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Ethics Review CommissionPage 2 of 24Meeting Date: May 17, 2017
Town of Trophy Club 100 Municipal Drive
Trophy Club, Texas 76262
Legislation Details (With Text)
File #:2017-198-T Version:1 Name:
Type:Agenda Item Status:Regular Session
File created:5/8/2017 In control:Ethics Review Commission
On agenda:5/17/2017 Final action:
Title:Consider and take appropriate action regarding the appointment of the Chairman (Staff).
Attachments:Staff Report - Appointment of Chairman.pdf
DateVer.Action ByActionResult
Consider and take appropriate action regarding the appointment of the Chairman (Staff).
Ethics Review CommissionPage 3 of 24Meeting Date: May 17, 2017
To: Ethics Review Commission
From: Holly Fimbres, Town Secretary/RMO
CC: Thomas M. Class, Sr., Town Manager
J. David Dodd III, Town Attorney
Re: Appointment of Chairman
Ethics Review Commission Meeting, May 17, 2017
Agenda Item:
Consider and take appropriate action regarding the appointment of the Chairman (Staff).
Explanation:
The Commission shall elect a Chairman to serve a one (1) year term and the Chairman shall
preside over the meetings. The selection may be chosen from the following three (3)
Commissioners: Cory Williamson; David DeHaven; or Jared King.
There are two (2) Alternate Commissioners, Brandon Blake and Reece Bautista.
Ethics Review CommissionPage 4 of 24Meeting Date: May 17, 2017
Town of Trophy Club 100 Municipal Drive
Trophy Club, Texas 76262
Legislation Details (With Text)
File #:2017-199-T Version:1 Name:
Type:Agenda Item Status:Regular Session
File created:5/8/2017 In control:Ethics Review Commission
On agenda:5/17/2017 Final action:
Title:Consider and take appropriate action regarding the appointment of the Vice Chairman (Staff).
Attachments:Staff Report - Appointment of Vice Chairman.pdf
DateVer.Action ByActionResult
Consider and take appropriate action regarding the appointment of the Vice Chairman (Staff).
Ethics Review CommissionPage 5 of 24Meeting Date: May 17, 2017
To: Ethics Review Commission
From: Holly Fimbres, Town Secretary/RMO
CC: Thomas M. Class, Sr., Town Manager
J. David Dodd III, Town Attorney
Re: Appointment of Vice-Chairman
Ethics Review Commission Meeting, May 17, 2017
Agenda Item:
Consider and take appropriate action regarding the appointment of the Vice Chairman (Staff).
Explanation:
The Commission shall elect a Vice-Chairman to serve a one (1) year term and the Vice-Chairman
shall act as Chairman in the absence of the Chairman. The selection may be chosen from the
following three (3) Commissioners: Cory Williamson; David DeHaven; or Jared King.
There are two (2) Alternate Commissioners, Brandon Blake and Reece Bautista.
Ethics Review CommissionPage 6 of 24Meeting Date: May 17, 2017
Town of Trophy Club 100 Municipal Drive
Trophy Club, Texas 76262
Legislation Details (With Text)
File #:2017-200-T Version:1 Name:
Type:Agenda Item Status:Regular Session
File created:5/8/2017 In control:Ethics Review Commission
On agenda:5/17/2017 Final action:
Title:Consider and take appropriate action regarding the Ethics Review Commission Minutes dated May
18, 2016 (Staff).
Attachments:Draft Ethics Review Commission Minutes May 18, 2016.pdf
DateVer.Action ByActionResult
Consider and take appropriate action regarding the Ethics Review Commission Minutes dated May 18, 2016 (Staff).
Ethics Review CommissionPage 7 of 24Meeting Date: May 17, 2017
MINUTES FROM REGULAR SESSION ETHICS REVIEW COMMISSION MEETING
FOR THE TOWN OF TROPHY CLUB
LOCATION: 100 MUNICIPAL DRIVE, TROPHY CLUB, TEXAS
Wednesday, May 18, 2016 at 4:00 P.M.
Public Services Conference Room
The Ethics Review Commission of the Town of Trophy Club, Texas, met in Regular Session on Wednesday, May 18,
2016. The meeting was held within the boundaries of the Town and was open to the public.
STATE OF TEXAS §
COUNTY OF DENTON §
COMMISSION MEMBERS PRESENT:
Tom Setser Chair
Lorrie Branson Commissioner
Ted Powell Alternate Commissioner
Carol Sue Tombari Alternate Commissioner
COMMISSION MEMBERS ABSENT:
Mary Parker Commissioner
STAFF AND GUEST(S) PRESENT:
Steven Glickman Assistant Town Manager/CFO
Patricia Adams Town Attorney
Holly Fimbres Town Secretary/RMO
Shannon Montgomery Executive Secretary / Records Analyst
Assistant Town Manager/CFO Glickman announced the date of Wednesday, May 18, 2016, called the meeting to
order and announced a quorum at 4:05 p.m.
REGULAR SESSION
1. Consider and take appropriate action regarding the appointment of the Chair (Staff).
Motion:
Motion made by Commissioner Branson, seconded by Alternate Commissioner Tombari, to appoint Tom Setser to
Chair of the Ethics Review Commission.
Motion passed unanimously.
2. Consider and take appropriate action regarding the Minutes dated May 6, 2015 (Staff).
Motion:
Motion made by Commissioner Branson, seconded by Chair Setser, to approve the Minutes dated May 6, 2015 as
presented in the packet.
Motion passed unanimously.
3. Annual review of Code of Ethics and Conduct; consider and take appropriate action to recommend changes
to the Town Council (Staff).
The Commission discussed and recommended that Alternate Commissioners have the right of first refusal for
future open Commissioner positions.
Alternate Commissioner Powell commented that Section 17.02, Principles of Conduct, Subsection A, Values,
Number 3, Commitment to the public good, and Number 5, Accountability to the public, appeared to be
redundant.
Ethics Review CommissionPage 8 of 24Meeting Date: May 17, 2017
The Commission discussed that the two items, although similar, were different in regards to commitment and
accountability having different meanings.
Motion:
Motion made by Commissioner Setser, seconded by Alternate Commissioner Tombari, to make no
recommendations to change Ordinance No. 2011-03, the Town of Trophy Club’s Code of Ethics and Conduct.
Motion passed unanimously.
ADJOURN
Motion made by Commissioner Branson, seconded by Alternate Commissioner Tombari, to adjourn the meeting at
4:17 p.m.
Motion passed unanimously.
___________________________________ ___________________________________
Holly Fimbres, Town Secretary/RMO Tom Setser, Chair
Town of Trophy Club, Texas Town of Trophy Club, Texas
Ethics Review Commission Minutes May 18, 2016 Page 2 of 2
Ethics Review CommissionPage 9 of 24Meeting Date: May 17, 2017
Town of Trophy Club 100 Municipal Drive
Trophy Club, Texas 76262
Legislation Details (With Text)
File #:2017-201-T Version:1 Name:
Type:Agenda Item Status:Regular Session
File created:5/8/2017 In control:Ethics Review Commission
On agenda:5/17/2017 Final action:
Title:Consider and take appropriate action regarding the Code of Ethics and Conduct ordinance, providing
any recommendations to the Town Council for amendments (Staff).
Attachments:Staff Report - Annual review of the Code of Ethics and Conduct.pdf
Code of Ethics and Conduct Ordinance.pdf
DateVer.Action ByActionResult
ConsiderandtakeappropriateactionregardingtheCodeofEthicsandConductordinance,providingany
recommendations to the Town Council for amendments (Staff).
Ethics Review CommissionPage 10 of 24Meeting Date: May 17, 2017
To: Ethics Review Commission
From: Holly Fimbres, Town Secretary/RMO
CC: Thomas M. Class, Sr., Town Manager
J. David Dodd III, Town Attorney
Re: Annual Review of the Code of Ethics and Conduct
Ethics Review Commission Meeting, May 17, 2017
Agenda Item:
Consider and take appropriate action regarding the Code of Ethics and Conduct ordinance,
providing any recommendations to the Town Council for amendments (Staff).
Explanation:
According to Section 1.05.006, Ethics review commission, subsection g, Meetings, of the Town
of Trophy Club Code of Ordinances, the Commission shall meet at least once a year to review
the Code of Ethics and Conduct article and may make recommendations to the Town Council
for amendments.
Attachments:
Code of Ethics and Conduct Ordinance
Ethics Review CommissionPage 11 of 24Meeting Date: May 17, 2017
Page 1of 13
*
ARTICLE 1.05 CODE OF ETHICS AND CONDUCT
Sec. 1.05.001 Policy; applicability
(a) Policy. It is hereby declared to be the policy of the town that the proper operation of democratic
government requires that town officials, candidates, appointees, and employees be independent,
impartial and responsible to the people of the town; that governmental decisions and policy be made
in the proper channels of the governmental structure; that no town official, candidate, appointee, or
employee have any interest, financial or otherwise, direct or indirect, or engage in any business,
transaction or professional activity or incur any obligation of any nature which is in conflict with the
proper discharge of his duties in the public interest; that public office and public employment are
positions of public trust imposing the duty of a fiduciary upon all employees and officeholders, who
are not to use their public position for personal gain; and that the public should have confidence in
the integrity of its government.
(b) Applicability. To implement this policy, the town council enacts this code of ethics and conduct
for all town officials, candidates, appointees and employees, whether elected or appointed, paid or
unpaid, to serve not only as a guide for official conduct of the townÓs public servants, but also as a
basis for discipline for those who refuse to abide by its terms. The provisions of this article shall not
apply to political contributions, loans, expenditures, reports or regulation of political campaigns, or
the conduct of candidates in such campaigns, except as expressly provided herein.
(Ordinance 2011-03, sec. 2 (17.01), adopted 2/7/11)
Sec. 1.05.002 Principles of conduct
(a) Values. The town council further believes that town officials, candidates, appointees and
employees require a public trust and should recognize the importance of high ethical standards
within the organization they lead or support. Essential values and ethical behaviors that town
officials, candidates, appointees and employees should exemplify include the following:
(1) Commitment beyond self.
(2) Obedience and commitment beyond the law.
(3) Commitment to the public good.
(4) Respect for the value and dignity of all individuals.
(5) Accountability to the public.
(6) Truthfulness.
(7) Fairness.
(8) Responsible application of resources.
(b) Conduct. In keeping with the values set forth in subsection (a) of this section and to assist in
the fulfillment of responsibilities to the individuals and communities served, each town official,
candidate, appointee and employee should:
(1) Conduct himself and operate with integrity and in a manner that merits the trust and
support of the public.
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(2) Uphold all applicable laws and regulations, going beyond the letter of the law to
protect and/or enhance the townÓs ability to accomplish its mission.
(3) Treat others with respect, doing for and to others what the town official, candidate,
appointee or employee would have done for and to himself in similar circumstances.
(4) Be a responsible steward of the taxpayer resources.
(5) Take no actions that could benefit the town official, candidate, appointee or
employee personally at the unwarranted expense of the town, avoiding even the
appearance of a conflict of interest, and exercise prudence and good judgment at all
times.
(6) Carefully consider the public perception of personal and professional actions and
the effect such actions could have, positively or negatively, on the townÓs reputation both
in the community and elsewhere.
(7) Strive for personal and professional growth to improve effectiveness as an elected
or appointed town official, candidate, appointee or employee.
(c) Interpretation. This section is a statement of principles only. Nothing in this section may be
used to create a cause of action against an elected or appointed town official, candidate, appointee
or employee under this article.
(Ordinance 2011-03, sec. 2 (17.02), adopted 2/7/11)
Sec. 1.05.003 Definitions
Appointee. A person appointed or confirmed by the mayor or town council; provided, however, for the
purposes of this definition, the term ÐappointeeÑ does not include municipal judges.
Business entity. A corporation, partnership, sole proprietorship, firm, enterprise, franchise,
association, organization, self-employed individual, holding company, joint stock company,
receivership, trust, or any other entity recognized by law.
Candidate. A person who declares for or files for any office of the town to be filled by election.
Clear and convincing evidence. Evidence that is legally and factually sufficient such that a fact-finder
could reasonably form a firm belief or conviction that the allegation is true.
Compensation. Any economic benefit received in return for labor, services, property, or investment.
Economic benefit. Any money, real or personal property, purchase, sale, lease, contract, option,
credit, loan, discount, service, or other tangible or intangible thing of value, whether similar or
dissimilar to those enumerated.
Employee. A person employed by the town, including those individuals on a part-time basis,
excluding independent contractors.
Family member. A person related to a town official, candidate, appointee, or employee in the first
degree by consanguinity (blood) or affinity (marriage) as determined under the Texas Government
Code.
Gift. A favor, hospitality, or economic benefit other than compensation but which does not include
campaign contributions reported as required by state law, gifts received from a relative if given on
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account of kinship, or any value received by will, intestate succession, or as a distribution from an
inter vivos or testamentary trust established by a spouse or ancestor.
Income. Economic benefit received.
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.
Knowingly. A person acts knowingly, or with knowledge, with respect to the nature of his conduct or
to circumstances surrounding his conduct when he is aware of the nature of his conduct or that the
circumstances exist. A person acts knowingly, or with knowledge, with respect to a result of his
conduct when he is aware that his conduct is reasonably certain to cause the result.
Substantial interest.
(1) A person has a substantial interest in a business entity if:
(A) The interest is ownership of ten percent or more of the voting stock or shares
of the business entity or ownership of either ten percent or more or $5,000.00 or
more of the fair market value of the business entity;
(B) Funds received by the person from the business entity exceed ten percent of
the personÓs gross income for the previous year;
(C) The person holds a position of member of the board of directors or other
governing board of the business entity;
(D) The person serves as an elected officer of the business entity;
(E) The person is an employee of the business entity;
(F) The person is a creditor, debtor or guarantor of the business entity in the
amount of $5,000.00 or more; or
(G) Property of the person has been pledged to the business entity or is subject to
a lien in favor of the business entity in the amount of $5,000.00 or more.
(2) A person does not have a substantial interest in a business entity if:
(A) The person holds a position as a member of the board of directors or other
governing board of a business entity or governmental body;
(B) The person has been designated by the town council to serve on such board;
(C) The person receives no remuneration, either directly or indirectly, for his or
her service on such board; and
(D) The primary nature of the business entity is either charitable, nonprofit or
governmental.
(3) A person has a substantial interest in real property if the interest is an equitable or
legal ownership interest with a fair market value of $2,500.00 or more.
(4) A person has a substantial interest under this article if the personÓs family member
has a substantial interest under this article.
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Town official. The mayor, members of the town council, the town manager, the town attorney, the
town secretary, judges of the municipal court, and individuals acting in the capacity of the
aforementioned persons.
(Ordinance 2011-03, sec. 2 (17.03), adopted 2/7/11)
Sec. 1.05.004 Standards of conduct; prohibited acts
No town official, candidate, appointee or employee, or their family member shall knowingly or
intentionally:
(1) Accept or solicit any gift, favor, service or thing of value from any person, group or
business entity, including a promise of future employment, that might reasonably tend to
influence him in the discharge of his official duties or that the town official, candidate,
appointee or employee knows or should know is being offered with the intent to influence
the official conduct of the town official, candidate, appointee or employee. This prohibition
shall not apply to:
(A) An occasional non-pecuniary gift, insignificant in value;
(B) An award publicly presented in recognition of public service;
(C) Any gift which would have been offered or given to the town official,
candidate, appointee or employee or a family member if he were not a town official,
candidate, appointee, employee, or family member; or
(D) Any travel and related expenses to attend ceremonial functions, provided that
such acceptance and attendance have been approved by the town council prior to
the occurrence of the ceremonial function.
(2) Grant in the discharge of his official duties any improper favor, service or thing of
value to any person, group or business entity.
(3) Disclose any confidential information gained by reason of the position of the town
official, candidate, appointee or employee concerning property, operations, policies or
affairs of the town, or use such confidential information to advance any personal interest,
financial or otherwise, of such town official, candidate, appointee or employee, family
members or third parties. This subsection shall not preclude disclosure of such
confidential information in connection with any investigation or proceeding regarding
whether there has been a violation of the standards of conduct set forth in this article.
(4) Use oneÓs position or office of employment or town facilities, personnel, equipment
or supplies to secure special privileges or exemptions for himself, family members or third
parties or for the private gain of the town official, candidate, appointee, employee, or his
family members or third parties.
(5) Engage in any exchange, purchase or sale of property, goods or services with the
town, except:
(A) Rendering services to the town as a town official, candidate, appointee or
employee;
(B) Paying taxes, fines, or utility service or filing fees;
(C) Executing and performing any developerÓs agreement or plat in compliance
with laws and regulations applicable to any person; provided, however, that if any
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town ordinance, rule or regulation allows any discretion by the appropriate town
official, appointee or employee in the interpretation or enforcement of such
ordinance, rule or regulation, any such discretion shall be exercised in favor of the
town in connection with any such developerÓs agreement or plat;
(D) Appointees who are not also town officials or employees of the town may
engage in any exchange, purchase or sale of property, goods or services with the
town, or enter into a contract with the town, provided that the board on which they
are a member has no advisory function, involvement, or decision-making authority,
either direct or indirect, present or prospective, with respect to the transaction in
which such appointee engages or proposes to engage.
(6) Hold himself out as representing the town in any capacity other than that for which
he was appointed, elected or hired.
(7) Engage in or accept private employment or render a service when such
employment or service is incompatible with the proper discharge of his official duties or
would tend to impair his independent judgment in the performance of official duties.
(8) Make or permit the unauthorized use of town-owned vehicles, equipment, materials
or property.
(9) Grant any special consideration, treatment or advantage to any citizen beyond that
which is available to every other citizen.
(10) After termination of service or employment with the town, appear before any board
or commission of the town in relation to any case, proceeding or application in which he
personally participated or which was under his active consideration during the period of
his service or employment.
(11) Transact any business in his official capacity with the town with a business entity in
which he has a substantial interest.
(12) Perform or refuse to perform any act in order to deliberately thwart the execution of
town ordinances, rules or regulations or the achievement of official town programs.
(Ordinance 2011-03, sec. 2 (17.04), adopted 2/7/11)
Sec. 1.05.005 Disclosure of interest; abstention from voting
(a) Vote not allowed. Except as expressly provided in subsection (b) of this section, if a town
official, candidate, appointee or employee has a substantial interest in a business entity or real
property involved in a matter pending before such town official, candidate, appointee or employee, or
the body of which he is a member, such town official, candidate, appointee or employee shall
disclose such interest as provided in subsection (c) of this section and shall not vote or discuss the
substance of the matter at any time with any other member of the board of which he is a member or
any other body which will vote on or otherwise participate in the consideration of the matter.
(b) Vote allowed. If any of the following interests are involved in any matter pending before any
town official, candidate, appointee or employee, or the body of which he is a member, such town
official, candidate, appointee or employee shall disclose such interest as provided in subsection (c)
of this section, but he shall be permitted to vote on and participate in the consideration of such
matter:
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(1) A matter concerning a bank or other financial institution from which the town official,
candidate, appointee or employee has a home mortgage, automobile loan, or other
installment loan, if the loan is not currently in default, was originally for a term of more
than two (2) years and cannot be accelerated except for failure to make payments
according to the terms thereof:
(2) A matter concerning a bank or other financial institution in which the town official,
candidate, appointee or employee holds a savings account, checking account or
certificate of deposit and which is fully insured by the U.S. government or an agency
thereof;
(3) A matter concerning a business entity with which the town official, candidate,
appointee or employee has a retail or credit card account;
(4) A matter concerning the approval of substitution of collateral by a town depository
bank;
(5) A matter concerning real property or a business entity in which the town official,
candidate, appointee or employee has a substantial interest if the action on the matter
would not have a special economic effect on the value of the property or business entity,
distinguishable from the effect on the public.
(c) Affidavit and reporting requirement. A town official, appointee or employee shall disclose the
existence of a substantial interest in a business entity or real property involved in any matter pending
before such town official, appointee or employee, or the body of which he is a member or serves as
the staff liaison. To comply with subsection (a) of this section, a town official, appointee or employee
shall, prior to any discussion or determination of the matter, file an affidavit of disclosure as required
by section 171.004 of the Texas Local Government Code, as amended, with the town secretary. To
comply with subsection (b) of this section, a town official, employee or appointee shall publicly
disclose in the official minutes of the body the nature of his interest. To comply with subsection (b) of
this section, an employee shall notify the town manager or his designee in writing of the nature of
any substantial interest that he or a family member has in a business entity or real property which
would be affected by an exercise of discretionary authority by the employee and such matter shall be
regulated in accordance with town policies and procedures.
(Ordinance 2011-03, sec. 2 (17.05), adopted 2/7/11)
Sec. 1.05.006 Ethics review commission
(a) Established. An ethics review commission (commission) is hereby established to be composed
of three (3) members and two (2) alternate members, all of whom shall reside in the town and shall
be appointed by majority vote of the town council.
(b) Appointment to positions. Each commission member shall occupy a position on the
commission, such positions being numbered 1 through 3.
(c) Term of office. The commission members shall be appointed to two (2) year staggered terms.
Position 1 shall serve an implementation term that shall expire on September 30th of 2016 and shall
expire thereafter in even-numbered years. The term for position 2 shall also expire in even-numbered
years. The term for each alternate member and position 3 shall expire in odd-numbered years. No
member shall serve for more than two (2) consecutive full terms. Implementation terms shall not be
counted as full terms.
(d) Vacancies. All vacancies shall be filled for the unexpired term. A member shall hold office until
his successor has been appointed by the town council and shall continue to hold office after his
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successor has been appointed by the town council for the limited purpose of the disposition of all
complaints filed during that memberÓs term. No new member may participate in a decision regarding
a complaint filed prior to the expiration of the previous memberÓs term, but new members shall
accomplish the duties of office with respect to all complaints filed after the previous memberÓs term.
(e) Chairman and vice-chairman. The commission shall elect a chairman and a vice-chairman to
serve one (1) year terms. The vice-chairman shall act as chairman in the absence of the chairman.
(f) Quorum. Three (3) members of the commission shall constitute a quorum, and no action of the
commission shall be of any force or effect unless it is adopted by the favorable vote of two (2) or
more members.
(g) Meetings. The commission shall meet at least once a year to review this article and may make
recommendations to the town council for amendments hereto.
(h) Issuance of advisory opinions. The commission shall render advisory opinions on potential
conflicts of interest or violation of this article at the request of a town official, candidate, appointee or
employee subject to the terms of this article. Such advisory opinion shall be rendered within a
reasonable time, but in no event later than thirty (30) days after a request is received by the
commission. A copy of an advisory opinion issued to an employee shall be forwarded to the town
manager. A copy of an advisory opinion issued to an appointee shall be forwarded to the town
council.
(i) Advisory opinion as defense. It shall be a defense to an alleged violation of this article that the
person accused previously requested an advisory opinion of the commission and acted on such
opinion in good faith, unless material facts were omitted or misstated by the person requesting the
opinion. Such advisory opinion shall also be binding on the commission in any subsequent charges
concerning the person requesting the opinion.
(j) Legal counsel. The town attorney or independent legal counsel shall be utilized to advise the
commission and participate in hearings. The town council shall annually designate and retain
independent counsel, who shall be a duly licensed attorney in the state.
(k) Jurisdiction. The commission shall have jurisdiction to review and make findings concerning an
alleged violation of this article by a person subject to its provisions, if a written complaint meeting the
requirements set forth herein is timely filed in accordance with section 1.05.007(c) of this article.
(Ordinance 2011-03, sec. 2 (17.06), adopted 2/7/11; Ordinance 2015-28 adopted 9/22/15)
Charter referenceÎ
Ethics commission, section 11.14.
Sec. 1.05.007 Disposition of alleged violations
(a) Form and contents of complaint. In order to file a complaint under this article, a complainant
shall submit a written sworn complaint to the town secretary, which shall be notarized and shall be in
the form specified below. A sworn complaint shall be based upon personal knowledge, shall allege a
violation of this article, shall specify the provision(s) of this article alleged to have been violated, and
shall name the town official, candidate, appointee, or employee being charged.
THE STATE OF TEXAS:
COUNTY OF DENTON:
TO: THE ETHICS REVIEW COMMISSION OF THE TOWN OF TROPHY CLUB,
TEXAS:
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COMES NOW (complainant), and makes this complaint, UPON HIS/HER
PERSONAL KNOWLEDGE AND UNDER OATH against (name of person
complained against), and would show the Commission that: On or about the ______
day of ____________, ____, (insert date of the action, or omission, complained of)
____________, (name of person complained against) a/an (insert appropriate
designation; Town Official, Candidate, Appointee, or Employee) of the Town of
Trophy Club, Texas, violated the following provision(s) of Code of Ethics and
Conduct Ordinance, Town of Trophy Club, Texas, to wit: (specify by section,
subsection and paragraph number the provision(s) alleged violated) by committing
the following act, or omission, to wit:
By the making and filing of this affidavit, I certify under oath that the statements
contained herein are true and correct.
(Original signature and executed notary block must be included.)
(b) Consideration of complaints. Upon the filing of a written sworn complaint meeting all
requirements of this section, the commission shall consider possible violations of this article by town
officials, candidates, appointees and employees.
(c) Timely filing required. As a condition precedent to commission consideration of a complaint,
such complaint shall be timely filed. A complaint alleging a violation of this article shall be filed with
the town secretary within one (1) year after the date of the alleged violation in order to be considered
timely. Each of the following complaints shall be deemed untimely filed and shall be returned to the
complainant:
(1) A complaint alleging a violation that occurred before the effective date of this article;
(2) A complaint alleging a violation that occurred more than one (1) year before the
date that the complaint is filed; and
(3) A complaint filed within the period beginning on the 60th day prior to the first date of
early voting for a town election and ending on the later of the regular election date or
runoff election date for such election.
(d) False statements notification. The town secretary shall, in writing, advise the person filing a
complaint that falsely accusing someone of a violation of this article may result in criminal
prosecution, under penalty of perjury, of anyone who knowingly makes a false accusation. The town
secretary shall, in writing, advise the person charged in the complaint that falsely responding to a
complaint may result in criminal prosecution, under penalty of perjury, of anyone who knowingly
makes a false response.
(e) Processing of complaint. Complaints shall be processed as follows:
(1) Acknowledgement of receipt; distribution of copies. Not later than three (3) business
days after the town secretary receives a sworn complaint, the town secretary shall
acknowledge the receipt of the complaint to the complainant, and, if the complaint is
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timely filed, shall provide a copy of the complaint to the town attorney or independent
counsel and the person complained against. If a complaint is not timely filed, it shall be
returned to the complainant.
(2) Attorney preliminary review. Within seven (7) business days of receipt by the town
attorney or independent counsel of a complaint determined by the town secretary to have
been timely filed, the town attorney or independent counsel shall review the complaint to
determine whether the complaint is sufficient as to form and whether the complaint
alleges sufficient facts which if accepted as true would constitute a prima facie violation of
this article. Further, the complaint shall be reviewed for compliance with subsection (l) of
this section.
(A) Sufficient complaint. If the town attorney or independent counsel finds that the
complaint is both sufficient as to form, and accepting the facts alleged as true for the
limited purpose of a threshold review, finds that the allegations would constitute a
prima facie violation of this article, the complaint shall be forwarded to the
commission.
(B) Insufficient or ineligible complaint. If the town attorney or independent counsel
finds that the complaint is either insufficient as to form, or, accepting the facts
alleged as true for the limited purpose of a threshold review, finds that the
allegations would not constitute a prima facie violation of this article, the town
attorney or independent counsel shall notify the town council, the commission, the
complainant and the person complained against of this determination, and shall
return the complaint to the complainant. Further, if the town attorney or independent
counsel determines that the commission is prohibited from entertaining a complaint
under the conditions set forth in subsection (l) of this section, the town attorney or
independent counsel shall notify the town council, the commission, the complainant
and the person complained against of this determination, and shall immediately
return the complaint to the complainant.
(3) Notification of hearing date. Not later than ten (10) business days after the
commission receives a complaint forwarded by the town attorney or independent counsel,
the commission shall notify in writing both the person who made the complaint and the
person complained against of a date for a preliminary hearing. If the commission does not
hold a preliminary hearing within twenty (20) business days of its receipt of the complaint,
it shall notify the person who made the complaint and the person complained against of
the reasons for the delay and shall subsequently give the appropriate notifications to all
parties.
(f) Complaint filed by commissioner. A complaint filed by an individual member of the commission
shall be deemed to have been filed in the commission memberÓs capacity as a private citizen and, in
such event, the member of the commission filing the complaint shall not thereafter participate in any
commission meeting at which such complaint is considered except as the complainant.
(g) Communications of commission members. After a complaint has been filed and during the
pendency of a complaint before the commission, a member of the commission may not communicate
directly or indirectly with any party or person about any issue of fact or law regarding the complaint,
except at a meeting of the commission; provided that a member may consult with the attorney or the
town manager or his designee for the commission as to process, procedure and legal issues. Ex
parte communications by or to members of the commission are prohibited.
(h) Disclosure of information prohibited. No town official, candidate, appointee, or employee shall
reveal information relating to the filing or processing of a complaint, except as required for the
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performance of official duties or as required by law. All papers and communications relating to a
complaint shall be treated as confidential unless required to be made public under the Public
Information Act, court order, or other applicable law.
(i) Preliminary hearing. A preliminary hearing shall be conducted in accordance with the following:
(1) As soon as reasonably possible, but in no event more than sixty (60) days after
receiving a complaint, the commission shall conduct a preliminary hearing. The issue at a
preliminary hearing shall be the existence of reasonable grounds to believe that a
violation of this article has occurred. The person filing a complaint shall state the alleged
violation and shall describe in narrative form the testimony and other evidence which
would be presented to prove the alleged violation as stated in the written complaint.
Statements at a preliminary hearing shall be under oath, but there shall be no cross-
examination or requests for persons or evidence issued for the hearing. Members of the
commission may question the complainant, the independent counsel for the commission,
or the town official, candidate, appointee or employee named in the complaint. The town
official, candidate, appointee or employee named in the complaint may not be compelled
to give evidence or testimony that violates his right against self-incrimination under the
United States or the state constitution.
(2) The town official, candidate, appointee or employee named in the complaint shall
have the opportunity to respond, but is not required to attend or make any statement. The
town official, candidate, appointee or employee may describe in narrative form the
testimony and other evidence which would be presented to disprove the alleged violation.
(3) The complainant and the town official, candidate, appointee or employee named in
the complaint shall have the right of representation by counsel paid for at his own
expense.
(4) At the conclusion of the preliminary hearing, the commission shall decide whether a
final hearing should be held. If the commission determines that there are reasonable
grounds to believe that a violation of this article has occurred, it shall schedule a final
hearing. If the commission does not determine that there are reasonable grounds to
believe that a violation of this article has occurred, the complaint shall be automatically
dismissed. A decision to conduct a final hearing is not a finding that a violation has
occurred. Notwithstanding the foregoing, the commission may proceed to determine the
appropriate sanction if the charged town official, candidate, appointee, or employee does
not object and admits the charged violation, and the commission determines that there
are no fact issues to be resolved.
(5) At the preliminary hearing or at least fifteen (15) business days prior to the final
hearing, the complainant, the town official, candidate, appointee or employee named in
the complaint may request that the commission summon certain persons and evidence for
a final hearing, if one is scheduled.
(j) Final hearing. A final hearing shall be conducted in accordance with the following:
(1) The final hearing shall be held as expeditiously as possible following the preliminary
hearing at which a determination was made by the commission that there are reasonable
grounds to believe that a violation of this article occurred, but in no event shall it be held
more than thirty (30) days after such determination. The commission may grant two (2)
postponements of the final hearing, not to exceed fifteen (15) days each, upon the
request of the town official, candidate, appointee or employee named in the complaint.
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(2) The issue at a final hearing shall be whether a violation of this article has occurred.
The commission shall make its determination based on a clear and convincing evidence
standard of proof. Parties to the proceeding may present testimony and evidence at the
final hearing. All witnesses shall make their statements under oath. If the commission
determines that a violation has occurred, it shall state its findings in writing, shall identify
the particular provision(s) of this article which have been violated, and within five (5)
business days shall deliver a copy of its findings to the complainant, if any, the person
named in the complaint and the town secretary.
(3) If a complaint proceeds to a final hearing, the commission shall summon in writing
witnesses for which it has received a written request from the complainant or from the
town official, candidate, appointee or employee named in the complaint, provided that the
requesting party shows good cause for the request and the request is timely submitted in
accordance with subsection (i)(5) of this section. Such written summons shall be served
by a constable at least ten (10) days before the date of the final hearing. Additionally, the
commission may administer oaths and affirmations and receive testimony and evidence
presented at the final hearing. It shall be a violation of this article for a person to fail to
appear and testify before the commission in response to a written summons served ten
(10) days or more prior to the scheduled time and date of final hearing. Notwithstanding
the foregoing, no town official, candidate, appointee or employee named in a complaint or
witness may be compelled to give evidence or testimony that violates his/her right against
self-incrimination under the United States or the state constitution.
(k) Sanctions. The following sanctions are available:
(1) If the commission determines that a violation of this article has occurred, it shall
proceed directly to determination of the appropriate sanction(s). A violation of this article
shall not be subject to criminal penalties under the town Code of Ordinances, except for
those instances specifically provided for in section 1.05.011 of this article. The
commission may receive additional testimony or statements before determining sanctions,
but is not required to do so. If the town official, candidate, appointee or employee named
in the complaint acted in reliance upon a written opinion of the town attorney, the
commission shall consider that fact.
(2) If the commission determines that a violation of this article has occurred, it shall
take the following actions:
(A) If the person who committed the violation is a current employee under the
jurisdiction of the town manager, the matter shall be referred to the town manager.
(B) If the person who committed the violation is the town manager, town attorney,
town secretary, or a judge of the municipal court, the matter will be referred to the
town council.
(C) If the person who committed the violation is a town council member, a
candidate, an appointee, a former town official, or a former town employee, the
matter will be referred to the town council.
(3) When referring a matter under subsection (k)(2) of this section, the commission may
impose or recommend the following sanctions:
(A) Letter of notification. A letter of notification may be recommended when the
commission finds that a violation of this article was clearly unintentional or when the
action or conduct found to have been a violation of this article was performed by the
town official, candidate, appointee, or employee in reliance on a public written
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opinion of the town attorney. A letter of notification must advise the town official,
candidate, appointee, or employee to whom the letter is directed of any steps to be
taken to avoid future violations.
(B) Letter of admonition. A letter of admonition may be recommended when the
commission finds that the violation of this article was minor and/or may have been
unintentional, but where the circumstances call for a more substantial response than
a letter of notification.
(C) Reprimand. A reprimand may be recommended when the commission finds
that a violation of this article was committed intentionally or through disregard of this
article. A recommended reprimand directed to an employee shall be forwarded to
the town manager. The town manager may also elect to discipline the employee in
accordance with town personnel rules and procedures. A letter of reprimand
directed to an elected town official shall also be transmitted to the town secretary
and published in the official newspaper of the town.
(D) Removal or suspension from employment. A recommendation of removal
from employment or a recommendation of suspension from employment, as well as
a recommendation for length of suspension, shall be the appropriate sanction when
the commission finds that a serious or repeated violation(s) of this article has been
committed intentionally or through culpable disregard of this article by town
employees. The final discretion to carry out such recommendations to remove or
suspend from employment and the length of suspension shall be with the town
manager. The town manager may also elect to discipline the employee in
accordance with town policies and procedures.
(E) Censure, recall or removal from office or appointment. A letter of censure, a
recommendation of recall, or a recommendation to institute proceedings for removal
from office or appointment shall be the appropriate sanction when the commission
finds that a serious or repeated violation(s) of this article has been committed
intentionally or through culpable disregard of this article by an elected town official.
A letter of censure, a recommendation of recall, or a recommendation to institute
proceedings for removal from office directed to an elected town official shall also be
transmitted to the town secretary and published in the official newspaper of the
town. The town council and citizens of the town may take actions in accordance with
the town charter. Any proceedings for removal from office shall be in compliance
with provisions of the town charter and state law.
(l) Dismissal of complaint. If the complaint is dismissed because the evidence failed to establish a
violation of this article, the commission shall issue a letter of dismissal or finding, and shall not
entertain any other similar complaint based on substantially the same evidence.
(Ordinance 2011-03, sec. 2 (17.07), adopted 2/7/11)
Sec. 1.05.008 Request for review of allegations
Any town official, candidate, appointee or employee against whom public allegations of ethics
violations have been made in the media or elsewhere has the right to file a sworn statement with the
town secretary affirming their innocence, and to request the commission to review the allegations
and make known its findings. (Ordinance 2011-03, sec. 2 (17.08), adopted 2/7/11)
Sec. 1.05.009 Culpability
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To commit a violation under any provision of this article, a person must have acted or failed to act
knowingly or intentionally. (Ordinance 2011-03, sec. 2 (17.09), adopted 2/7/11)
Sec. 1.05.010 False complaints
In the event a complaint is received by the commission that is subsequently found to be baseless,
and the commission deems that the complaint was filed with the intent to:
(1) Harass the person named in the complaint;
(2) Damage a personÓs reputation;
(3) Benefit the person filing the complaint, or a third party, either personally,
professionally or politically; or
(4) Damage a related third party;
the commission may recommend the town attorney cause a complaint to be filed against such
person in the municipal court. The town council or town manager, as appropriate, may take
disciplinary action(s) against the individual who filed the complaint, including but not limited to
disciplinary action if such complainant is an employee, appointee, or town official as allowed by
personnel policies, ordinance, state law or the town charter. The commission may also recommend
other action(s) be taken.
(Ordinance 2011-03, sec. 2 (17.10), adopted 2/7/11)
Sec. 1.05.011 Penalties
(a) It shall be unlawful and shall be a class C misdemeanor for any person to knowingly or
intentionally violate section 1.05.007(d), 1.05.007(j)(3), or 1.05.010 of this article, and any person
found guilty of such violation shall be fined, upon conviction, not less than one dollar ($1.00) nor
more than two thousand dollars ($2,000.00) for each offense. Such penalty shall be in addition to all
the other remedies provided herein.
(b) A person who knowingly files a false sworn statement under this article may be subject to
criminal prosecution for perjury under the laws of the state.
(Ordinance 2011-03, sec. 2 (17.11), adopted 2/7/11)
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