Transcript El Paso County Code of Ethics Training

El Paso County
Code of Ethics
Training
A Journey Down Ethics Highway
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• Welcome to the County of El Paso Ethics
Commission training! This program is intended to
give you a general overview of the code of ethics
governing your conduct as a County Public Servant.
As you proceed with this training, you should bear
in mind that ethical conduct involves more than
merely following this code. As a public servant, the
public’s image of the County is based on your
conduct. Thus, the County is dependent upon you
to conduct yourself in a fair and honest manner.
You should avoid creating even the appearance of
impropriety. For further guidance, please contact
the County Human Resources Department or
County Attorney’s Office.
Code of Ethics
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Click the banner above to see the Code.
This training takes about 1 hour to complete.
After you finish, you can print a training
verification form to submit to Human Resources
to document your participation. If you quit at
anytime without completing the training, your
progress will NOT be saved for future access.
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Subject Areas
The following topics will be covered in this training:
▫Enabling Legislation
▫Who the Code applies to
▫Some Important Definitions
▫Types of Violations
▫Lobbyists
▫Conflicts of Interest in:
Procurement
Employment
Outside Employment
▫Post Employment Restrictions
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Subject Areas
•Topics Covered Continued:
▫Gifts and/or Benefits
▫Statements of Financial Interest
▫Political Activity
▫Campaign Contributions
▫Reporting Violations &
Complaint Filing Procedures
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Local Government Code
• The Ethics Commission & this training
requirement was approved by the State
Legislature and El Paso County Commissioners
Court in 2009.
Local Govt. Code
Chapter 161
Click on box to see statute.
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Who is Subject to the Code?
The following individuals are subject to the County of El Paso Code of
Ethics:
• Under § 161.002 (5) - All employees of the county judge, county commissioners, county
attorney, sheriff, county tax assessor-collector, county clerk, district clerk, county treasurer,
county auditor, county purchasing agent, and constables.
• Additionally, all non-elected department heads and their employees are also subject to the
El Paso County Code of Ethics.
• Under § 161.002 (C) - The review officer serving as a Standing Preliminary Review
Committee member pursuant to Section 161.1551 (e) of the Texas Local Government Code;
• Under § 161.002 (D) - A candidate for nomination or election to an elected county office;
• Under § 161.002 (E) - A person performing a governmental function under a claim of
right although the person is not legally qualified or authorized to do so.
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Who is Subject to the Code?
• Under § 161.002 (8) (B) - A person appointed by Commissioner’s Court
or a County Officer to a position on the following, whether the position is
compensated or not, are subject to the Code:
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El Paso County Hospital District Board
El Paso County Civil Service Commission
Emergency Service District 1
Emergency Service District 2
El Paso County Housing Finance Corporation
El Paso County Risk Pool Board
Sheriff’s Dept. Civil Service Commission
El Paso Mission Trail Zoning and Planning Commission
El Paso County Housing Authority Board
El Paso County Ethics Commission
El Paso County Revolving Loan Board
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Who is Subject to the Code?
• Additionally, only those persons appointed by El Paso County to the
following multi-jurisdictional boards are also subject to the Code.
Persons appointed by other entities are not subject to the Code:
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Central Appraisal District
E911 Enhanced Communication Board
El Paso Mental Health and Mental Retardation Board of Trustees
Purchasing Board
Tax Increment Reinvestment Zone Number 5 (TIRZ)
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Question 1 - Test What You Learned
• Are full and part-time employees subject to the
Code?
Yes
No
Question 2 - Test What You Learned
• Are members of the public subject to the Code?
Yes
No
Important Definitions
• Throughout the Code & this training there are
some key definitions
▫ Family members include:
FIRST DEGREE
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Person’s spouse
Mother & spouse
Father & spouse
Daughter & spouse
Son & spouse
Mother-in-law
Father-in-law
Stepdaughter
Stepson
SECOND
DEGREE
Granddaughter &
spouse
Grandson & spouse
Grandmother &
spouse
Grandfather & spouse
Sister & spouse
Brother & spouse
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Important Definitions
▫ Substantial financial interest means:
 A person has a substantial financial interest in a business entity
if:
 the person owns ten percent (10%) or more of the voting stock
or shares of the business entity; owns either ten percent (10%)
or more or $15,000 or more of the fair market value of the
business entity; or
 funds received by the person from the business entity exceed ten
percent (10%) of the person's gross income for the previous year.
 A person has a substantial financial interest in real property if
the interest is an equitable or legal ownership with a fair
market value of $2,500 or more.
 A local public official is considered to have a substantial
financial interest under this section if a person related to the
official pursuant to the definition of “family member”, has a
substantial financial interest.
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Important Definitions
▫ Lobbyist means a person who, receives, or is entitled to receive under an
agreement under which the person is retained or employed, compensation
or reimbursement, not including reimbursement for the person’s own
travel, food, or lodging expenses or the person’s own membership dues, of
an amount not less than $200 in a calendar quarter from another person or
entity to communicate directly with a county public official. A lobbyist also
includes a person who, as part of his regular employment, communicates
directly with county public servants to influence decisions or actions by the
county public servants on behalf of the person or entity by whom he is
compensated or reimbursed, whether or not the person receives any
compensation for the communication in addition to the salary for that
regular employment.
• The term Lobbyist does not include:
▫ an attorney who communicates directly with a county public servant to the extent
that such communication relates to the attorney's representation of a party in a civil
or criminal proceeding;
▫ A governmental entity or its officers or employees engaged in discussing matters
relating to its own governmental interest; or
▫ A person who lobbies as an unpaid volunteer or represents only himself.
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Important Definitions
▫ Vendor means any person or their representative
or employee whose goods and services are
purchased under the terms of a purchase order or
contractual agreement with the county; and any
other persons doing business with the county.
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Question 3 - Test What You Have Learned
• Is your Aunt considered immediate family under
the Code?
Yes
No
Types of Violations
• There are two basic types of violations under the
Code:
▫ Category One violations are those violations that are
not difficult to ascertain whether a violation has
occurred or not.
 Examples of Category One violations include:
 Failing to file a required statement or report;
 Failing to file a required statement or report in a timely
manner;
 A misrepresentation in a required report; and
 Failure to respond to a notice as required under the Code.
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Types of Violations
▫ Category Two violations are those violations that
are not considered Category One violations.
 Examples of Category Two violations may include:
 Recommending a purchase be made from a business
the employee has a substantial financial interest in;
 Advocating that your sister be hired for a position with
the County;
 Accepting a prohibited gift;
 Utilizing a county printer for political flyers;
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Lobbyists
• County Officers & Department
Heads shall verify that the a
Lobbyist is registered and has
attended training on the
Ethics Code by asking to see a
current
County
lobbyist
registration card before he or
she permits any Lobbyists,
including representatives or
employees of Lobbyists, to
communicate with him or her
regarding any official matter.
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Lobbyists
• Each County Official & Department Head must
maintain a daily log of contacts made with any
Lobbyist. Logs have to be submitted two times a year,
plus anytime the Ethics Commission requests them.
• Additionally, signs regarding the registration
requirement for any person lobbying a County Official
or Department Head must be posted in the lobby of
each office of the County Official or Department
Head.
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Procurement Conflicts
• Before considering a
Vendor’s procurement
submission such as a
bid,
contract,
or
proposal,
County
Public Servants must
verify that the Vendor
has completed its
training requirement
under the Code.
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Procurement Conflicts
• All County Public Servants must inform themselves
about their financial interests and must make a
reasonable effort to inform themselves about the
financial interests of their family members as defined
earlier.
• Importantly, County Public Servants must excuse
themselves from exercising influence, participating in,
discussing, recommending, and/or granting of any
County purchase, bid, contract, or participating in any
official act on a matter if they or a family member have a
substantial financial interest.
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Procurement Conflicts
• County Public Servants must not acquire a financial
interest at a time when they believe or have reason to
believe that it will be directly affected by their official act.
They cannot profit by any knowledge they gained solely
from their official position with the County, which
information is not available to the public.
• Any County Public Servant with a conflict in a
procurement matter must complete an affidavit stating
the nature and extent of the financial interest and place
it on the Commissioners Court Agenda before the matter
is discussed or before any decision regarding it is made.
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Procurement Conflicts
• Once a bid, RFP, or RFQ is
either authorized or released, no
one should permit any vendor,
its lobbyists, representative, or
employee to communicate with
him or her privately regarding
procurement of items by the
County until the procurement
process is complete.
• Not knowing that the bid, RFP, or
RFQ has been authorized or
released or what the vendor or
their representative wants to
discuss privately is not a
defense to this requirement.
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Question 4 – Test What You Learned
• Mr. Kermit A. Crime calls and makes an appointment to speak
with Commissioner I.M. Honest. The day of the appointment,
Mr. Crime comes in and tells Commissioner Honest that he is
a lobbyist. Commissioner Honest immediately makes him
sign in on the lobbyist log. Mr. Crime says he knows there is
an RFP for ammunition out for the Sheriff’s Department and
he would like to tell Commissioner Honest why he should
recommend ACME Ammo for the purchase. Commissioner
Honest listens to his reasons, but ends up recommending a
different vendor for the RFP. Did Commissioner Honest
violate the Code?
Yes
No
Question 5 -Test What You Learned
• County Auditor Fonz E. Ponzi is in Executive Session for
Commissioners Court on a weekly basis. The Court has been
discussing its plan to invest $5 Million in a new
Administrative building on a piece of property that is up for
sale in Executive Session for the past several weeks. The
County has discussed that it would be willing to purchase the
property for $1 Million. Mr. Ponzi is in a real estate business
partnership with his father in law also and they know the
seller of the property. There company makes a deal to buy the
property for $500,000 first and then resells it to the County
for $1 Million. Did Mr. Ponzi violate the Code?
Yes
No
Conflicts in Employment
• There are 3 main areas to
be aware of concerning
ethical
employment
related practices:
1. Hiring & Supervising
2. Outside employment
3. Post employment
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Hiring & Supervising
• Hiring decisions shall not be made on the basis of race,
gender, religion, national origin, sexual orientation, age, or
disability.
• County elected officials and department heads shall not
advocate the employment, appointment, promotion,
transfer, or advancement to a paid County position of a
family member. Neither shall they supervise or manage a
family member, unless the employee was employed prior to
the election or appointment of the department head.
• Non-elected Department Heads are prohibited from
knowingly hiring any person who has served as an elected
official in the previous year.
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Outside Employment
• County public servants are prohibited from
engaging in outside employment or activities
that are incompatible with the full and proper
discharge of their duties and responsibilities
with the County, or which might impair their
independent judgment in the performance of
their public duty.
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Post Employment Restrictions
• Elected Officials and Department Heads are
prohibited from knowingly conducting County
business with a former elected official or
department head that was separated from office
or employment in the previous two years in
which the former official is compensated as a
representative of another regarding business in
which the former elected official or department
head was either personally involved or that was
within the official's responsibility while an
elected official or department head.
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Question 6 – Test What You Learned
Lucy Brown has worked in the District Clerk’s
Office for 12 years as an Office Manager. Her
brother, Charlie, runs for and gets elected as
District Clerk. Charlie is now Lucy’s supervisor.
Lucy asks him if she has to resign. What should he
tell her?
Yes, it is a violation of the Code of Ethics.
No, it is NOT a violation of the Code of Ethics
Question 7 – Test What You Learned
• Ivanna Fly was the Communications Director for the
County up until last month. She was hired by ABC
Airlines as their public marketing manager for business
travel. The County is considering going out for RFP for
one airline to provide service for all out of town travel for
County employees. Can Commissioners Court engage in
a conversation with Ms. Fly about ABC Airlines business
travel program to get more information?
Yes, it is on a topic not related to what she did when
she worked at the County.
No, she has not been gone for 2 years so it is a
violation of the Code of Ethics
Gifts & Benefits
▫ A County public servant, his family
members, or any business organization in
which he has a substantial financial
interest, may not solicit or accept a
prohibited gift or benefit valued at more
than Fifty and No/100 Dollars
($50.00).
▫ A “prohibited gift or benefit” refers to
anything of value.
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Gifts
• Examples of gifts include
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Loans
Travel
Entertainment
Meals & beverages
Tickets for professional or intercollegiate sporting
events or artistic or cultural events
• There are some exceptions to these items being
considered gifts.
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When is a gift not a prohibited gift?
• The solicitation or acceptance of contributions to a political campaign if
such contribution is subject to reporting under state law.
• A gift that is given on account of kinship or on account of a professional
relationship independent of the public duties of the recipient.
• Commercially reasonable loans made in the ordinary course of the
lender's business.
• Awards, such as plaques, certifications, trophies or similar mementos,
publicly presented in recognition of or in conjunction with public
service.
• Gifts do not include items for which the County reimburses or items
which are received but are donated to a charitable organization within
30 days. If the gift is a perishable item, such as flowers, fruit, or candy,
it may be placed on a public counter and shared with employees and the
public.
• Invitations or tickets to fundraising dinners or public charitable benefit
events.
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When is a gift not a prohibited gift?
(Continued)
• Reasonable entertainment, meals or refreshments furnished
in connection with local public events, appearances or
ceremonies related to official County business, if furnished by
the sponsor of such public event, appearances or ceremonies.
• Registration, transportation, lodging and meal expenses in
connection with a conference or similar event in which the
County public servant renders services, such as addressing an
audience or engaging in a seminar, to the extent that those
services are more than merely perfunctory. Any materials
received in conjunction with the event shall become property
of the County.
• A gift that was not personal to the County Public Servant and
was a gift to the County for a County public purpose that was
accepted by the Commissioners Court pursuant to Texas Local
Government Code Section 81.032.
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Question 8 – Test What You Learned
• Spiffy Signs Company is bidding on a large contract
with the County and offers Commissioner Rich E.
Nuff $4,000 worth of free signs to help with his
campaign for re-election as a campaign
contribution.
Commissioner Nuff reports the
contribution as required on the state reporting
forms. Has the Commissioner violated the Code of
Ethics?
Yes, the Commissioner has a significant financial
interest in Spiffy Signs now.
Yes, the donation was over $50.00.
No, the donation was a reportable campaign
contribution.
Question 9 – Test What You Learned
• Sheriff Fife is offered an all
expenses paid trip from Acme
Gun & Ammunition to the
NRA National Convention.
There are no plans for the
County to buy guns or
ammunition in the near future.
Can Sheriff Fife accept this
gift?
Yes, as there is no conflicts
or purchases pending.
No, it is a violation of the
Code.
Political Activity
• Non-elected county public servants must not
engage in political activities during any hours they
are paid to actually work for the county. They may
take vacation leave or leave without pay for
political purposes if approved according to County
policy.
• County public servants must not utilize county
equipment or supplies of any kind for political
purposes.
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Political Activity
• County public servants shall not use or threaten
to use their discretionary authority in a manner
to:
▫ Reward or coerce any person to participate in
political activities, an election campaign, or
fundraising effort; or
▫ Discourage, prevent, or discriminate against any
person who chooses to participate in these same
political activities.
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Campaign Contributions
• Members of and candidates for Commissioners
Court must report political contributions
totaling $2,500 or more, including in kind
contributions from any person or entity received
within a 12 month period within 30 days of the
date of receipt of said cumulative contribution.
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Question 10 – Test What You Learned
• HR Director Celia Fate wants Andy Wineriss to
get elected as a Constable. She tells all of the HR
Staff that if they take a day of vacation to
campaign for him, she will give them all 2 days
of administrative leave with pay after the
election.
Several people take the day off to
campaign, but Ms. Fate never gives them the
time off after the election. Did she violate the
Code?
Yes, she did violate the Code.
No, she never actually gave them the reward
she had promised.
Complaints & Reporting Violations
• County public servants and all others who are
subject to the code have a duty to cooperate in
investigations,
inquiries,
and
hearings
conducted by the Ethics Commission.
• Frivolous and bad-faith complaints may result in
a civil penalty pursuant to Section 161.205 of the
Texas Local Government Code.
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Complaints & Reporting Violations
▫ WHO MAY FILE A COMPLAINT. An individual who is 18
years of age or older may file a sworn complaint.
▫ HOW TO FILE A COMPLAINT. The complaint must be
filed in accordance with the rules of the Commission. The
complaint must be filed with the Commission using the form
adopted by the Commission which can be obtained on the County
of El Paso Ethics Commission web page.
▫ WHERE TO FILE A COMPLAINT. The complaint should
be submitted to the address listed on the complaint form.
▫ DEADLINE TO FILE A COMPLAINT. A complaint must
be filed within 180 days of the date the alleged conduct is
discovered. The Standing Preliminary Review Committee may
waive the 180 day filing deadline for good cause shown. In no
event, may a complaint be filed later than 2 years from the date of
the alleged conduct.
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Advisory Opinions
• Any person covered by the Code may request an
advisory opinion regarding the application of the
Ethics Code to a specific existing or hypothetical
situation. However, the Commission decides
which requests it will provide responsive written
advisory opinions to.
• The name of the person requesting the opinion
shall be deemed confidential.
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with us today! We hope you enjoyed your trip!
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