. Candidates
for City Council and City officials required to file financial disclosure
statements pursuant to Local Government Code Chapter 145 shall file financial
disclosure statements in compliance with the Local Government Code in place of
filing statements required by this code of ethics. Such officials shall also
complete an addendum to the statement disclosing information required by this
code of ethics, but not required under the Local Government Code. The addendum shall be prepared by
the Office of the City Clerk.
Deadlines for filing the financial disclosure documents shall be governed
by Chapter 145 of the Local Government Code.
(b) Open
Records. Financial disclosure reports are open
records subject to the Texas Open Records Act,
and shall be maintained in accordance with the Local Government Records
Act.
(c) Annual
Filing Date.
Annual financial disclosure reports filed by City officials who are City
employees and by City employees who are required to report must be received by
the City Clerk by 4:30 p.m. on the 31st day of January. Annual financial disclosure reports
filed by City officials who are not City employees and who are required to report must be
received by the City Clerk by 4:30 p.m. on the 31st day of March. When the
deadline falls on a Saturday or Sunday, or on an official city holiday as
established by the City Council, the deadline for receipt by the City Clerk is
extended to 4:30 p.m. of the next day which is not a Saturday or Sunday or
official city holiday. The City Clerk shall grant an extension of time in which
to file a report upon written request submitted in advance of the deadline. The
extension shall not exceed fifteen (15) days.
Unforeseen
Circumstances. In the event of an
unforeseen circumstance, including, but not limited to, military service or
acute illness or leave without pay under the Family
Medical Leave Act, the deadline for receipt by the City Clerk is extended
until such time as the city official or employee resumes his city duties.
(d) Reporting
Periods.
Each initial or annual financial disclosure report filed by an individual
designated in Section 2-73(a)(1) of
Division 7 (Financial Disclosure Report), and each report filed by a candidate
for City Council, shall disclose information relating to the prior calendar
year, as well as any material changes in that information which occurred between
the end of the prior calendar year and the date of filing.
(e) City
Clerk.
The City Clerk shall:
(1)
prior
to January 15 of each year, notify city officials who
are city employees and employees specified in Subsection (a)(1) of their
obligation to file financial disclosure reports and provide forms to be
completed; and prior to February 15 of each year, notify city officials who are
not city employees of their obligation to file financial disclosure reports and
provide the forms to be completed.
(2)
provide
forms to all new City Council appointees and those filing for elective office,
and advise them of reporting requirements and deadlines;
(3)
provide
guidance and assistance on the reporting requirements for persons required to
file financial disclosure reports and develop common standards, rules, and
procedures for compliance with Division 7 (Financial Disclosure);
(4)
review
reports for completeness and timeliness;
(5)
maintain filing,
coding, and cross‑indexing systems to carry out the purpose of Division 7 (Financial Disclosure),
including:
(A) a publicly
available list of all persons required to file; and
(B) computerized
systems designed to minimize the burden of filing and maximize public access to
materials filed under Division 7 (Financial Disclosure);
(6)
make available for public inspection and copying at reasonable times the
reports filed under Division 7 (Financial Disclosure);
(7)
upon
determining that such appointee who is required to file a financial disclosure
report has failed to do so or has filed incomplete or unresponsive information,
notify the individual by certified mail that failure to file or correct the
filing within fifteen (15) days after the original deadline constitutes an
automatic resignation.
At the same time, the City Clerk shall publicly announce to the City Council the
names of those who have not filed and to whom this notification is being sent.
If such an appointee fails to file a completed report within fifteen (15) days
from the original deadline, the position shall be considered vacant, and a new
appointment shall be made by the City Council; and
(8)
upon
determining that the Mayor, a member of City Council, a candidate for City
Council, the City Manager, or a Municipal Court Judge or Magistrate has failed
to timely file a financial disclosure report, or has filed incomplete or
unresponsive information, notify the individual by certified mail that failure
to file or correct the filing within fifteen (15) days after the original
deadline will result in the matter being forwarded to the Ethics Review Board.
If the person in question fails to file a completed report within fifteen days
of the original deadline, a report of non-compliance shall be forwarded to the
Ethics Review Board for appropriate action.
(9)
upon
determining that a person other than as provided in subsections (7) or (8)
above, has failed to timely file a financial disclosure report, or has filed
incomplete or unresponsive information, notify the individual by certified mail
that failure to file or correct the filing within fifteen (15) days after the
original deadline will result in the matter being forwarded to the City
Manager. If the person in question fails to file a
completed report within fifteen days of the original deadline, a report of
non-compliance shall be forwarded to the City Manager for appropriate
action.
The
failure of the City
Clerk to provide any notification required by this Section does not bar
appropriate remedial action, but may be considered on the issue of
culpability.
(f) Exception.
A city official who is a member of a board or commission created pursuant to
federal or state law, may only be removed
for failing to file a financial disclosure form if allowed under federal or
state law.
Section
2-74 Contents of Financial
Disclosure Reports
Each initial or
annual financial disclosure report shall disclose, on a form provided by the
city, the following information:
(a) the reporting
party’s name;
(b) the
name of any person related as parent, child, (except a child who is a
minor), or spouse to the reporting party;
(c) the name of any
member of the reporting party’s household not disclosed under Subsection (b) of
this rule;
(d) the
name of any employer of any person disclosed under Subsections (a) or (b) of
this rule;
(e) the
name of any business entity (including self employment in the form of a sole
proprietorship under a personal or assumed name) in which the reporting party or
his or her spouse holds an economic interest;
(f) the
name of any business which the reporting party knows is a partner, or
a parent or subsidiary business entity, of a business entity owned, operated, or managed by the
reporting party or his or her spouse;
(g) the
name of any person or business entity from whom the reporting party or his or
her spouse, directly or indirectly:
(1)
has
received and not rejected an unsolicited offer of subsequent employment; or
(2)
has
accepted an offer of subsequent employment which is binding or expected by the
parties to be carried out;
(h) the
name of each nonprofit entity or business entity in which the reporting party
serves as an officer or director, or in any other policy making position;
(i) the
name of each business entity which has sought city business, has a current city
contract or anticipates seeking city business in which any individual listed in
Subsection (a) or (b) is known to directly or indirectly own:
(1)
ten
(10) percent or more of the voting stock or shares of the business entity,
or
(2)
ten
(10) percent or more of the fair market value of the business entity;
(j) the
name of any business entity of which any individual or entity disclosed under
Subsection 2(a) or (2)(i) is known to be:
(1)
a
subcontractor on a city contract;
(2)
a
partner; or
(3)
a
parent or subsidiary business entity.
(k) the
name of each source of income, other than dividends or interest, amounting to
more than five thousand dollars ($5000) received during the reporting period by
the reporting party or his or her spouse, unless that source has been disclosed
under Subsections (a) through (j) of this rule;
(l) the
identification by street address, or legal or lot-and-block description, of all
real property located in the State of Texas in which the reporting party or his
or her spouse has a leasehold interest, a contractual right to purchase, or an
interest as: fee simple owner;
beneficial owner; partnership owner; joint owner with an individual or
corporation; or owner of more than twenty-five (25) percent of a corporation
that has title to real property. There is no requirement to list any
property:
(1)
used
as a personal residence of a peace officer;
(2)
over
which the reporting party has no decision power concerning acquisitions or sale;
or
(3)
held
through a real estate investment trust, mutual fund, or similar entity, unless
the reporting party or his or her spouse participates in the management
thereof;
(m) the name of persons or entities to whom
the reporting party or spouse owes an unsecured debt of more than five thousand
dollars ($5,000.00), other than debts for:
(1)
money
borrowed from a family member from his or her own resources; and
(2)
revolving
charge accounts.
(n) the
name of each person, business entity, or other organization from whom the
reporting party, or his or her spouse, received a gift with an estimated fair
market value in excess of one hundred dollars ($100) during the reporting period
and the estimated fair market value of each gift. Excluded from this requirement
are:
(1)
lawful
campaign contributions which are reported as required by state statute or local
ordinance;
(2)
gifts
received from family members within the second degree of affinity or
consanguinity;
(3)
gifts
from an individual based on personal friendship who during the preceding three
calendar years: a) has not done or sought to do business with the city; b) has not sought city action on any
issue before the City Council or any city board or commission; c) is not associated with any business
or entity that has done or sought to do business with the city; and d) is not
associated with any business or entity that has sought city action on any issue
before the City Council or a city board or commission.
(4)
gifts
received among and between fellow city employees and city officials; and
(5)
admission
to events in which the reporting party participated in connection with official
duties.
(6)
payment
of or reimbursement of travel and accommodations expenses accepted in connection
with official duties which have been reported under Section 2-76 (Travel
Reporting Requirements); payment for or reimbursement of expenses for travel in
excess of authorized rates under city policy are gifts subject to the reporting
requirements under this section.
Section 2-75 Short Form Annual
Report
A person who
is required to file an annual financial disclosure report may fulfill his or her
filing obligations by submitting a short sworn statement on a form provided by
the city, if there have been few or no changes
in the information disclosed by that person in a complete financial disclosure
report filed within the past five (5) years. The short statement shall indicate
the date of the person’s most recently filed complete financial disclosure
report and shall state that there have been no material changes in that
information or shall list any material changes that have occurred.
Section 2-76 Travel Reporting
Requirements
(a) Any
city official or
employee
who, in connection with his or her official duties, accepts a trip or excursion
involving the gratuitous provision of transportation, accommodations,
entertainment, meals, or refreshments paid for by a person or entity other than
a public agency must file with the City Clerk, before embarking on the travel, a
disclosure statement identifying:
(1)
the
name of the sponsor;
(2)
the
places to be visited; and
(3)
the
purpose and dates of the travel;
(4)
the
estimated amount of the expenses paid.
(b) Acceptance
of a trip or excursion by Municipal Court Judges and Magistrates,
City Manager, Deputy City Manager, City Clerk, Assistant City Clerk, Assistant
City Managers, Assistants to the City Manager, and all department heads,
assistant department heads, and employees in positions listed on the executive
pay plan (Job Class 1000 through 1999)
must receive prior written approval of the City Manager. Other personnel must receive written
approval by their department director.
Boards and commissions members must receive approval by a vote of their
board or commission.
Section
2-77 Items Received on Behalf of
the City
A
city official or employee who accepts any item by way of gift valued over
$100.00 or loan on behalf of the city must promptly report that fact to the City
Manager, who shall have the item appropriately inventoried as city
property.
Section 2-78 Other Persons Required to Report
Gifts
In addition to the gift reporting requirements imposed by the financial
disclosure rules stated in Section 2-74(n) of Division 7 (Contents of Financial
Disclosure Reports), other city employees specified on a list compiled annually
by the Human Resources Department (or its successor department) and submitted to
the City Clerk, and contract administrative assistants to members of City
Council are also required to file an annual report on or before the
31st day of January of each year showing the source of a gift
received during the previous year with a value of over one hundred dollars
($100.00). Excluded from this requirement are:
(1) lawful
campaign contributions which are reported as required by state statute;
(2) gifts
received from family members within the second degree of affinity or
consanguinity;
(3) gifts
from an individual based on personal friendship who during the preceding three
calendar years: a) has not done or sought to do business with the city; b) has not sought city action on any
issue before the City Council or any city board or commission; c) is not associated with any business
or entity that has done or sought to do business with the city; and d) is not
associated with any business or entity that has sought city action on any issue
before the City Council or a city board or commission.
(4) gifts
received among and between fellow city employees and city officials;
(5)
admission
to events in which the reporting party participated in connection with official
duties;
(6)
payment
of or reimbursement of travel and accommodations expenses accepted in connection
with official duties which have been reported under Section 2-76 (Travel
Reporting Requirements);
payment for or reimbursement of expenses for travel in excess of authorized
rates under city policy are gifts subject to the reporting requirements under
this section.
Section
2-79 Violation of Reporting
Requirements
Failure to
timely file a report required by this ethics code is
a violation hereof, as is the knowingly filing of a report with incorrect,
misleading, or incomplete information. If an individual inadvertently files an
incorrect or incomplete report, it is his or her responsibility to file an
amended report as soon as possible, though no later than fifteen (15) days after
discovery of the error or after the error should have reasonably been
discovered. If an individual inadvertently files an incorrect or incomplete
report, it is his or her responsibility to file an amended report as soon as
possible.
To file a late or amended report, the person shall use the required
report form provided by the City Clerk’s Office and mark in the appropriate box
whether the report is late-filed or an amended report.
Division 8: Ethics Review Board
As used in
Division 8 (Ethics Review Board),
the term “ethics laws” includes this code
of ethics, codified as Chapter 2, Article III of the City Code,
Section 141 of the City Charter, and Section 171 of the Texas Local
Government Code. The term “ethical violation” includes violations of any of
those enactments. Other terms used in Division 8 (Ethics Review Board) are
defined in Section 2-42 of Division 1 (Definitions).
The term
“municipal campaign finance regulations” refers to the code of municipal
campaign finance regulations, codified as Chapter 2, Article VII of the City
Code.
Section
2-81 Structure of the Ethics Review
Board
(a) In
accordance with Article XIII of the City Charter, there is hereby established an
independent Ethics Review Board, which shall have the powers and duties
specified in Article XIII of the City Charter, Chapter 2, Article III of the
City Code (Ethics Code), and Chapter 2, Article VII of the City Code (Municipal
Campaign Finance Regulations), and other powers and duties prescribed by
ordinance.
Upon
appointment and administration of the oath of office of a quorum of this Ethics
Review Board pursuant to Article XIII of the City Charter, the former Ethics
Review Board established under Ordinance No. 88874 (1998) shall be
dissolved.
(b) Composition.
The Ethics Review Board shall consist of eleven (11) members. The Mayor and each
member of the City Council shall nominate one member of the Board. Each nominee
must be confirmed by a majority of
City
Council members. Nomination and confirmation of Board members shall be conducted
at separate open meetings of the City Council.
(c) Terms
of Office.
Initial
board appointments shall be made so that terms are staggered, with six members
to serve an initial term of two years and five members to serve an initial term
of three years, determine after appointment by lottery. Subsequent appointments shall be for a
term of two years beginning on the day after the expiration of the preceding
full term. No member of the board
shall serve for more than three full terms.
(d) Qualifications.
Members of the Board shall have good moral character and shall be residents of
the city. No member of the Board shall be:
(1)
a
salaried city official or employee;
(2)
an
elected public official;
(3)
a
candidate for elected public office;
(4)
an
officer of a political party;
(5)
a
campaign treasurer, campaign manager, officer or other policy or decision-maker
for the campaign of any candidate for elected public office;
(6)
a
campaign treasurer, campaign manager, officer or other policy or decision-maker
for any political action committee as defined in the Texas Election Code;
(7)
a
member of any city board or commission other than the Ethics Review Board;
(8)
a
member of any board or commission for which the position is appointed by City
Council
(9)
a
lobbyist required to register under Division 5 (Lobbyists) of this ethics
code.
Further,
no member of the Ethics Review Board shall have any convictions for a felony or
a crime of moral turpitude, or shall have been found in violation of any
provision of the city’s Code of Ethics.
The San Antonio Police Department will conduct a criminal background
check through the NCIC system for each applicant to the board.
The City
Council shall support the inclusion of at least one attorney and one individual
with expertise in finance or accounting within the membership of the Ethics
Review Board.
(e) Removal.
Members of the Ethics Review Board may be removed from office for cause by a
majority of the City Council only after a public hearing at which the member was
provided with the opportunity to be heard. Grounds for removal include: failure
to satisfy, or to continue to satisfy, the qualifications set forth in
Subsection (d); substantial neglect of duty; gross misconduct in office;
inability to discharge the powers or duties of office; or violation of any
provision in this code of ethics or a conviction of a felony or crime of moral
turpitude.
(f) Vacancies. The City Council shall fill any vacancy
on the Board by a person who will serve the remainder of the unexpired
term. The nomination to fill a
vacancy shall be made by the member of City Council (or his or her successor)
who had nominated the person whose successor is to be selected to fill the
vacancy.
(g) Recusal.
A member of the Ethics Review Board shall recuse himself or herself from any
case in which, because of familial relationship, employment, investments, or
otherwise, his or her impartiality might reasonably be questioned. A Board
member may not participate in official action on any complaint:
(1)
that
the member initiated;
(2)
that
involves the member of City Council who nominated him or her for a seat on the
Ethics Review Board; or
(3)
during
the pendency of an indictment or information charging the member with any felony
or misdemeanor offense, or after a finding of guilt of such an offense.
If the
number of Board members who are recused from a case is so large that an Ethics
Panel cannot be constituted, as provided for in Section 2-85 of Division 8 (Ethics Panel), the
Mayor shall nominate a sufficient number of ad hoc members so that the case can be
heard. Ad hoc members of the Ethics Review Board must be confirmed by a majority
vote of the City Council and serve only for the case in question.
(h) Chair
and Vice-Chair.
Each year, the Board shall meet and elect a chair and a vice-chair from among
its members, who will serve one-year terms and may be re-elected. The chair or a
majority of the Board may call a meeting of the Board. The chair shall preside
at meetings of the Ethics Review Board and perform other administrative duties.
The vice-chair shall assume the duties of the chair in the event of a vacancy in
that position.
(i) Panels.
Each year, at the time of the
election of a chair and vice-chair, the chair will also make panel
assignments. In the event of
vacancies or absences, the chair may make reassignments as needed so that each
panel has no fewer than three members of the Board.
(j)
Reimbursement.
The
members of the Ethics Review Board shall not be compensated but shall be
reimbursed for reasonable expenses incurred in the performance of their official
duties.
Section 2-82 Jurisdiction and Powers
(a) Jurisdiction. The Ethics Review Board shall have
jurisdiction to investigate and make findings and conclusions concerning:
(1)
an
alleged violation of the ethics code enacted from time to time by
ordinance;
(2)
an
alleged violation of regulations governing lobbying enacted from time to time by
ordinance;
(3)
an
alleged violation of local campaign finance regulations enacted from time to
time by ordinance; and
(4)
an
alleged violation of Section 141 of the City Charter, provided, however, that
the Ethics Review Board has no jurisdiction to find or conclude that a city
officer or employee has forfeited his or her office or position.
The Board
shall not consider any alleged violation that occurred more than two (2) years
prior to the date of the filing of the complaint.
(b) Termination
of City Official’s or Employee’s Duties.
The termination of a city official’s or employee's duties does not affect the
jurisdiction of the Ethics Review Board with respect to alleged violations
occurring prior to the termination of official duties.
(c) Powers.
The Ethics Review Board has the power:
(1)
to
establish, amend, and rescind rules and procedures governing its own internal
organization and operations, consistent with ordinances pertaining to the Code
of Ethics, including lobbying regulations, and the Code of Municipal Campaign
Finance;
(2)
to meet as
often as necessary to fulfill its responsibilities;
(3)
to
designate panels with the power to render decisions on complaints or issue
advisory opinions on behalf of the Board;
(4)
to
request from the City Manager the assignment of staff necessary to carry out its
duties;
(5)
to
review, index, maintain on file, and dispose of sworn complaints;
(6)
to
make notifications, extend deadlines, and conduct investigations, both on
referral or complaint;
(7)
to
compel the production of sworn testimony, witnesses and evidence;
(8)
to
recommend cases for prosecution by appropriate authorities and agencies;
(9)
to
enforce its decisions by assessing civil fines and other sanctions authorized by
ordinance;
(10) to request the City
Attorney to provide an independent counsel to advise and represent the Board,
when appropriate or necessary to avoid a conflict of interest;
(11) to provide assistance in
the training and education of city officials and employees with respect to their
ethical responsibilities;
(12) to prepare an annual
report and to recommend to the City Council needed or desirable changes in
ordinances under its jurisdiction;
(13)
to
exercise such other powers and duties as may be established by
ordinance.
(a) Filing.
Any person (including a member of the Ethics Review Board or its staff, acting
personally or on behalf of the Board) who believes that there has been a
violation of the ethics laws
or
the code of municipal campaign finance regulations
may
file a sworn complaint with the City Clerk to allege such violations.
A complaint filed in
good faith is qualifiedly privileged. A person who knowingly makes a false
statement in a complaint, or in proceedings before the Ethics Review Board, is
subject to criminal prosecution for perjury [see Division 8, Section 2-87(g)
(Criminal Prosecution)] or civil liability for the tort of abuse of
process.
(b) Form.
A complaint filed under this section must be in writing and under oath and must
set forth in simple, concise, and direct statements:
(1)
the
name of the complainant;
(2)
the
street or mailing address and the telephone number of the complainant;
(3)
the
name of each person complained about;
(4)
the
position or title of each person complained about;
(5)
the
nature of the alleged violation, including, if possible, the specific provision
of the code of ethics or municipal campaign finance regulations
alleged
to have been violated;
(6)
a
statement of the facts constituting the alleged violation and the dates on which
or period of time in which the alleged violation occurred; and
(7)
all documents or other material available to the complainant that are
relevant to the allegation; a list of all documents or other material relevant
to the allegation and available to the complainant but that are not in the
possession of the complainant, including the location of the documents, if
known; and a list of all documents or other material relevant to the allegation
but unavailable to the complainant, including the location of the documents, if
known.
The
complaint must be accompanied by an affidavit stating that the information
contained in the complaint is either true and correct or that the complainant
has good reason to believe and does believe that the facts alleged constitute a
violation of the Ethics Code or the Code of Municipal Campaign Finance
Regulations. If the complaint is based on information and belief, the complaint
shall state the source and basis of the information and belief. The complainant
shall swear to the facts by oath before a notary public or other person
authorized by law to administer oaths under penalty of perjury.
The
complaint must state on its face an allegation that, if true, constitutes a violation
of a law administered and enforced by the Board.
(c) Frivolous
Complaint.
(1)
For
purposes of this section, a "frivolous complaint" is a sworn complaint that is
groundless and brought in bad faith or groundless and brought for the purpose of
harassment.
(2)
By
a vote of at least two-thirds of those present, the Board may order a
complainant to show cause why the Board should not determine that the complaint
filed by the complainant against a respondent is a frivolous complaint.
(3)
In
deciding if a complaint is frivolous, the Board will be guided by the Texas
Rules of Civil Procedure, Rule 13, and interpretations of that rule, and may
also consider:
(A) the timing of the
sworn complaint with respect to when the facts supporting the alleged violation
became known or should have become known to the complainant, and with respect to
the date of any pending election in which the respondent is a candidate or is
involved with a candidacy, if any;
(B) the
nature and type of any publicity surrounding the filing of the sworn complaint,
and the degree of participation by the complainant in publicizing the fact that
a sworn complaint was filed with the Board;
(C)