HomeMy WebLinkAbout2022 Town of Westlake Council Orientation Book May 2022
Town Council Orientation
Table of Contents
TAB
TMWelcome Messaae..............................................................................................................1
OrganizationalStructure...........................................................................................................2
Council Manager Form of Government....................................................................................3
2022 TML Handbook for Mayors and Councilmembers
Duties of the Council
Ordinance 327 Canvassing the Election returns adopting
Council-Manager Form of Government in May 1999
ICMA Council-Manager Brochure
Administrative Processes & Procedures...................................................................................4
Municipal Meeting Calendar
Academic Meeting Calendar
FY 23 Municipal Budget Calendar
FY 23 Academic Budget Calendar
Communications with Staff
Responsibilities for Council Members
Where Council Activities Occur
Town Council Mail Process
Council Tablets and Emails
Legal.........................................................................................................................................5
Open Government Training —AG's website
Open Government pop quiz
2021 TML PIA Made Easy
PowerPoint Presentation by Matthew Butler, Boyle & Lowry, LLP
PowerPoint Presentation by Janet Bubert, Underwood Law Firm
Governance
WestlakeDocuments...........................................................................................................6
Council Governance and Ethics Policy January 2022
Policy on Council Meeting Procedures
Citizen Advisory Board/Committee/Affiliate Relations and Communications Policy
Academic Charter (provided separately) January 2022
A FIRM FOUNDATION: building an extraordinary charter school board with
Policy Governance0
THE EFFECTIVE CHARTER SCHOOL BOARD
Charter School Board University: An Introduction to Effective Charter School
Governance by Brian L. Carpenter— Various Chapters of Interest
Chapter 5 — First Things First
Chapter 6 —The Starting Line for Your Board
Chapter 7 — Governing Versus Managing
Chapter 13 —Two Things That Really Matter
Chapter 16 — When a Board Member poesn't Play by the Rules
Chapter 19 —The 12 Characteristics of Effective Charter School Executives
SupplementalDocuments.........................................................................................................7
Council Development and Training
Allen Program
Bastrop Program
How Cities Work— TML
Council-Manager Form of Government— FAQ
Preparing Councils for Their Work
Cuff's Rules of Good Governance
Eight Great Things that make Great Leaders Great
Your Role on the City Team
The 8 Indisputable Behaviors of OnTarget Board Members
The Five Dysfunctions of Charter School Boards
Ten Lessons Charter School Boards Can Learn at Someone Else's Expense
Charter Schools: Creating Effective Governing Boards
Systemsand Processes.............................................................................................................8
Municipal Fiscal and Budget Policies
Academic Fiscal and Budgetary Policies
Building Quality Manual
Capital Improvement Plan
TOWN OF WESTLAKE
COUNCIL ORIENTATION
MAY 18, 2022
WELCOME TO THE TOWN COUNCILI
For those newly elected, congratulations on your election success and thank you for giving of your
time and talents to serve the community. Westlake is truly a wonderful place to live/work and is
known for its focus on the quality-of-life amenities for our residents and corporate stakeholders.
The information contained in the orientation packet will help you become familiar with the
legislative and administrative processes of our arganization. The staff teams and I hope you will
find this helpful and informative. If you have questions or need clarification,please address topics
during the orientation session or contact me directly for assistance. There will be a significant
amount of information for you to learn and familiarize yourself with so that you will be prepared
to conduct Council meetings and govern the municipality. Please know that I am here to be of
assistance to you by providing any background information, policy clarification, or as a general
resource in your new role.
Serving on Town Council will be both a challenging and rewarding experience. Local government
is closest to the people and as such,we have a greater impact on our communities and interact with
more people on a day-to-day basis than the other levels of government. As elected officials, you
have specific roles in the governance process:
• policy making,
• approve budgets,
• adopt the annual property tax rate,
• establish goals for the organization,
• adopt ordinances and pass resolutions, and
• wark with various advisory committees.
The Council Member role is one of great responsibility and we hope you will find it to be a
rewarding time of public service for you, as well. While your time on the Council will require time
and commitment, you will serve as an integral part of shaping our community. Westlake is
Distinctive by Design and our current success has been based on the work of previous Council
Members,input from residents and stakeholders, and both the municipal and academic staff teams.
We have a unique service delivery approach that helps us maintain our low tax rate, high quality
of life amenities, and a very high customer satisfaction rating in our residential surveys. We look
forward to what the future will bring with you in a new role.
Town Council Meetings
Meetings are primarily scheduled on the 2nd and 4th Mondays of the month. Executive Session is
generally held at 4:00 p.m. and is closed to the public.A limited number of topics may be discussed
in Executive Session and the information is to be kept confidential between the Council, legal
counsel, and the Town Manager or his/her designee. The Regular Session begins at 5:00 p.m. and
is open to the public for general discussion and policy direction. All actions of the Council take
place at a Council Meeting. I have included a copy of the Adopted Meeting Calendar in the
Orientation Book.
Town Council iPads, Email Addresses, Agenda Notices and Packets
Town Council Members are provided with a dedicated iPad in order to review agendas/documents
and respond to official emails in your governance capacity. The Town Manager will arrange a time
for you to receive the iPad and for Staff to provide a quick overview. Staff will also create an
official email address for each of you to use for Town business. Please be mindful to keep your
personal emails separate from official use.
Official agenda notices are posted at least 72 hours prior to a meeting (usually on a Friday
afternoon) at our official notice location outside Town HaIL The Town Secretary handles the
behind-the-scenes processes to post the agenda and the items are placed on the agenda by the Town
Manager according to our normal course of business and the Governance Policies of the Council.
Once the agenda packet is built, the Town Secretary will upload the documents to the Town
Council (Drop) Box account and will send an email to notify you the packet is ready for review.
The Town Council packet is also made available on the Town's website and through social media.
Agenda Item Requests
If you would like an item placed on the agenda for discussion or presentation at a Town Council
meeting, please contact me directly. Some of the topics may simply require background
information, an explanation for a resident, or Staff may be able to remedy the issue prior to a
formal agenda listing. Other topics will need to be placed on an agenda for the larger Council to
discuss, and I can assist you with this process.
Communications
When an issue arises in the community that may be seen as controversial,involve a fatality or fire,
or concern an issue I believe you may be asked about in your Council role, I(or someone from the
Town Manager's office) will contact you individually by phone. This helps keep you informed
and generally avoids you hearing about something from your neighbor or the media. In certain
instances, you will receive information directly and I ask that you keep me informed so that we
can be responsive to the community.
If I need to send a general update, I will email the entire Council; however, you must call me or
email me directly if you need any additional information. It may be a violation of the Open
Meetings Act for you to use the `reply all' feature in an email. There are numerous stories of both
Council and School Board Members violating these requirements and I hope to avoid this issue
for all of you. Other communication items to consider:
• any email, text or letter you send about either municipal or academic issues are
generally considered to be an open record— a good rule of thumb is "do not put anything
in an email, text, letter, on a social media site, or printed publication/material that you do
not want to see on the front page of the newspaper'. Council Members are held to a
different standard that the general public and at times—things may be taken out of context
that you did not mean to say or didn't have time to completely explain.
• please do not contact Department Heads directly without speaking with me first
about an issue or question. It is important that I know what is happening so I can address
any issues and be responsive to you as a Council. I instruct all Department Heads to notify
me if contacted by a Town Council Member and please understand this is a best practices
policy in the Council-Manager form of Government which has been adopted by the voters.
• I will also try to keep every member of the Town Council informed with the same
information. For instance, if Council Member "A" asks a question that I believe will
benefit or inform the entire Council, I will respond to Council Member "A" and copy the
remaining Council so that you have the same information.
Police Emergencies
During my time in Westlake, we have had an issue with residents being reluctant to dial 9-1-1 if
they have a concern or think they see something suspicious. In addition, if their home or vehicle
is burglarized, please encourage them to call the police. No emergency ar concern is too small
given the size of Westlake and our relationship with the Keller Police Department. Also, we pay
for animal control services as a part of our police services contract and feel free to help us inform
residents of this service.
Urgent Issues/Problems
I am available to you on an almost 24/7 basis. With that said, and for those of you that I do not
know well yet, I also have two small children at home, and we are generally wrapping the day up
by 8:30 p.m. If it is after that time, please feel free to text me and I will respond the next day. If
it is an emergency though, please call either me or Jarrod Greenwood, Deputy Town Manager, at
any time.
General Concerns After Hours/Weekends
If you or a resident have a general operations issue after 5 p.m. or on the weekend,I have provided
you with contact information below. Examples might be a water main break, park sprinklers on,
a dead animal in the street or something else that needs to be handled before the next morning or
Monday.
1. Call the non-emergency phone number (817) 490-5729. Please identify yourself as a
Town Councilmember. This line is answered by Public Works staff 24 hours a day. We
have staff from Public Works "on-call" or "on-standby" evenings and weekends.
2. You can reach someone on their cell phones in the Town Managers office as shown
below:
a. Amanda DeGan (940) 389-4153
b. Jarrod Greenwood(817) 680-1422
c. Troy Meyer at (817) 829-6974
3. On the off chance you are contacted by the media,please let me know and I can
provide you with whatever data they need or information that may assist you.
Common Concerns
Over the years,we have developed routine response to the more common concerns we have heard
from residents. These responses have developed over time and may be subject to change by the
Town Council at any time.
• SPEEDING. If a resident has a concern about a particular street or area, I refer these to
the Keller Police Chief and ask police officers to monitor the location and respond directly
to the citizen. This helps create a relationship between our residents and our public safety
officers. Town staff or KPD may also place a speed recording device near the area of
concern. This device records the speed and time of all passing cars and allows us to tailor
enforcement to the time when most violations are occurring. Once the results are in,
someone from the department will contact the citizen and discuss the results.
• SPEED BUMPS. We do not install speed bumps as they are an obstruction not
prescribed by the MUTCD (Manual of Uniform Traffic Control Devices). Additionally,
studies conducted point to the adverse impact they would have on emergency medical and
fire response times.
• STOP SIGNS. A request for a stop sign is forwarded to the Public Works Director. He
will contract with a traffic engineer to perform a "warrant" study to determine if the
location meets standards for sign placement. As a rule of thumb, most locations will
unfortunately not meet those standards. The traffic engineer provides a double-check and
shows that we have used a reasonable approach to determine the need.
• RUNNING STOP SIGNS. I refer these concerns to the Keller Police Chief. Officers
Observe the location for several days and report the outcome to the citizen.
• CONSTR UCTION PROJECTS. On maj or construction proj ects, such as street
reconstruction, we first try to channel these complaints to our Public Works Director. He
can obtain the quickest results. When we begin a major project, Staff provides a variety of
notices and communicates directly with all the adjacent residents. We provide each of our
phone numbers for residents to call if there is a problem, particularly for the Town staff
that will be on the construction site daily. We also coordinate and communicate with any
adjacent HOA's to help disseminate information and updates related to a construction
proj ect.
• PARENT COMPLAINTS. In your role, you will hear or may already have heard from
parents who are concerned about something at the school. There is an established complaint
process in the parent/student handbook that should be followed. Please refer them to the
handbook and contact me for any questions.
I would like to commend you again for being of service to your fellow residents and your
community! I have much to share with you regarding the community and look forward to
explaining our unique approach to service delivery which sets us apart from other cities. Westlake,
and the team members who work for the community, are frankly - second to none and I look
forward to serving with you over the coming years.
Sincerely,
Amanda DeGan
Town Manager/CEO
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And Committees _ Texas Student Housing
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Court
Admiristrator Administrative _ Budget
Assistant Analyst
Marshal/SRC� —Part Time —
Clerk FaCllltle5
— Maintenance 33
Finance Town Secretary i
C Lead _ . DeputyClerk�_ , _____�. _._� _ __ . . _.- _- _. _ _ . __ _ _ .�
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— "r Manager Manager
— Municipal — Academic
Finance Manager Finance Manager — —
Community
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This organizational chart is a visual depiction of the way work is distributed within the Town of
Westlake. It is also meant to be a tool to help enhance our working relationship with our
customers, students and stake-holders,and to clear channels of communications to better
i N E 1 0 W N 0 F
W E S T LA K E accomplish our goals and objectives.
oisriNcrivE ev oEsicN
WESTLAKE ACADEMY ORGANIZATIONAL CHART
continued from previous page
WAF Executive
Dire�tor
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2022 Handbook for Mayors and
Councilmembers
Texas Municipal League
1821 Rutherford Lane, Suite 400, Austin, Texas 78754
Copyright �O, Texas Municipal League, 2022
All materials are subject to copyrights owned by the Texas Municipal League (TML). Any reproduction,
retransmission, or republication of all or part of this document is expressly prohibited, unless TML has
expressly granted its prior written consent to so reproduce, retransmit, or republish the material. All
other rights reserved.
The names, trademarks, services marks, and logos of TML on this document may not be used in any
advertising or publicity, or otherwise to indicate TML's sponsorship of or affiliation with any product or
service, without TML's prior written permission.
1
2022 Handbook for Mayors and Councilmembers
Foreword
Serving as a local elected official is one of the most demanding—and often thankless—tasks a citizen
can perform. Municipal officials can be called upon day and night. They are subject to constant
criticism, and almost everything they do will be wrong in someone's opinion. Many spend their own
money to campaign for election; most receive little, if any, pay for the job.
But serving in local office can also be rewarding and productive. For many, it is more important than
being in Congress or the state legislature because the city is the real world where municipal officials
can make good things happen for their fellow citizens.
We hope this handbook will offer a few suggestions that will make your job easier. Obviously, such a
guide cannot possibly touch upon every relevant subject, but it does include what we think are the
most important topics.Throughout, however, it should be recognized that this handbook is only a guide
and that there is no substitute for competent legal advice regarding interpretations of the law and
other questions that might arise in specific situations.
If you don't find the answers to your questions about the part of city government you are covering or
the issues facing cities today, we're ready to assist you in any way we can. Just give us a call at 512-
231-7400, email us at le�alinfo@tml.org, or visit our website at www.tml.or�.
We wish you great success.
Bennett Sandlin
TML Executive Director
2
Table of Contents
Introduction.......................................................................................................................................................6
Chapter One: Local Government in Texas...............................................................................................7
Unitsof Local Government........................................................................................................................................7
Categories of General Law Cities.............................................................................................................................8
CityManager P1an......................................................................................................................................................10
TheHome Rule Concept..........................................................................................................................................11
InherentPowers of Home Rule Cities................................................................................................................12
Limitationson Home Rule Powers......................................................................................................................14
TheCharter pocument............................................................................................................................................14
Forms of Home Rule City Government...............................................................................................................15
Chapter Two: Roles and Responsibilities of Officers in General Law Cities............................17
Officeof the Mayor....................................................................................................................................................17
Officeof the Mayor Pro Tem..................................................................................................................................21
Officeof Councilmember........................................................................................................................................22
Qualifications..............................................................................................................................................................22
Termsof Office...........................................................................................................................................................23
Vacancies......................................................................................................................................................................23
Absences.......................................................................................................................................................................23
Removal........................................................................................................................................................................24
Compensation.............................................................................................................................................................24
ExpenseReimbursement........................................................................................................................................24
Chapter Three: Roles and Responsibilities of Officers in Home Rule Cities............................25
Officeof the Mayor....................................................................................................................................................25
Officeof the Mayor Pro Tem..................................................................................................................................27
Officeof Councilmember........................................................................................................................................27
Qualifications..............................................................................................................................................................28
Termsof Office...........................................................................................................................................................29
Vacancies......................................................................................................................................................................2 9
Compensation.............................................................................................................................................................30
Chapter Four: Powers and Duties of Cities...........................................................................................31
Administrative Oversight in General Law Cities............................................................................................31
Administrative Oversight in Home Rule Cities...............................................................................................33
ThePolice Power.......................................................................................................................................................33
Planning,Subdivision Controls,and Annexation...........................................................................................34
Regulation of Streets and Other Public Places................................................................................................35
Construction of Public Facilities..........................................................................................................................35
Donationsof City Funds..........................................................................................................................................35
Paymentof Bonuses to City Employees.............................................................................................................36
Bids.................................................................................................................................................................................36
CityDepository...........................................................................................................................................................37
UniformElection Dates............................................................................................................................................37
OfficialNewspaper....................................................................................................................................................37
FederalVoting Rights Act.......................................................................................................................................37
Delegation of Legislative Powers.........................................................................................................................38
Chapter Five: The City Council at Work: Meetings.............................................................................39
3
LegalRequirements..................................................................................................................................................39
TexasOpen Meetings Act........................................................................................................................................39
PublicInformation Act............................................................................................................................................42
Formal Meetings of the Council/The Agenda.................................................................................................44
Rulesof Order and Procedure..............................................................................................................................46
Motions..........................................................................................................................................................................46
Streamlining Council Meetings.............................................................................................................................49
CouncilWork Sessions.............................................................................................................................................51
CitizenParticipation.................................................................................................................................................51
PublicHearings..........................................................................................................................................................52
Chapter Six: Financial Administration...................................................................................................54
RevenueSources........................................................................................................................................................54
Budgeting.....................................................................................................................................................................58
MunicipalBorrowing...............................................................................................................................................61
GeneralObligation Debt..........................................................................................................................................62
RevenueBonds...........................................................................................................................................................63
BondRatings...............................................................................................................................................................64
BondElections............................................................................................................................................................65
InstallmentObligations...........................................................................................................................................65
AnticipationNotes.....................................................................................................................................................65
Capital Improvements Programming................................................................................................................65
FinancialReporting..................................................................................................................................................66
Investments.................................................................................................................................................................68
FinancialWarning Signals......................................................................................................................................68
Chapter Seven: Ordinances and Resolutions.......................................................................................69
Compatibility of Ordinances with State and Federal Laws.........................................................................70
Validityof Ordinances.............................................................................................................................................70
Formof the Ordinance.............................................................................................................................................70
Chapter Eight: Conflicts of Interest.........................................................................................................74
DualOffice-Holding...................................................................................................................................................74
City Actions that Benefit Mayors and Councilmembers..............................................................................75
Nepotism.......................................................................................................................................................................77
Purchasing...................................................................................................................................................................78
Chapter Nine: Personal Liability of Councilmembers ......................................................................79
LiabilityUnder State Law........................................................................................................................................79
LiabilityUnder Federal Law..................................................................................................................................80
Chapter Ten: Sources of Information.....................................................................................................82
LocalSources...............................................................................................................................................................82
TexasMunicipal League..........................................................................................................................................82
NationalResources...................................................................................................................................................82
4
About the Texas Municipal League
In the summer of 1913, Professor Herman G.James, Director of the Bureau of Municipal Research and
Reference at the University of Texas at Austin, and A.P. Woolridge, then the Mayor of Austin, formed
the League of Texas Municipalities.
The two men invited representatives from all Texas cities to come to Austin on November 4, 1913, for
an organizational meeting. Fourteen cities sent representatives to Austin. At that first meeting, a
modest membership fee was approved along with a constitution to govern the association.
Since that time, the League has grown into one of the largest and most respected organizations of its
kind in the nation. From the original 14 members, TML's membership has grown to 1,160 cities.
Membership is voluntary and is open to any city in Texas. More than 16,000 mayors, councilmembers,
city managers, city attorneys, and department heads are member officials of the League by virtue of
their cities' participation.
The Texas Municipal League exists solely to provide services to Texas cities. Since its formation, the
League's mission has remained the same:to serve the needs and advocate the interests of its members.
The TML constitution states that the purpose of the League is to "render services which individual cities
have neither the time, money, nor strength to do alone."
League services to its member cities include legal advice and information on municipal legal matters,
legislative representation on the state and federal levels, information and research, publication of a
monthly magazine, conferences and training seminars on municipal issues, and professional
development of inember city officials.
5
Introduction
How to Use This Book
In the past, the League has prepared two separate handbooks for city officials: one for those in general
law cities, and one for those in home rule cities. In the interest of efficiency, those books have been
combined to form this Handbook for Mayors and Councilmembers. Most of the information is relevant
to all cities. But a fundamental understanding of the fact that there are two types of cities in Texas will
help the reader recognize those areas where a distinction is made.
The two types of cities in Texas are general law and home rule. Most smaller cities (those with 5,000
or fewer inhabitants) are general law cities. A general law city operates exactly as its name implies: it
can do only what state law expressly authorizes. The most important part of that authorization is the
form of government of a general law city. State law defines the composition of the governing body and
various items that go with that (such as filling vacancies on the governing body). Chapter two describes
in detail the roles and responsibilities of officers in general law cities: Type A, Type B, and Type C. The
main differences in the powers of the different types of cities are largely of historical interest, but the
state law directing the makeup of the governing body is still very important.
When a general law city reaches 5,000 inhabitants, it may follow procedures in state law to draft a
home rule charter. The draft is then submitted to the voters of the city at an election. If the voters
approve the charter at the election,the city becomes a home rule city.A home rule city is governed by
its charter (see chapter three for the roles and responsibilities of officers in home rule cities) and looks
to state law for limitations on its power. The state legislature has frequently passed laws that limit the
authority of home rule cities, and state law also frequently imposes certain procedures that must be
followed by any type of city.
This book is meant to be a broad and general overview of cities in Texas. Many of the topics are covered
in much more detail in various papers and memos available from the League. City officials with
questions about items in this book or anything relating to the governance or authority of their city
should visit the TML website at www.tml.org and/or contact the League's legal services department at
legalinfo@tml.org. The information in this book, or other information obtained from the League,
should never be substituted for the advice of local legal counsel.
6
Chapter One:
Local Government in Texas
Understanding city government requires some administrative services on behalf of the state.
knowledge of all local governments. This Major governmental services include road
chapter briefly discusses counties, school construction and maintenance,jails and
districts, council of governments, and types of courts, welfare, health, and law enforcement.
city governments. Administrative services performed by counties
as agents of the state include voter
registration and motor vehicle licensing.
Units of Local Government
Special Districts
According to 2010 Census of Government
figures,Texas has 1,209 cities, 254 counties, Schools and the many types of special districts
1,082 school districts, and 2,291 special are known as "single-purpose" governments,
districts. During the past 20 years, the number since they usually perform just one function,
of special districts has steadily increased, due such as education, water supply, or hospital
mainly to the rapid creation of water districts care. Most special districts serve a limited geo-
in unincorporated areas. Conversely, the graphical area and were created because of
number of school districts has steadily the inability of general purpose local
declined as smaller systems have consolidated governments to provide a particular service.
with larger ones. The number of counties has
remained constant for 100 years, while the Councils of Governments
number of cities is increasing at an average of
about 10 per year. Councils of governments (COGs) are also
known as "regional planning commissions."
The United States Census Bureau also COGs are defined as "political subdivisions of
recognized that four of the 10 cities with the the state" under Texas law. However, COGs
largest recent population gains were in Texas differ considerably from cities, counties, and
—San Antonio, Dallas, Fort Worth, and Frisco. other conventional local governments because
Texas also had seven of the most recent 15 they cannot levy taxes nor incur debt.
fastest-growing cities by percentage — New
Braunfels, Frisco, McKinney, Georgetown, COGs are voluntary, area-wide associations of
Rowlett, Midland, and Round Rock. local governments. Their function is to foster
local cooperation among localities by serving
Counties as forums for intergovernmental problem-
solving and by planning governmental
Counties are known as "general purpose" programs and facilities on a regional basis.
governments due to the many different Though they do not have broad power to
functions they perform. Counties serve the execute projects, many of the state's COGs
dual purposes of providing governmental provide direct services on a limited basis.
services for the benefit of their residents and
7
Each COG operates under the supervision of a looking to state law to determine what they
governing body composed of elected officials may do, as general law cities must, home rule
representing participating local governments. cites look to the state constitution and state
Financing is provided by a combination of dues statutes to determine what they may not do.
paid by member governments and federal and Thus, if a proposed home rule city action has
state funds. not been prohibited, limited, or pre-empted by
the state, the city generally can proceed.
Cities
General law cities are smaller cities, most of
Among all of the different types of local which are less than 5,000 in population. All
governments, cities perform the greatest general law cities operate according to specific
number of functions, both governmental and state statutes prescribing their powers and
proprietary. duties. General law cities are limited to doing
what the state authorizes or permits them to
State law specifically defines and lists certain do. If state law does not grant general law
activities as either governmental or cities the express or implied power to initiate a
proprietary functions in the Texas Tort Claims particular action, none may be taken.
Act. The law lists 36 functions that are govern-
mental. Included among them are police and Approximately seventy-five percent of all
fire protection, health and sanitation services, Texas cities operate under the general laws;
street construction and design, transportation the remainder are home rule cities. "General
systems, establishment and maintenance of law" is a term used to describe all of the state
jails, and enforcement of land use restrictions. laws applicable to a particular class of things. A
Three functions are listed as proprietary: the general law city, therefore, is one that is
operation and maintenance of a public utility, subject to all of the state laws applicable to
amusements owned and operated by a city, such cities, many of which are found in the
and any activity that is abnormally dangerous Local Government Code.
or ultra-hazardous. Functions that are listed as
governmental are not included as proprietary General law city officials occasionally call the
functions. Texas Municipal League office to request a
copy of their "city charters." Unlike home rule
There are two categories of cities in Texas: cities, general law cities do not have charters.
home rule and general law. The creation of a general law city is
documented in its incorporation papers, filed
Home rule cities are larger cities with more at the county courthouse, which describe
than 5,000 inhabitants in which the citizens when the city was established and its original
have adopted a home rule charter. A charter is boundaries.
a document that establishes the city's
governmental structure and provides for the
distribution of powers and duties among the Categories of General Law Cities
various branches of government.
There are three categories of general law
The legal position of home rule cities is the cities: Type A,Type B, and Type C. Although it
reverse of general law cities. Rather than is sometimes difficult to distinguish between
8
the types, it is necessary to know the In addition to the city council, other municipal
difference in order to determine which state officers include a marshal, treasurer, tax
laws apply. assessor-collector, city secretary, city attorney,
and engineer. Whether these offices are
Type 6 General Law Cities elective or appointive depends on the method
selected by the city council for filling them.
Most new cities begin as Type B general law Moreover, the city council may provide by
cities under a state law that permits the ordinance for the appointment or election of
incorporation of any area containing 201 to such other municipal officers as it deems
10,000 inhabitants. Later, as the population of necessary.
a city grows to 600 or more, it can make a
transition to Type A. Type C General Law Cities
In a Type B general law city with the A Type C city operates with the commission
aldermanic form of government, the governing form of government. The governing body is
body is known as the "board of aldermen" and known as the "board of commissioners" and
includes six members (a mayor and five always consists of a mayor and two
aldermen), all of whom are elected at-large. At commissioners. No other elective officers are
its discretion, the board of aldermen may required; however, the board of
provide by ordinance for the appointment or commissioners must appoint a city clerk, and
election of such additional officers as are may provide by ordinance for the election or
needed to conduct the business of the city. appointment of such other officers as are
required.
Type A General Law Cities
In a Type C city of 500 or less population, the
Type A general law cities are usually the larger board of commissioners must follow the
general law cities. Most were incorporated requirements applicable to a Type B general
under Type B status and then switched to Type law city—that is, the board of commissioners
A status when their population increased to has the same powers and duties as the board
600 or more, or when they had at least one of aldermen in a Type B general law city,
manufacturing establishment. except where specifically provided otherwise.
In a city of over 500 population, the board of
The governing body of a city operating as a commissioners must follow the requirements
Type A general law city is technically known as of a Type A general law city, except where
the board of aldermen, although many cities specifically provided otherwise.
refer to it as the "city council." It varies in size
depending on whether the city has been Any city operating under the commission form
divided into wards. If the city has been divided of government can change over to the
into wards, the council consists of a mayor and aldermanic form of government, and vice
two councilmembers from each ward— versa. The commission form of government in
whatever the number. If the city has not been a general law city should not be confused with
divided into wards, the governing body always the commission plan adopted by the City of
consists of a mayor and five councilmembers. Galveston at the turn of the century. Under
the Galveston plan, each member of the
9
municipal governing body—the city 4) In any city where the city manager plan
commission—simultaneously served as has been approved, all officers of the
legislators and heads of the city's city, except members of the governing
administrative departments. Thus, one body, thereafter shall be appointed as
member of the governing body served as may be provided by ordinance.
"police commissioner," another served as 5) Procedures for repealing the city
"fire commissioner," and so on, with each manager plan are essentially the same
commissioner exercising day-to-day as for adopting it.
supervisory authority over a particular
department. The basic structure of the city manager plan is
similar to that of a private corporation, in
General law cities operating under the which the stockholders elect a board of
commission form of government are not directors which then hires a president to run
authorized to adopt the Galveston plan. the company. Under the city manager plan,
In a general law city, one commissioner, acting the voters elect a city council which, in turn,
alone, has no individual power; only the hires a city manager to administer the city's
commission, acting collectively, exercises day-to-day affairs.
power.
Under the city manager plan, the council
serves as the legislative body. The council sets
City Manager Plan policy, it approves the budget and sets the tax
rate, and it determines the size of the payroll
The city manager plan can be adopted in any and the extent and cost of municipal services.
general law city under the provisions of In short, the council is the final authority on all
Chapter 25, Local Government Code: of the many policy decisions that determine
the scope and functions of the city
1) Upon presentation of a petition signed government.
by at least 20 percent of the total
number of qualified voters voting for The mayor and councilmembers have no
mayor in the last preceding city administrative duties under the city manager
election, the mayor must call an plan. These are vested in the city manager,
election on the question of adopting who is responsible for directing the workforce
the city manager plan within 10 days and programs of the city in accordance with
after the date the petition is filed. ordinances, rules, and regulations adopted by
2) If a majority of the votes cast at the the council.
election favor adoption of the city
manager plan, the council must, within The typical city manager in Texas is appointed
60 days after the election, appoint a for an indefinite term and is subject to
city manager and fix his or her salary by dismissal by the council at any time except as
ordinance. otherwise prohibited by law. He or she is
3) The administration of the city is to be designated as the chief executive and
placed in the hands of the city administrative officer of the city and is
manager, who serves at the pleasure of accountable to the council for the proper
the city council. conduct of all municipal operations.The
10
manager has the unilateral authority to hire, Legislation passed in 2003 clarifies that city
discipline, and fire the department heads councils of cities that have not adopted a city
under the manager's control. In some cases, manager plan under chapter 25 of the Local
however, certain employees, such as the city Government Code are free to delegate by
attorney or municipal judge, are directly hired ordinance management duties to a city
and/or supervised by the council rather than administrator.
the manager. Although the manager's role
varies from one city to another, the primary
function is to implement the policies The Home Rule Concept
established by the council and ensure that the
city is operated in an economical and Although scholars have used a variety of
responsible manner. Specific duties of the flowery phrases to describe the concept of
manager may include the following: home rule, the principle is simple: home rule is
the right of citizens at the grassroots level to
1) Enforcing all city ordinances, rules, and manage their own affairs with minimum
regulations. interference from the state. Home rule
2) Supervising all municipal employees assumes that governmental problems should
and programs. be solved at the lowest possible level, closest
3) Preparing and executing the city's to the people.
annual budget pursuant to the revenue
and expenditure plans adopted by the As mentioned earlier, home rule cities look to
council. the state to tell them what they are prohibited
4) Managing the city's funds and from doing, rather than for specific grants of
preparing periodic reports that advise authority to undertake particular functions. In
the council and the general public of Forwood v. City of Taylor, the Texas Supreme
the city's financial condition. Court summarized Texas' home rule doctrine
5) Providing information to the council to as follows:
facilitate its ability to make informed
decisions in the best interests of the It was the purpose of the Home-Rule
city. Amendment... to bestow upon
6) Preparing council meeting agendas and accepting cities and towns of more than
attending all such meetings to serve as 5,000 population full power of self-
a resource to the council and the government, that is,full authority to do
public. anything the legislature could
7) Drawing the council's attention to theretofore have authorized them to
community needs and recommending do. The result is that now it is necessary
alternatives by which the council can to look to the acts of the legislature not
respond to those needs. for grants of power to such cities but
only for limitations on their powers.
Adopting the city manager plan does not
change the basic governmental framework of a As a result of the Forwood case and other
general law city. Rather, it is an administrative court decisions upholding their broad powers,
mechanism added to the basic structure. home rule cities have the inherent authority to
do just about anything that qualifies as a
11
"public purpose" and is not contrary to the administrative framework or a complex one,
constitution or laws of the state. provide for the appointment or election of
major administrative officials, and so on. And
finally, the charter can provide for the creation
Inherent Powers of Home Rule of any boards or commissions that local voters
CIt12S decide are necessary to make the city function
effectively.
An "inherent power" is one that is possessed
by a city without its having been specifically Annexation
granted by the state. It is the right to perform
an act without having received that right from From 1912-2019, when H.B. 347 passed, the
the Texas Constitution or the state legislature. inherent power to unilaterally annex adjoining
areas was one of the most important home
Home rule cities have many inherent powers. rule prerogatives. To annex "unilaterally"
A discussion of some of the inherent powers of ineans that the city can bring an adjacent,
major significance may explain why so many unincorporated area into the city without the
cities have chosen to adopt home rule permission of the persons residing in that area.
charters.
In 2019, the legislature passed H.B. 347. The
Municipal Organization bill drastically altered the annexation
landscape for all cities. The bill provides that a
In contrast to counties or general law cities, city:
whose organization is fixed by state law, the
governmental structure of a home rule city is 1) May annex vacant land at request of
left entirely to the discretion of local voters. the owner
The citizens of a home rule city are free to 2) may annex an area with a population of
decide their form of municipal government less than 200 only if the following
(mayor-council, council-manager, and so on); conditions are met, as applicable: (1)
choose between a large or small city council; the city obtains consent to annex the
provide for the election of the city council at- area through a petition signed by more
large, by single-member district, or by place; than 50 percent of the registered
fix the terms of office for councilmembers at voters of the area; and (2) if the
two, three, or four years; or establish registered voters of the area do not
overlapping terms of office. Moreover, they own more than 50 percent of the land
can decide whether the mayor is to be elected in the area, the petition described by
directly by the voters, selected from among (1) is signed by more than 50 percent of
members of the council, or chosen by some the owners of land in the area; and
other method. 3) may annex an area with a population of
200 or more only if the following
The citizens of a home rule city also have total conditions are met, as applicable: (1)
discretion over the city's administrative the city holds an election in the area
structure. Subject only to local preferences, proposed to be annexed at which the
the charter can establish a simple qualified voters of the area may vote
on the question of the annexation and
12
a majority of the votes received at the After a completed petition is filed, the city
election approve the annexation; and secretary checks it to make sure that all of
(2) if the registered voters of the area those who signed are qualified voters. If the
do not own more than 50 percent of petition complies with the requirements of the
the land in the area, the city obtains charter, the city council has two options: (1) it
consent to annex the area through a can adopt the proposed ordinance; or (2) it
petition signed by more than 50 must call an election on the ordinance. If, at
percent of the owners of land in the the election on the proposed ordinance, a
area. majority of those voting favor its adoption, the
ordinance is put into effect.
Initiative, Referendum, and Recall
Referendum is a procedure under which local
Initiative, referendum, and recall are inherent voters can repeal unpopular, existing
home rule powers that are reserved for ordinances the council refuses to rescind by its
exclusive use by local voters in order to own action. The procedures for forcing the city
provide direct remedies in unusual situations. council to call a referendum election are
There is no constitutional or statutory usually the same as for initiative elections.
authority for initiative, referendum, or recall. Petitions calling for an election to repeal
These powers are unique to home rule cities, "Ordinance X" are circulated. When the
and they are not available to voters at any required number of signatures is obtained, the
other level of government, including the state. petition is submitted to the city council, which
can either repeal the ordinance by its own
Initiative is a procedure under which local action or call an election at which the people
voters directly propose (initiate) legislation. can vote to repeal it. If, at such election, a
Citizen lawmaking through the initiative majority favors retaining the ordinance, it is
process allows local voters to circumvent the left on the books. If a majority favors its
city council by direct ballot box action on new repeal, it is rescinded when the council
ordinances that have wide support in the canvasses the election returns.
community, but which the council refuses to
enact. Recall is a process by which local voters can
oust members of the city council before the
The initiative process begins with circulation of expiration of their terms. Under most charters,
a petition setting forth the text of the desired a recall election begins with the filing of an
ordinance. Then, petitioners must obtain the affidavit stating the name of the
number of voter signatures needed to force councilmember whose removal is sought and
the city council to submit the ordinance to the the grounds for removal. The city clerk or
people at a citywide election. Petition secretary then furnishes the person filing the
signature requirements vary from charter to affidavit with petition forms that must be
charter. Some are based on a percentage of completed and returned within a prescribed
the number of qualified voters in the city, time.
while others are expressed as a ratio of the
number of votes cast at the last general city Most city charters impose two further
election. limitations on recall efforts. First, they prohibit
more than one recall election per
13
councilmember per term. Secondly, they Examples include state statutes that require
forbid recall elections for any councilmember every city to pay unemployment taxes, that
during the early stages of his or her term—as, require cities with 10,000 or more in
for example, prohibiting an election to recall a population to pay longevity compensation to
councilmember within 60 days of the date he its police officers and firefighters, or prohibit
or she was sworn into office, or prohibiting conducting regular city elections on any day
recall elections for councilmembers whose except on those days prescribed by the
terms will expire within 60 days. The following Election Code.
language is typical of charter recall provisions:
Though certain limitations are imposed on
The people of rhe city reserve rhe home rule cities by the state, some can be
power to recall any member of rhe further narrowed by local action. For example,
council and may exercise such power by the Texas Constitution authorizes any city with
filing with the city clerk a perition, more than 5,000 inhabitants to levy property
signed by qualified voters of the city taxes at a maximum rate of$2.50 per$100
equal in number to at least ten percent assessed valuation. But a home rule charter
of the qualified voters of the city, may set a local ceiling lower than that. If a
demanding the removal of a city's charter limits the city tax rate to $1.70
councilman. per$100 of assessed valuation, this provision
has the same effect as state law. The city
Charter Amendments council is bound by it even though the state
constitution permits a higher rate.
In addition to initiative and referendum, direct
lawmaking by local voters can be accomplished Additionally, the governing body of a home
through amendments to the charter document rule city cannot act on any matter which has
itself. Under Section 9.004 of the Local been preempted by the state. For example,
Government Code, citizens can force the city the Texas Alcoholic Beverage Code fixes the
council to call an election on a proposed business hours of retail liquor stores.
charter amendment by simply filing a petition Therefore, an ordinance requiring liquor stores
signed by five percent of the qualified voters to open or close at times other than those
or 20,000, whichever is less. Voter-initiated prescribed by state law may not be enacted.
charter amendments, if adopted, can change
most aspects of the city government. Finally, when a charter provision conflicts with
a state law, the state law controls, unless
expressly stated otherwise.
Limitations on Home Rule Powers
Although the powers of a home rule city are The Charter pocument
extensive, they remain subject to all of the
limitations imposed by state and federal law. Although all municipal governments are
Some of these are briefly summarized below. subject to an abundance of federal and state
laws, the charter remains the most important
Every city must comply with the federal and document for a home rule city. Members of
state constitution and statutory requirements. the council should read the charter
14
immediately upon their election to office; of most major boards and commissions; (2) the
annual reviews also can be useful. prerogative to prepare the city budget and,
following its adoption by the council, to
Most charters include the following execute the budget; (3) a high enough salary to
components: enable the officeholder to devote their full
time to being mayor, as well as an office
• Provisions establishing the city's form budget sufficient to hire an adequate staff; and
of government (mayor-council, council- (4) the power to veto actions by the city
manager, and so on) and its legislative council. In a strong-mayor city,
and judicial machinery; councilmembers have no administrative
• Organizational provisions establishing duties. Their role is to enact ordinances, adopt
the administrative structure of the city policies governing the operations of the city,
government and the means for and otherwise function as the legislative
financing its operations; branch of the city government.
• Provisions governing the procedures of
the city council and advisory boards Under the weak-mayor system, the powers of
and commissions, and procedures for the mayor are limited. First, the mayor may be
granting franchises, and assessing and selected by the council rather than being
collecting taxes; and, directly elected by the people, which dilutes
� Popular controls over the city his or her political influence. Secondly, the
government, such as elections, mayor's pay is usually minimal and few, if any,
referenda, initiative, and recall. funds are provided for staff. Third, department
heads often are appointed and removed by
majority vote of the city council, which diffuses
Forms of Home Rule City administrative authority. And finally, few weak
Government mayors have either the authority to veto
actions of the council or the exclusive power to
develop and execute the budget, since these
Every home rule city in the state operates powers are collectively exercised by the
under one of two forms of government: council.
mayor-council or council-manager. Among
Texas' approximately 385 home rule cities, the
vast majority have the council-manager form. Very few home rule cities in Texas use the
weak-mayor form of government.
Mayor-Council Government Council-Manager Plan
The mayor-council plan has two variants: The basic structure of the council-manager
strong-mayor and weak-mayor. Under the
form of government is similar to that of a
strong-mayor system, most key administrative
and appointive powers are concentrated in the private corporation where the stockholders
hands of a full-time mayor who also presides elect a board of directors which then hires a
over meetings of the city council. The mayor president to run the company. Under the
usually has: (1) the power to appoint and council-manager plan, the voters elect a city
remove department heads and the members council which, in turn, hires a city manager to
administer the city's day-to-day affairs.
15
In a council-manager city, as in any other form and expenditure plans adopted by the
of city government, the council serves as the council.
legislative body. The council sets policy, 4) Managing the city's funds and
approves the budget and sets the tax rate, and preparing periodic reports that advise
determines the size of the payroll and the the council and the general public of
extent and cost of municipal services. In short, the city's financial condition.
the council is the final authority on all of the 5) Providing information to the council to
many policy decisions that determine the facilitate its ability to make informed
scope and functions of the city government. decisions in the best interests of the
community.
Under the council-manager plan, the mayor 6) Preparing council meeting agendas and
and councilmembers have no administrative attending all such meetings to serve as
duties. These are vested in the city manager, a resource to the council and the
who is responsible for directing the workforce public.
and programs of the city in accordance with 7) Drawing the council's attention to
ordinances, rules, and regulations adopted by community needs and recommending
the council. The typical city manager in Texas is alternatives by which the council can
appointed for an indefinite term and is subject respond to those needs.
to dismissal by the council at any time except
as otherwise prohibited by law. He or she is In larger cities, city managers spend
designated, either by charter or ordinance, as comparatively little time on citizen contacts,
the chief executive and administrative officer personnel problems, and other routine
of the city and is accountable to the council for matters. Managers in these cities usually have
the proper conduct of all municipal operations. a sizable staff capable of handling day-to-day
The manager has the unilateral authority to problems, thus allowing the manager to
hire, discipline, and fire the department heads. concentrate on communicating with the
council, policy issues, planning activities, and
Although the manager's role varies from one work sessions with department heads.
city to another, the manager's primary
function is to implement the policies On the other hand, the managers of inedium-
established by the council and ensure that the sized and smaller cities frequently operate
city is operated in an economical and with limited resources and small staffs.The
responsible manner. Specific duties of the manager must, by necessity, be personally
manager may include the following: involved in the details of providing police, fire,
solid waste, and other services.
1) Enforcing all city ordinances, rules, and
regulations.
2) Supervising all municipal employees
and programs.
3) Preparing and executing the city's
annual budget pursuant to the revenue
16
Chapter Two:
Roles and Responsibilities of
Officers in General Law Cities
services satisfactorily reflect the policy goals of
All members of the city council play unique the council.
roles in making the city government operate
effectively in a general law city. Many of their Under the law, the mayor is the presiding
functions are set by law, while others are officer of the city council. In this capacity as
established as a matter of local custom or presiding officer, the mayor's actual powers in
policy. legislative matters can be greater than those
of other councilmembers. For example, the
mayor can influence the flow of debate
Office of the Mayor through the power to recognize
councilmembers for motions or statements.
The mayor occupies the highest elective office
in the municipal government. As political head Also, the mayor rules on questions of
of the city, the mayor is expected to provide procedure at council meetings, and those
the leadership necessary to keep it moving in rulings are binding unless successfully
the proper direction. challenged by a majority of the governing
body. Finally, the mayor of a Type A general
Except under the city manager plan of law city can formally object to ordinances and
government, the mayor is the city's chief other resolutions passed by the council. If the
executive officer. The mayor presides over mayor objects to an ordinance or resolution
council meetings and is generally recognized as before the fourth day after it is placed in the
the ceremonial and governmental head of the city secretary's office, it must be reconsidered
city for most purposes. by the governing body. If approved, it becomes
effective (Local Government Code Section
Most of the powers exercised by the mayor 52.003).
are created through ordinances and
resolutions adopted by the city council. Very Appointive Powers
few mayoral powers are prescribed by state
law. Appointive powers represent another area in
which the mayor's powers often outrank those
Legislative Responsibilities of councilmembers, especially when the mayor
is authorized by ordinance to appoint
The mayor's most important duty is to carry department heads and advisory board
out the legislative responsibilities he or she members. In Chapter 25 council-manager
shares with other members of the council— cities, the mayor's appointive powers are more
identifying the needs of the city, developing limited, because the city manager may appoint
programs to satisfy those needs, and all or most administrative employees.
evaluating the extent to which municipal Although most of the mayor's appointive
17
powers are established by ordinances enacted ordinance, the mayor is ex officio judge of the
by the city council, some are established by court (Government Code Section 29.004). A
state law, such as the power to appoint mayor serving as the ex officio municipal judge
commissioners of a housing authority (Local must still receive the annual training required
Government Code Section 392.031). of all municipal judges.
Law Enforcement and Related Duties of the Signatory Duties
Mayor
As signatory for the city, the mayor maybe
The office of the mayor involves a variety of required to sign a variety of documents to give
law enforcement responsibilities. The mayor is them official legal effect. The mayor's
specifically obligated by law to "actively ensure signature is required on all bonds, certificates
that the laws and ordinances of the city are of obligation, warrants, and other evidence of
properly carried out," and "in the event of a debt, as well as may be required on
riot or unlawful assembly or to preserve the ordinances, resolutions, advertisements for
peace," the mayor may order the closing of bids on public works projects, contracts, and
certain public places. similar legal paperwork. The mayor is also
responsible for signing proclamations
Under extreme circumstances, as in the case of recognizing special events and personal
a riot, the mayor of a Type A general law city achievements.
can summon a special police force into service
(Local Government Code Section 341.011) or Ceremonial Duties
call for assistance from the Texas National
Guard. Also, if the city has used the provisions The mayor's participation in local ceremonial
of Sections 362.001 et seq., Local Government events is a never-ending responsibility. The
Code, to enter into a mutual law enforcement mayor is expected on a daily basis to cut
pact with other nearby cities or the county, the ribbons at ceremonies opening new
mayor can call on those localities for help in businesses; break the ground to begin the
dealing with civil disorders and other construction of new city facilities; and
emergencies. Additionally, most local regularly appear at fairs, parades, beauty
emergency management plans authorize the pageants, and other community celebrations.
mayor to exercise supreme powers in case of a
public calamity, after the mayor has declared a The mayor also issues proclamations for a
local disaster or asked the governor to declare variety of purposes, whether to honor visiting
a state of emergency. State law also permits a dignitaries or declare "Support Your Local
mayor to require a mandatory evacuation School Week." And as a featured speaker
order and control who can access an area before professional clubs, school assemblies,
during a phased reentry (Government Code and neighborhood groups, the mayor can
Chapters 418 and 433). expect to be interviewed, photographed, and
otherwise placed on extensive public display
Judge of the Municipal Court by the media.
In every general law city where no separate
office of judge of the municipal court exists by
18
Administrative Duties is to be considered the same as any other
member of the governing body for policy
Except in Chapter 25 council-manager cities, purposes. This is accomplished by
the mayor serves in the dual roles of concentrating administrative powers in the
administrator and political head of the city, hands of a city manager, who acts under the
going to city hall on a regular basis, working direction of the full council.
with department heads on matters that need
attention each day, and performing the Qualifications of Office
ceremonial duties that go with the office. In
some cases, ordinances approved by the In Type A general law cities, every candidate
council give the mayor wide latitude to deal for the office of mayor must meet the
with the many problems that arise each day. following qualifications:
Also, an administrative staff is sometimes
available to help the mayor, but the office still 1) Be a United States citizen;
involves considerably more effort—and 2) Have been a resident of Texas for at
power—than its counterpart in cities operating least 12 months, as of the deadline for
under the city manager plan. filing for the office;
3) Have resided in the city for at least 12
Limitations on the Mayor's Powers months preceding election day;
4) Be a registered voter;
The broad powers of the mayor can be offset 5) Be 18 years of age or older upon the
by several methods, including ordinance commencement of the term to be filled
requirements that the council ratify mayoral at the election;
appointments and other key actions. 6) Not have been convicted of a felony for
which he or she has not been pardoned
Limiting the mayor's power at the council table or otherwise released from the
is another way of imposing restraints. In Type resulting disabilities; and
A general law cities, for instance, the mayor is 7) Not have been deemed mentally
allowed to vote only in the event of a tie (Local incompetent by a final judgment of a
Government Code Section 22.037). As state court.
law is unclear on the mayor's ability to vote in
Type B general law cities, those cities should (Election Code Section 141.001; Local
consult with their local legal counsel with Government Code Section 22.032).
questions.
In Type B and Type C general law cities, every
The mayor's prerogatives can also be candidate for mayor must meet the
restricted by the structure of the city qualifications listed above, except that he or
government. Under the Chapter 25 council- she must have resided in the city for six
manager plan, for example, the mayor has no months, rather than twelve, preceding election
administrative powers and will probably be in day (Election Code Section 141.001; Local
city hall on a less frequent basis. The Government Code Section 23.024).
ordinances of most council-manager cities also
make it clear that decision-making is to be
shared by the full council, and that the mayor
19
Terms of Office in office (Local Government Code Section
23.002).
In a Type B general law city operating under
the aldermanic form of government, the In a Type A general law city operating under
mayor's term of office is one year, unless the the aldermanic form of government, the
board of aldermen has enacted an ordinance vacancy can be filled either by appointment of
providing a two-year term for the mayor and the city council or by a special election if the
two-year overlapping terms for aldermen mayor's office is the only one vacant.
(Local Government Code Section 23.026). In a However, if another vacancy exists on the
Type A general law city, the term of the mayor board of aldermen when the mayor's office is
and members of the city council or board of vacant, both vacancies must be filled at a
aldermen is two years (Local Government special election. When a vacancy is filled by
Code Section 22.035). In a Type C general law appointment, the term of the person
city, the mayor's term of office is two years appointed expires at the next general
(Local Government Code Section 24.023). municipal election. When a vacancy is filled by
special election, the person elected serves out
In any city, the term of office for members of the remainder of the unexpired term of the
the governing body can be extended to three vacancy being filled (Local Government Code
years or four years upon approval of a majority Section 22.010).
of the voters voting at an election on the
question (Texas Constitution, Article XI, In a Type C city operating under the
Section 11). commission form of government, a vacancy in
the office of mayor must be filled by
Vacancies appointment by the two remaining members
of the board of commissioners. But if there are
When the mayor is temporarily unable to two vacancies on the board of commissioners,
perform his or her duties because of illness, they must be filled at a special election called
out-of-town travel, or similar reasons, the by the county judge, and the persons elected
mayor pro tem assumes the responsibilities of serve out the remainder of the unexpired
the office on an interim basis (please see terms of the vacancies being filled (Local
discussion of mayor pro tem on the next page). Government Code Section 24.026).
But if a permanent vacancy occurs in the office
of mayor as a result of death, disability, If the terms of office in a city have been
resignation, or some other reason, the vacancy changed to three or four years, appointment
should be filled according to prescribed to fill a vacancy is no longer an option. Any
procedures. vacancy must be filled by special election
(Texas Constitution, Article XI, Section 11).
In a Type B general law city operating under
the aldermanic form of government, a mayoral Absences
vacancy must be filled by appointment by the
board of aldermen. The term of the person Under Section 22.041 of the Local Government
appointed expires at the same time that the Code, "if a member of the governing body is
term of the person who vacated the office absent for three regular consecutive meetings,
would have expired if he or she had remained the member's office is considered vacant
20
unless the member is sick or has first obtained Compensation
a leave of absence at a regular meeting."
In Type C cities, the board of commissioners
Removal may, by ordinance, fix the mayor's
compensation at a maximum of$5 for each
Procedures for removing the mayor or a regular commission meeting and $3 for each
councilmember from office are set forth in special meeting. Alternatively, the board of
Section 21.002 of the Local Government Code. commissioners in a city of less than 2,000 can
Under the law, a member of the governing pay the mayor a salary of up to $600 per year,
body is subject to removal for incompetence, while the board of commissioners in a city of
official misconduct, or intoxication. A petition 2,000 or greater population can pay the mayor
for removal must be filed with a district court, up to $1,200 per year (Local Government Code
may be filed by any resident of the city, and Section 141.003).
must state the alleged grounds for removal.
The judge may decide to issue a citation to the In Type A and B general law cities, no
member in question or may decline to do so. If maximum salary amount is fixed for the
the judge declines to issue a citation, the mayor. The governing body can set the
petition is dismissed at the cost of the mayor's compensation at any level it chooses
petitioner. If the judge issues a citation to the (Local Government Code Sections 141.001 and
member, the member must appear before the 141.002). Only one limitation exists: an elected
judge to answer the petition and may request officer cannot receive a pay increase that was
a trial by jury. The petitioner must execute a approved during the term for which he
bond in an amount fixed by the judge. The or she is elected. Such increase will become
bond shall be used to pay damages and costs effective only after the next general municipal
to the member if the alleged grounds for election at which the office is filled (Local
removal are found to be insufficient or untrue. Government Code Section 141.001).
The final judgment on the issue may be
appealed by either party. Conviction of the Expense Reimbursement
member for any felony or official misconduct
will result in immediate removal, and the It is commonplace for the city to reimburse the
removed member is ineligible for reelection mayor for travel and other expenses incurred
for two years. on official city business trips, such as meetings
of the Texas Municipal League and similar
There is no such thing in a general law city as organizations. Most city travel policies are
"recall," which is a procedure citizens can use established by ordinance or resolution.
to vote an incumbent mayor or
councilmember out of office before the
expiration of his or her term. The power of Office of the Mayor Pro Tem
recall is limited to voters in home rule cities in
which the charter provides for the procedure. The mayor pro tempore is a member of the
council who performs the mayor's duties
during the mayor's incapacity or absence. The
mayor pro tem is selected by majority vote of
the council from among its own membership.
21
The mayor pro tem's term is one year. The the city's funds, and then explain to the
mayor pro tem retains the right to vote on all people why municipal government is a
matters before the council while performing bargain compared to the price of
the duties of the mayor (Local Government rampant crime, fires, disease, and all of
Code Sections 22.037 and 23.027). the other problems that would flourish
without proper city services.
• Employer—The council is responsible
Office of Councilmember for all of the city's employees, and
must see that they are adequately paid
Councilmembers are the city's legislators. and provided with decent working
Their primary duty is policymaking, which conditions and fringe benefits.
includes identifying the needs of local • Buyer—The council is one of the
residents, formulating programs to meet the biggest purchasers in the community,
changing requirements of the community, and and must see to it that the city gets the
measuring the effectiveness of ongoing best value possible for dollars spent.
municipal services.
Even this is not a complete description of all
Unless restricted by state law, each the challenges that confront councilmembers.
councilmember is entitled to vote or abstain
on every question decided at a council The real task is in providing leadership and
meeting, and has full parliamentary privileges direction for the city, in deciding what needs
in council meetings—including the right to to be done, and in helping plan what the city
speak and make motions when recognized by will be for future generations.
the chair and the right to introduce new
ordinances and amendments to existing ones.
Though foremost in importance, lawmaking is Qualifications
just one of many functions councilmembers
perform. They also wear several other hats, In general law cities, the qualifications for the
which one writer describes as follows: office of councilmember are:
• Regulator—The council exercises 1) Be a United States citizen;
regulatory powers over the conduct 2) Have been a resident of Texas for at
and property of its citizens. It has the least 12 months as of the deadline
power to declare certain conduct to be for filing for the office;
criminal, to require that certain 3) Have resided in the city for at least
businesses and activities be licensed, six months preceding election day;
and to tell property owners how and 4) Be a registered voter;
for what purposes they may use their 5) Be 18 years of age or older upon
property. the commencement of the term to
• Financier—The council may levy taxes, be filled at the election;
assess fees and charges, and sell bonds 6) Not have been convicted of a felony
in order to finance the many functions for which he or she has not been
of the city government. The council pardoned or otherwise released
also has to budget the expenditure of from the resulting disabilities; and
22
7) Not have been deemed mentally board (Local Government Code Section
incompetent by a final judgment of 23.002).
a court.
In a Type A general law city operating under
(Election Code Section 141.001; Local the aldermanic form of government, when
Government Code Sections 22.032 and there is only one vacancy on the governing
23.024). body, the vacancy can be filled either by
appointment of the city council or by means of
One additional requirement: if a Type A a special election. However, if there are two or
general law city has been divided into wards, more vacancies on the governing body, such
every council candidate must, at the time of vacancies must be filled at a special election
his or her election, be a resident of the ward (Local Government Code Section 22.010).
he or she proposes to represent if elected
(Local Government Code Section 22.032). In a Type C general law city, a single vacancy
must be filled by appointment by the two
remaining members of the board of
Terms of Office commissioners. But if there are two vacancies
on the board, they must be filled at a special
In a Type B general law city, the term of office election called by the county judge (Local
for aldermen is one year, unless the board of Government Code Section 24.026).
aldermen has enacted an ordinance providing
a two-year term for the mayor and two-year
overlapping terms for aldermen (Local Absences
Government Code Section 23.026). In a Type A
general law city, the term of office for Under Section 22.038 of the Local Government
members of the city council is two years Code, an illness of an alderman or someone in
(overlapping terms) (Local Government Code his or her family is the only reason for absence
Section 22.035). from council meetings in a Type A general law
city without a fine. Unexcused absences are
In any city, the term of office of inembers of punishable by a fine of$3 for each council
the governing body can be extended to three meeting missed. If an alderman is absent for
years or four years upon approval of a majority three consecutive regular meetings—unless
of the voters voting at an election called on the because of sickness or the alderman has
question (Texas Constitution, Article XI, obtained a leave of absence at a regular
Section 11). meeting—his or her office shall be vacant.
(Local Government Code Section 22.041).
Vacancies There is no law applicable to absences by
aldermen in Type B general law cities or
In a Type B general law city operating under members of the board of commissioners in
the aldermanic form of government, vacancies cities operating under the commission form of
on the board of aldermen— whatever the government (Type C general law cities).
number of vacancies—must be filled by However, in cities over 500 population, which
appointment by the remaining members of the operate under the commission form of
23
government, Sections 51.035 and 51.051 (the (Local Government Code Chapter 141).
"borrowing provisions") of the Local
Government Code (relating to the application
of laws to cities with the commission form) Expense Reimbursement
would probably make Sections 22.038 and
22.041 of the Local Government Code (relating It is commonplace for cities to reimburse
to absences) applicable to such cities. Type B councilmembers for travel and other expenses
general law cities should contact their local incurred on official city business trips to
legal counsel to discuss this issue, as state law meetings of the Texas Municipal League, a
is unclear. council of governments, and similar
organizations. Most travel policies are
established by ordinance or resolution.
Removal
Procedures for removing a councilmember
from office in a general law city are the same
as for the mayor and are governed by Chapter
21 of the Local Government Code.
Compensation
In Type C cities, the board of commissioners
may, by ordinance, fix commissioners'
compensation at a maximum of$5 for each
regular commission meeting and $3 for each
special meeting. Alternatively, the board of
commissioners in a city of 2,000 or greater
population can provide for paying
commissioners up to $600 per year (Local
Government Code Section 141.003).
In Type A and B general law cities, no
maximum salary amount is fixed for aldermen.
Therefore, the governing body can set
councilmembers' compensation at any level it
decides. Only one limitation exists: an
alderman cannot receive the benefit of a pay
increase adopted during the term for which he
or she is elected. Such increase will become
effective only after the next general municipal
election at which the office of the alderman
serving at the time of the pay increase is filled
24
Chapter Three:
Roles and Responsibilities of
Officers in Home Rule Cities
All members of the city council play unique programs to satisfy those needs, and
roles in making the city government operate evaluating the extent to which municipal
effectively in a home rule city. Many of their services satisfactorily reflect the policy goals of
functions are set by law, while others are the council.
established as a matter of local custom or
policy. All charters designate the mayor as presiding
officer of the city council and as such, his or
her actual powers in legislative matters can be
Office of the Mayor greater than those of other councilmembers.
For example, as presiding officer of the
The mayor occupies the highest elective office council, the mayor can influence the flow of
in the municipal government. As political head debate through the power to recognize
of the city, the mayor is expected to provide councilmembers for motions or statements.
the leadership necessary to keep it moving in
the proper direction. Also, the mayor rules on questions of
procedure at council meetings, and those
Except under the city manager plan of rulings are binding unless successfully
government, the mayor is the city's chief challenged by a majority of the governing
executive officer,just as the governor serves body. Finally, the charters of some cities
as chief executive of the state. The mayor pre- authorize the mayor to veto ordinances and
sides over council meetings, is the signatory other enactments approved by the city council.
for the city, and is generally recognized as the
ceremonial and governmental head of the city Appointive Powers
for most purposes.
Appointive powers represent another area in
Most of the powers exercised by the mayor which the mayor's powers often outrank those
are created either by provisions in the charter of councilmembers, especially in mayor-
or through ordinances and resolutions council cities where the mayor is authorized to
adopted by the city council. Very few mayoral appoint department heads and advisory board
powers are prescribed by state law. members. In council-manager cities, however,
the mayor's appointive powers are more
Legislative Responsibilities limited, since the city manager appoints all or
most administrative employees, and the full
The mayor's most important duty is to carry council appoints the members of advisory
out the legislative responsibilities he or she boards and commissions.
shares with other members of the council—
identifying the needs of the city, developing
25
Signatory Duties emergencies, and performing all of the
ceremonial duties that go with the office.
As signatory for the city, the mayor is required Depending on the city, the charter may give
to sign a variety of documents to give them the mayor broad authority to deal with the
official legal effect. The mayor's signature is many problems that arise each day. A skilled
required on all bonds, certificates of administrative staff usually is available to help
obligation, warrants, and other evidence of the mayor carry the day-to-day load. Also, in
debt, as well as ordinances, resolutions, some cities, the charter gives the mayor the
advertisements for bids on public works power to veto actions of the council.
projects, contracts, and similar legal
paperwork. The mayor is also responsible for The broad powers of the mayor in mayor-
signing proclamations recognizing special council cities usually are offset by charter
events and personal achievements. provisions that require the council to ratify
mayoral appointments and other key actions.
Ceremonial Duties Also, the requirement for council approval of
the budget provides councilmembers with an
The mayor's participation in local ceremonial effective method of slowing down a zealous
events is a never-ending responsibility. The mayor by reducing or abolishing expenditures.
mayor is expected on a daily basis to cut
ribbons at ceremonies opening new Further checks can be created by distributing
businesses; break the ground to begin the governmental powers in a certain way. Under
construction of new city facilities; and the Houston charter, for example, provision is
regularly appear at fairs, parades, beauty made for an elected city controller responsible
pageants, and other community celebrations. for supervising the expenditure of municipal
funds independent of both the mayor and
The mayor also issues proclamations for a council.
variety of purposes, whether to honor visiting
dignitaries or declare "Support Your Local Powers of the Mayor in Council-Manager
School Week." And as a featured speaker Home Rule Cities
before professional clubs, school assemblies,
and neighborhood groups, the mayor can Under the council-manager form of
expect to be interviewed, photographed, and government in a home rule city, the mayor's
otherwise placed on extensive public display administrative responsibilities differ sharply
by the media. from those of a mayor in a mayor-council city.
Under the council-manager plan, the mayor
Powers of the Mayor in Mayor-Council Home has no day-to-day administrative duties; these
Rule Cities are vested in a city manager who is responsible
for implementing policies established by the
In mayor-council home rule cities, the mayor council. In most council-manager cities, the
serves in the dual roles of administrator and mayor is in city hall on an irregular basis and is
political head of the city. He or she is in city involved very little in routine operational
hall on a continuing basis, working with matters.
department heads on routine items that need
to be addressed each day, handling
26
The charters of most council-manager cities the same as that of a councilmember. In some
make it clear that decision-making is to be cities, the term of mayor pro tem is shorter; in
exercised by the full council, and that the one city, for example, each councilmember
mayor is to be considered the same as any serves a three-month term as mayor pro tem
other member of the council for policy on a rotating basis.
purposes. This is accomplished by
concentrating administrative powers in the
hands of the city manager and by requiring Office of Councilmember
action by the whole council, and not just the
mayor, to appoint key board and commission Councilmembers are the city's legislators.
members. Their primary duty is policymaking, which
includes identifying the needs of local
And finally, a number of state laws further residents, formulating programs to meet the
ensure that the full council share appointive changing requirements of the community, and
powers. An example is Local Government Code measuring the effectiveness of ongoing
Section 211.008, which requires that the city's municipal services.
governing body appoint the zoning board of
adjustment. Unless restricted by state law, each
councilmember is entitled to vote or abstain
Limitations on the Mayor's Powers on every question decided at a council
meeting, and has full parliamentary privileges
As noted above, the powers of the mayor in in council meetings—including the right to
both mayor-council and council-manager speak and make motions when recognized by
home rule cities can be limited by requiring full the chair and the right to introduce new
council approval of the budget and board and ordinances and amendments to existing ones.
commission appointments, and by distributing
governmental powers among a variety of city Though foremost in importance, lawmaking is
officials rather than concentrating them in the just one of many functions councilmembers
office of mayor. Another way to impose perform. They also wear several other hats,
restraints on the mayor is to limit his or her which one writer describes as follows:
power at the council table. For example, some
charters in home rule cities do not allow the • Regulator—The council exercises
mayor to initiate motions at council meetings. regulatory powers over the conduct
Some charters forbid the mayor from voting and property of its citizens. It has the
except to break a tie. power to declare certain conduct to be
criminal, to require that certain
businesses and activities be licensed,
Office of the Mayor Pro Tem and to tell property owners how and
for what purposes they may use their
The mayor pro tempore is a member of the property.
council who performs the mayor's duties • Financier—The council must levy taxes,
during the mayor's incapacity or absence. The assess fees and charges, and sell bonds
mayor pro tem is usually selected by majority in order to finance the many functions
vote of the council, and his or her term is often of the city government. The council
27
also has to budget the expenditure of the size of the governing body is determined
the city's funds, and then explain to the by the city's charter.
people why city government is a
bargain compared to the price of Method of Electing the Council
rampant crime, fires, disease, and all of
the other problems that would flourish There are four basic methods of electing home
without proper city services. rule city councils in Texas. The first is the at-
• Employer—The council is responsible large system, under which candidates are
for all the city's employees, and must elected citywide without regard to where they
see that they are adequately paid and live.
provided with decent working
conditions and fringe benefits. The second is the place system of electing the
• Buyer—The council is one of the council, under which candidates run citywide,
biggest purchasers in the community, but each must file for a designated seat (place)
and must see to it that the city gets the on the council.
best value possible for dollars spent.
Under an at-large/from-districts system,
In addition to these everyday duties, candidates are elected citywide, but
councilmembers spend considerable time councilmembers must reside in designated
representing the city in a wide circle of geographical areas of the city.
external relationships. Examples include:
Under a pure single-member district electoral
• Serving on committees of the Texas system, all candidates for the council (not
Municipal League and other statewide including the mayor) must live in designated
local government organizations. districts of the city and are voted upon only by
• Working with state legislators on city- the voters residing in those districts.
related bills.
� Working with the National League of Additionally, a number of cities use hybrid
Cities, the U.S. Conference of Mayors, electoral systems that combine various
and other national public interest features of the plans described above. Mixed
groups on municipal issues pending systems include those in which some members
before Congress or federal regulatory of the council are elected at-large and the
agencies. remaining councilmembers are elected from
• Supporting efforts of the chamber of single-member districts, or where some
commerce, industrial foundations, and members of the council are elected at-large
other organizations to foster the city's and the balance are elected from districts at-
economic development. large.
Size of the Council
Qualifications
There is no state law requiring the city council
of a home rule city to be any particular size. As Every candidate for the office of mayor or
is true in so many other areas of home rule, councilmember must meet the qualifications
28
prescribed by the Texas Election Code, which thus preventing wholesale changeovers on the
requires that a candidate: council at any one election. Under staggered
term procedures, the terms of approximately
1) Be a United States citizen; half of the members of the council expire at
2) Be 18 years of age or older upon the one municipal election, and the other half
commencement of the term to be filled expire at the next election. In the case of a
at the election; seven-member city council with two-year
3) Has been a resident of Texas for at terms, the terms of three members might
least 12 months as of the deadline for expire during each odd-numbered year, while
filing for the office; the other four terms would expire during each
4) Has resided in the city for at least 6 even-numbered year. Some home rule
months as of the deadline for filing for charters limit the number of terms a
the office; councilmember may serve.
5) Has not been convicted of a felony for
which he or she has not been pardoned
or otherwise released from the Vacancies
resulting disabilities;
6) Has not been found mentally Vacancies on the council can result from
incompetent by a final judgment of a resignation, death, disability, recall, or failure
court; and of a councilmember to meet the requirements
7) Be a registered voter. of the charter. In some instances, a vacancy
can occur if a member of the council
(Election Code Section 141.001). announces for another elective office. For
example, under Article XI, Section 11, of the
The Election Code authorizes home rule cities Texas Constitution, in cities where the term of
to establish two exceptions to these six office for councilmembers is three or four
criteria. First, the charter can require council years, any councilmember who announces for
candidates to be up to 21 years old, rather another elective office is automatically
than 18, upon the commencement of the term removed from the council if more than one
to be filled at the election. Second, the charter year and 30 days remains in his or her term at
can require candidates to be residents of the the time of such announcement.
city for 12 months, rather than 6 months, as of
the deadline for filing for office (Election Code Also, some city charters provide that any
Section 141.003). councilmember who runs for another office
automatically vacates his or her seat on the
council. A city charter may provide that:
Terms of Office
If any officer of the city shall file as a
The terms of office for mayors and candidate for nomination or election to
councilmembers range from two to four years any public office, except to some office
and are set by the city's charter. under this charter, he shall immediately
More than ninety percent of all home rule forfeit his office.
charters provide continuity on the governing
body by staggering councilmembers' terms,
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Procedures for filling vacancies vary from Most charters fix the dollar amount of the
charter to charter. In some instances, charters salary or fees to be paid to members of the
require that vacancies on the governing body governing body. A few permit the council to
be filled by appointment of the council in set its own compensation.
every case, regardless of whether a regular
municipal election is imminent. The charters of Expense Reimbursement
others require the council to fill a single
vacancy by appointment, but if two or more It is commonplace for cities to reimburse
vacancies exist, they must be filled at a special councilmembers for travel, hotel, and other
election. Under Article XI, Section 11, of the expenses incurred on official city business trips
Texas Constitution, cities with three- or four- to meetings of the Texas Municipal League,
year terms must fill all vacancies by election National League of Cities, and similar
unless: (a) there is 12 months or less left in the organizations. Only a small number of charters
councilmember's term; and (b) the charter make any mention whatsoever of
provides for appointment. Finally, some councilmembers' expense reimbursement.
charters require that all council vacancies must Most travel policies are established by
be filled by special election. Among these ordinance or resolution.
cities, the common practice is not to require
special elections in cases where a regular Other Benefits
municipal election is imminent (for example,
within sixty to ninety days of the time the A final category of benefits for
vacancy occurred). councilmembers includes staff and office
facilities. Again, there is no consistency among
cities: benefits range from providing part-time
Compensation clerical help to full-time secretaries and
administrative assistants.
As with so many other aspects of home rule
government, state law is silent regarding the As with so many other issues, the question of
compensation of mayors and councilmembers. what—if any—staff and facilities should be
As such, the salary can be governed by the provided to councilmembers must be decided
charter or set by local policy if the charter is locally.
silent.
Salaries
In most of the cities operating under the
mayor-council form of government, the mayor
may receive a substantial salary for his or her
full-time administrative services. In council-
manager cities, the charter generally treats
councilmembers as part-time legislators for
whom minimum compensation is provided.
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Chapter Four:
Powers and Duties of Cities
Both home rule and general law cities have the decisions only as specifically authorized by
authority to deal with many issues. General ordinances enacted by the governing body. In
law cities must look to state law for the others, the mayor is given free rein over the
authority to act, while home rule cities may city's administration.
have more latitude in certain areas (although
the state legislature has seen fit to limit home Placing the lead responsibility for
rule authority in many ways). Below is a administration in the hands of the mayor
discussion of some of the basic powers given enables citizens and the city council to go to
to cities. one central point for solutions to particular
problems. Also, this arrangement can help
focus accountability and keep the city's
Administrative Oversight in business moving ahead smoothly and
General Law Cities efficiently. At the same time, this system can
easily go awry if the mayor does not get along
The Mayor as Chief Executive Officer with the council or when council meetings
deteriorate into haggling sessions over
In a general law city, a mayor's duties and whether the mayor has the legal authority to
authority come first from the Local do something.
Government Code and other state law and
then may be expanded by the city council. See The City Council as "Administrative Board"
Local Government Code Sections 22.037,
22.042, and 23.027. The city council in a In addition to their legislative duties, some city
smaller city may give the mayor the councils supervise local operations on a
responsibility of supervising the city's continuing basis. Under this approach, the full
employees, procuring supplies, ensuring that council approves all purchases and other
the streets are cleaned and repaired, and administrative details, and department heads
overseeing the multitude of other items that report directly to the council at every regular
need attention each day. Department heads meeting.
report directly to the mayor, who meets with
them from time to time to check on their This arrangement has the advantage of
problems. Most of the mayors who assume providing the council with maximum control
these extensive responsibilities usually do so in over the city's operations. If a department is
addition to their regular jobs. not functioning properly, the council can go
directly to the source of the problem and take
The degree of flexibility the council permits the corrective action.
mayor to exercise in administrative matters
varies from one city to another. In some cities, The downside is that the council meets just
the council expects the mayor to make routine once or twice a month, and may not be able to
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deal in a timely manner with problems as they Conversely, concentrating too much authority
arise. Delays can occur if a department is in the hands of an appointed officer or
unable to proceed with a project because of employee may put a barrier between citizens
snags that only the council can overcome. and their elected representatives. Also,
Also, this arrangement tends to be inefficient allowing one person to control information
unless some method is established for concerning the city's internal administrative
coordinating the operations of various operations can lead to a situation in which
departments on a regular basis between councilmembers are isolated from the real-
council meetings, while not violating open world problems the community is experiencing
meetings laws. with the city government.
City Manager or Administrator Another form of administrative oversight of a
city is accomplished by an election under
Many city councils have found it advantageous chapter 25 of the Local Government Code.
to delegate administrative powers and Under this chapter, the city manager position
responsibilities to a single appointive officer or is created pursuant to an election, and his
employee. In some cases, this official is the city duties are established by state law. This form
manager or city administrator, whose position of government is rare and has different
has been established by ordinance. In others, characteristics from other forms where a
the lead administrative role is assumed by the manager or administrator position is created
city clerk or secretary, the utility manager, or solely by ordinance at the city council's
another department head who serves as "first discretion.
among equals." Whatever the title, the official
the city has delegated administrative functions Council Committees
to is responsible for overseeing all the city's
operations on a continuing basis and for Most smaller cities are faced with the problem
reporting to the council on behalf of the of limited resources, and there simply are not
various departments. All administrative actions enough staff inembers to handle the many
by the council are taken through the official, demands imposed on the city organization.
and any questions the council may have One method of dealing with this problem is to
concerning the enforcement of ordinances or subdivide the council into administrative
performance of city programs are directed to committees, each responsible for a different
that individual. area of the city government.
Centralizing authority and accountability in Council committees usually are organized by
one appointed officer or employee can service or function: police, fire, health, budget,
simplify the council's job. The council will be and so on. "Standing committees" are
relieved of attending to minor details and will permanent panels that meet regularly and
have more time for the important task of have assigned areas in which there is always
setting policy. With proper guidance from the work to be done. On the other hand, "ad hoc"
council, a skillful administrator can create an or "special" committees serve on a temporary
efficient management team capable of running basis and deal with short-term items that
itself. cannot be handled by a standing committee.
At the option of the city council, either the full
32
council can designate the councilmembers differ according to the particular local
who chair or serve as members of the various government organization. For example, if the
committees or the council can delegate this city operates under a city manager or
authority to the mayor. administrator plan, or if the mayor serves as an
administrative head of the city, the council
Most council committees serve as the liaison exercises control in a more indirect way by
between the governing body and individual setting broad policies that are left to the
city departments. They communicate with mayor or manager for execution.
department heads, ensure that the full council
is kept apprised of departmental problems, Regardless of the administrative structure
and, as necessary, conduct departmental used, every city council should operate on the
evaluations and report their findings to the basis of written policies that set out the
council. specific powers and duties of all the city's
departments and officials, and some method
The most common temptation for members of should be established for ensuring that those
council committees is to overstep the bounds policies are carried out. Policy decisions are
of their authority. Although they can be vested not implemented automatically, and no matter
with substantial authority—such as the how much careful thought may go into their
authority to conduct investigations or take preparation, there is always a management job
employment action—council committees do to be done. Someone must assume the
not possess legislative powers and should responsibility for organizing and controlling
never attempt to act as if they are the city the city's administrative machinery.
council.
The city's charter, along with local ordinances
One cautionary note: care should be taken to and policies, outline the administrative
avoid violations of the Texas Open Meeting procedures in a home rule city.
Act, which requires that meetings of all
governmental bodies be posted in advance
and open to the public. If there is some The Police Power
question as to whether meetings of a council
committee are subject to the open meeting Cities have the power to regulate a wide range
statute, the best practice usually is to assume of activities in order to promote the general
that they are (see Texas attorney general welfare of the city's residents. This is known as
opinions H-3, and JM-1072; and JC-60) and the city's "police power," and it encompasses
consult with the city attorney for guidance. all governmental powers exercised for the
public good.
Administrative Oversight in Home More particularly, the police power is defined
Rule Cities as the city's authority to preserve and promote
the health, safety, morals, and welfare of local
While the same general policy-making citizens. It is based on the supremacy of the
functions are shared by city councils rights of the general public over individual
everywhere, administrative responsibilities rights. Some of the more common methods by
which city police powers are exercised are
33
described below. PId1111111g, Subdivision Controls,
In order to preserve the peace, the city council and Annexation
has the power to create a police department
to maintain order, enact ordinances controlling The city council has the power to spend city
noise and other disturbances, and require funds to compile statistics, conduct studies,
animals to be leashed. The council also can and make plans for the orderly growth of the
declare certain activities to be public nuisances city and the welfare of its residents. The
and penalize persons who create them. council can create a planning commission to
develop and maintain a city plan, and can
With regard to public health and safety, the establish a planning department to implement
council has the power to take all actions and the plan.
make all regulations that may be necessary or
expedient for the promotion of health or the The council can establish rules and regulations
suppression of disease. A city's authority to governing the subdivision and development of
protect the health of the public is generally land within the city. The city also can extend its
broader than other city police powers. subdivision controls to land located within the
city's area of extraterritorial jurisdiction in
The regulation of dogs and other animals, the order to ensure the orderly development of
regulation of unwholesome business practices, outlying areas (Local Government Code
and the regulation of slaughterhouses are just Chapters 212 and 213).
a few of the powers the city council may
exercise to protect the health of its citizens. Prior to 2017, a home rule city could annex
The council also has the power to enact most areas without consent. However, in
quarantine regulations, regulate cemeteries, 2017, the legislature began to drastically alter
and regulate weeds and stagnant water. The the annexation landscape by passing S.B. 6,
authority for these regulations can be found in Which provided that certain home rule cities:
the Local Government Code, the Health and
Safety Code, and other statutes. (1) may annex an area with a population of
less than 200 only if the following
Additionally, a city can enact a zoning conditions are met, as applicable: (1)
ordinance to regulate the height and size of the city obtains consent to annex the
buildings, the size of lots and density of area through a petition signed by more
population, the location and use of buildings, than 50 percent of the registered
and other aspects of land and improvements voters of the area; and (2) if the
thereon, and the uses to which they are put registered voters of the area do not
(Local Government Code Chapter 211). The own more than 50 percent of the land
city council also has the authority to prescribe in the area, the petition described by
some standards for the construction of (1) is signed by more than 50 percent of
buildings within the city, regulate the the owners of land in the area; and
condition of buildings, and condemn unsafe
buildings. (2) may annex an area with a population of
200 or more only if the following
conditions are met, as applicable: (1)
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the city holds an election in the area prevent the posting of signposts, handbills,
proposed to be annexed at which the and similar items on streets or sidewalks;
qualified voters of the area may vote (7) regulate traffic and sales on streets,
on the question of the annexation and sidewalks, and other public spaces; (8) control
a majority of the votes received at the weedy lots and junked vehicles; (9) regulate
election approve the annexation; and the location of manufactured
(2) if the registered voters of the area housing; and (10) regulate the location of
do not own more than 50 percent of sexually oriented businesses and
the land in the area, the city obtains establishments that sell alcoholic beverages.
consent to annex the area through a
petition signed by more than 50
percent of the owners of land in the Construction of Public Facilities
area.
In addition to its regulatory powers, the
In 2019, the legislature finished restricting council has the authority to erect, construct,
cities ability to annex without consent. H.B. and maintain a wide variety of facilities for
347, which became effective on May 24, 2019, public use, including water and sewage
now applies these restrictions on annexation systems, airports, hospitals, parks, libraries,
to all cities. Cities can either follow the transit systems, electric and gas systems,
procedure above or annex on request of streets, bridges, culverts, sidewalks, street
landowners. lights, and many other kinds of facilities.
A city may construct or maintain certain public
Regulation of Streets and Other facilities using either traditional competitive
Public Places bidding or an alternative procurement and
delivery method (such as design-build,
The city council has supervisory powers over construction management, a job order
all streets, alleys, sidewalks, bridges, parks, contract, or competitive sealed proposals) that
and other public ways and places within the provides the "best value" to the city (Local
city. The council has the power to: (1) regulate Government Code Chapter 252 and
the use of streets and other public ways, Government Code Chapter 2267).
provide for cleaning and lighting, prevent and
remove encroachments, and direct and
regulate the planting of trees; (2) regulate Donations of City Funds
openings for laying out gas, water, and other
mains and pipes; (3) regulate the use of The Texas Constitution prohibits the donation
sidewalks and require the owners or occupants of city funds to private individuals,
of abutting premises to keep their sidewalks corporations, or associations (such
free from obstructions; (4) prevent activities as garden clubs or boy or girl scouts), no
that would result in damage to streets, alleys, matter how worthy the cause. The purpose of
or other public grounds; (5) regulate this prohibition is to prevent a city council
crosswalks, curbs, and gutters; (6) regulate and from appropriating public money for private
purposes (Texas Constitution, art. III, §52, and
art. XI, §3).
35
some extra funds and it is decided that it
Expenditures that serve a "public purpose" (for would be nice to reward the city's employees
example, contributions to a local volunteer fire with a Christmas bonus, such a distribution of
department) may fall outside of the public funds would be illegal. However, if the
constitutional prohibition against donations. bonus is part of the employee's overall
compensation, and is included in the budget as
If the city council wishes to make such an such, it is a legitimate expenditure.
expenditure, it must determine whether the
expenditure accomplishes a public purpose,
and the determination is subject to review by BIdS
the courts. Written contracts with formal
control over use of a city expenditure or Chapter 252 of the Local Government Code
payment are usually necessary in order for the requires that any city purchase requiring the
council to ensure that the city receives some payment of more than $50,000 be awarded
sort of payment or value for its expenditure— pursuant to certain competitive bidding or
the accomplishment of the public purpose. sealed proposal procedures. The statute
mandates that the city either accept the
The constitutional prohibition does not apply lowest responsible bid under the traditional
to expenditures made in connection with competitive bidding process, accept the bid or
contracts for services provided by engineers, proposal that provides goods or services at the
architects, and other professionals, nor to the best value for the city, use an Internet-based
payment of dues to the Texas Municipal reverse auction procedure, or participate in a
League, councils of governments, or similar cooperative purchasing program.
organizations.
Certain cities that choose to use traditional
A city may establish and implement programs competitive bidding when purchasing real or
to promote state or local economic personal property may give preference to a
development and to stimulate business and local bidder if certain procedures are followed
commercial activity within the city. A program and the local bid is within a certain percentage
such as this may include provisions for making of the lowest bid from a non-local bidder. In
loans and grants of public money and for some cases, local preference is allowed only if
utilizing the city's personnel and services for the purchase is for less than $100,000.
the purpose of economic development (Local
Government Code Chapter 380). Cities making an expenditure of more than
$3,000 but less than $50,000 must contact at
least two historically underutilized businesses
Payment of Bonuses to City (HUBs) from a list provided by the Texas
Employees Facilities Commission through the state
comptroller's office. If the list does not identify
The State Constitution (Article III, Sections 52 a HUB in the county in which the city is
and 53) prohibits the payment of bonuses to situated, the city is exempt from this
city employees. If, for example, when requirement.
December arrives, it is found that the city has
36
The above procedures do not apply to some follow after designation has been made.
purchases, including: (1) the purchase of land
or rights-of-way; (2) personal or professional
services, such as engineering, architectural, or Uniform Election Dates
planning services; (3) property bought at an
auction; (4) property bought at a going-out-of- The Texas Election Code prescribes certain
business sale; (5) property bought from days for holding municipal elections for
another political subdivision or the state or officers. Any municipal election for officers
federal government; and (6) advertising, other held on a day other than one of those
than legal notices. prescribed is void, with a few exceptions.
Currently, the uniform election dates for city
Also, the city can waive the requirement for elections are the first Saturday in May and the
bids in—for example—the following instances: first Tuesday after the first Monday in
(1) in the case of public calamity, where it November.
becomes necessary to act at once to provide
relief for local citizens or to preserve or protect
the public health; or (2) in the case of Official Newspaper
unforeseen damage to public property,
machinery, or equipment, where immediate At the beginning of each fiscal year, the council
repair is necessary. is required to designate, by ordinance or
resolution, the official newspaper of the city,
A city may use a competitive sealed proposal and to publish therein the captions of penal
procedure for the purchase of goods, services, ordinances, notifications of public hearings,
and high technology items. If a city makes a and other required public notices (Local
contract without compliance with competitive Government Code Sections 52.004 and
procurement laws, it is void, and the 52.011). Type 6 general law cities must, be-
performance of the contract, including the fore enforcing an ordinance, publish the
payment of any money under the contract, ordinance (or simply the caption and penalty
may be enjoined by: (1) any property tax- for violations of the ordinance) enacted by the
paying resident of the city; or (2) a person who governing body by either posting it in three
submitted a bid for a contract to which the public places or by publication in the
competitive sealed bidding requirement newspaper (Local Government Code chapter
applies, regardless of residency, if the contract 52). Many home rule charters may have similar
is for the construction of public works. provisions.
City Depository Federal Voting Rights Act
Under chapter 105 of the Local Government On June 25, 2013, the U.S. Supreme Court
Code, the city council is authorized to issued its opinion in Shelby County v. Holder.
designate a bank as the official depository of In the case, Shelby County, Alabama, alleged
the city's funds. The city attorney should be that the basis for applying the federal Voting
consulted as to the manner of designating the Rights Act to certain states is unconstitutional.
depository, as well as procedures the city must The Court agreed. It concluded that Section 4
37
of the Act is unconstitutional, but the holding the ultimate responsibility for establishing
also affects other portions of the law, including policy rests with the council.
the requirement that any voting change made
by a city be "precleared" by submitting it to
the U.S. Department of Justice or a federal
court for a determination that it is not
discriminatory.
In response to the opinion, the United States
Department of Justice is providing a written
response to jurisdictions that submit proposed
changes to the Attorney General that advises
that no determination will be made under
Section 5 of the Voting Rights Act on the
specified change.
Based on the United States Department of
Justice's response, the Texas Municipal League
advises that Section 5 preclearance
submissions to the Department of Justice are
no longer required. However, each city should
heed the advice of its attorney to make the
determination on whether or not preclearance
is required, as pending litigation may impact
other sections of the Voting Rights Act.
Delegation of Legislative Powers
The city council is prohibited from delegating
its legislative powers. As a practical matter,
this means that the council may not authorize
any person, committee, board, or com-
mission to make policy decisions on its behalf.
The job of ensuring that the council's policies
are carried out can be assigned to the mayor,
city manager, or some other city official, but
38
Chapter Five:
The City Council at Work: Meetings
It is imperative that every meeting of the city least one hour of training in the Open
council be conducted in an orderly and legal Meetings Act. The training must be completed
manner. If the council's procedures are not later than ninety days after the member
improper, the legality of its actions may be takes the oath of office or assumes the
successfully challenged in court. If its meetings responsibilities of the office.
are slovenly and disorganized, the council
cannot expect to command public respect. The attorney general's office allows the
training requirement to be met in at least two
ways: (1) viewing a video that is available to
Legal Requirements borrow or online; and (2) receiving training
from certified entities, such as TML. Please
State law prescribes several specific visit the attorney general's website or call TML
requirements for council meetings, including: for more information on the training.
(1) that meetings be scheduled at a fixed time
and place; (2) that a quorum of the council be The Open Meetings Act requires that written
present (either in person or, in certain cases, notice of the date, hour, location, and subject
by video conference) for the transaction of of every council meeting, be posted 72 hours
business; (3) that any question before the in advance of such meeting on a bulletin board
council be decided by majority vote of the in city hall accessible to the public day and
members present and voting, except where night. Cities that maintain a website must also
the law requires more than a simple majority; post the city council agenda on the website
and (4) that the mayor always presides, if and the minutes of the city council's meetings
present. must be posted when approved. If the
governmental body makes a good-faith
attempt to continuously post the notice on the
Texas Open Meetings Act Internet during the prescribed period, the
notice physically posted at city hall must be
Every meeting of the city council must be readily accessible to the general public only
conducted in accordance with chapter 551 of during normal business hours. There are some
the Government Code, the Texas Open special requirements, including additional
Meetings Act. Among all the state laws notice requirements, if a meeting is to be held
affecting city officials, this is the one most by videoconference call.
likely to be unintentionally violated because of
lack of knowledge. There are three exceptions to the 72-hour
posting requirement:
To help educate government officials on the
Act's requirements, each elected or appointed 1) At least one hour advance notice is
member of a governmental body must take at required for a special meeting called in
39
the case of"emergency or urgent conference call, or Internet
public necessity," the nature of which communications if the attorney is an in-
must be stated in the notice. dependent contractor) at any closed
2) Items of an emergency or urgent public meeting held under this exception.
necessity nature may be added to the 2) Discussions regarding the purchase,
agenda of a meeting for which 72 hours exchange, lease, or value of real
notice has already been posted if a property, or negotiated contracts for
supplemental notice listing such items prospective gifts or donations to the
is posted at least one hour prior to the city, when a discussion of these items
meeting stating the emergency that in public would have a detrimental
requires action on the additional items. effect on the city's negotiating position.
3) Pursuant to a general posting of items 3) Deliberations involving the
of"community interest," the following appointment, employment, evaluation,
need not specifically appear reassignment, duties, discipline, or dis-
4) on the posted notice: expressions of missal of a city officer or employee, or
thanks, congratulations, or condolence; to hear complaints or charges against
information regarding holiday such officer or employee, unless such
schedules; honorary recognitions of officer or employee requests a public
city officials, employees, or other hearing.
citizens; reminders about upcoming 4) Discussions regarding the deployment
events sponsored by the city or other or implementation of security
entity that is scheduled to be attended personnel or devices, or a security
by a city official or employee; and audit. Also, security assessments or
announcements involving imminent deployment relating to information
threats to the public health and safety research technology.
of the city. 5) Discussions regarding commercial
information received from a business
The Act also requires that all council meetings, prospect and/or the nature of any
with narrow exceptions, be open to the public. incentives being considered by the city
Closed meetings ("executive sessions") are for economic development purposes.
permitted for the discussion of items that 6) Deliberations regarding a test item or
legitimately fall within the exceptions stated in information relating to a test that the
the law. Exceptions from the open meeting city administers to individuals who seek
requirement are provided for the following: to obtain or renew a license or
certificate necessary to engage in an
1) Private consultations between the city activity.
council and its lawyers to discuss 7) Electric or gas service discussions in
pending or contemplated litigation, very limited circumstances.
settlement offers, and other legal 8) Discussions regarding various critical
matters that implicate the attorney- infrastructure and homeland security
client privilege. The city's attorney information, including: (a) staffing
must be present (either in person if the requirements of an emergency
attorney is a city employee, or in response provider; (b)tactical plans; (c)
person or by telephone, video infrastructure vulnerability
40
assessments and other reports pending the outcome of the action. The
prepared for the federal government; certified agenda or recording is not a public
(d) the location of dangerous materials record, and it is unlawful to make either avail-
that may be used for weapons; (e) able to the public without lawful authority, but
computer passwords; and (f) either may be reviewed by a current member
information regarding security systems of the governmental body that conducted the
that protect property from terrorism or closed meeting. It is advisable that the
related criminal activity. certified agenda or the recording be placed in
a sealed envelope identifying the contents and
Before an executive session can take place, the then placed in secured storage. They are
council must first convene in open session, the available for inspection by a judge if litigation
presiding officer must announce that a closed has been initiated involving an alleged
meeting will take place, and he or she then violation of the open meetings law. The judge
must identify the section of the Open may order that the recording or certified
Meetings Act that authorizes the closed agenda be made available to the public if the
session. closed meeting was not authorized.
The law requires that a certified agenda or a Although a certification of the posted notice
recording must be made of all meetings that may have been the intent of the legislature,
are closed to the public, except executive the fact that a certified agenda or recording is
sessions held for the purpose of consulting to be made available only upon court order
with an attorney under the provisions of the may indicate that the contents of the certified
law. For an executive session to discuss critical agenda consist of a more descriptive agenda
infrastructure or homeland security matters, a item than might be placed on the posted
recording is mandatory.The law does not notice. For example, while the posted notice
define "certified agenda," but it does provide may state that an executive session is being
that the agenda shall state the subject matter held for the purpose of discussing "Land
of each deliberation and include a record of Acquisition for an Electric Substation," the
any further action taken. It also must include a certified agenda may read "Land Acquisition—
record of the date and time of the beginning Discuss acquisition of land for a new electric
and end of the meeting. The presiding officer substation to serve The Oaks subdivision."
must certify that the agenda is a true and Although the statute requires the certified
correct record of the proceedings. In lieu of agenda to include a record of any further
the certified agenda, the governmental body action taken, the open meetings law expressly
may make a recording of the closed meeting, provides that no final action, decision, or vote
including an announcement made by the can be made except in a meeting that is open
presiding officer at the beginning and end of to the public. The "further action" which must
the meeting indicating the date and time. be noted on the certified agenda may be, for
instance, no action, a directive to place the
The certified agenda or the recording must be item on an open meeting agenda for final
maintained for a period of two years after the action, or a request that additional information
date of the meeting. However, if a lawsuit is be gathered for discussion on another date.
filed during this two-year period, the certified
agenda or recording must be preserved
41
One of the most difficult aspects of the Open Stiff penalties are provided for violations of the
Meetings Act results from the fact that Open Meetings Act. A councilmember or any
communications between a quorum of a city other person who participates in an illegal
council about public business, no matter the closed meeting can be punished by a fine of
forum or the time, constitute a "meeting" to $100 to $500, confinement in the county jail
which the Open Meetings Act applies. As a for one to six months, or both. The same
result, city councilmembers have generally penalty can be applied to a councilmember
been advised to avoid commenting, for who has a prohibited series of communica-
instance, on social media sites related to city tions. For instance, using the telephone or
business if the discussion will ultimately email to poll other councilmembers or meeting
involve a quorum. with them individually to deliberate over some
matter of city business that will be deliberated
However, Texas Government Code Section among a quorum of councilmembers could
551.006, provides that communication violate the Act.
between councilmembers about public
business or public policy over which the The actions taken by a city council in an illegal
council has supervision or control does not meeting are voidable, and a court may assess
constitute a meeting if certain conditions are costs of litigation and reasonable attorney's
met. The communication must be: (1) in fees incurred by a party who substantially
writing, (2) posted to an online message board prevails in an action brought under the open
that is viewable and searchable by the public, meetings law.
and (3) displayed in real time and displayed on
the message board for no less than 30 days
after the communication is first posted. A city Public Information Act
is prohibited from having more than one
online message board used for these purposes. Chapter 552 of the Government Code requires
that most city records, including those in the
Additionally, the online message board must possession of councilmembers, be open to
be prominently displayed on the city's primary public inspection.
website and no more than one click away from
the city's website. The message board may As with the Open Meetings Act, each elected
only be used by city councilmembers or city or appointed member of a governmental body
employees that have received authorization must take at least one hour of training in the
from the council. If a city employee posts on Public Information Act, or designate a public
the message board, the employee must information coordinator to take the training on
include his or her name and title with the his or her behalf.
communication. The council may not vote or
take action by posting on the city's online The training or designation must be completed
message board, and if the city removes a not later than ninety days after the member
posted message, the city must retain the takes the oath of office or assumes the
posting for six years as it is considered public responsibilities of the office. Again, note that a
information. public official (for example, a member of a city
council) may designate a public information
42
coordinator to satisfy the open records
training requirement. Councilmembers are considered "temporary
custodians" of the public information on their
"Public information" is defined as information privately-owned devices. "Temporary
that is written, produced, collected, custodian" means an officer or employee of a
assembled, or maintained under governmental body, including a former officer
a law or ordinance or in connection with the or employee, who, in transaction of official
transaction of official business: (1) by a business, creates or receives public information
governmental body; (2) for a governmental that the officer or employee has not provided
body and the governmental body: (A) owns the to the officer for public information of the
information; (B) has a right of access to the governmental body or the officer's agent. As a
information; or (C) spends or contributes temporary custodian, the councilmember must
public money for the purpose of writing, preserve the public information in its original
producing, collecting, assembling, or form in a backup and on their privately-owned
maintaining the information; or (3) by an device for the required record retention period,
individual officer or employee of a or transfer the public information to the
governmental body in the officer's or governmental body or the governmental body
employee's official capacity and the server. Also, as the temporary custodian, a
information pertains to official business of the councilmember is required to surrender public
governmental body. Information is in information that has been requested to the
connection with the transaction of official public information coordinator not later than
business if the information is created by, the tenth day after receiving a request for the
transmitted to, received by, or maintained by information from the public information
an officer or employee of the governmental coordinator. Failure to surrender the
body in the officer's or employee's official information could be grounds for disciplinary
capacity, or a person or entity performing action by the governmental body, as well as,
official business or a governmental function on other penalties being brought against the
behalf of a governmental body, and pertains to temporary custodian.
official business of the governmental body.
The media on which public information is
"Public information" includes any electronic recorded includes paper; film; a magnetic,
communication created, transmitted, received, optical, or solid state or other device that can
or maintained on any device if the store an electronic signal; tape; mylar; and any
communication is in connection with the physical material on which information may be
transaction of official business. "Official recorded, including linen, silk, and vellum. The
business" is defined as any matter over which general forms in which the media containing
a governmental body has any authority, public information exist include a book, paper,
administrative duties, or advisory duties. This letter, document, email, Internet posting, text
means, for instance, that the Act now message, instant message, other electronic
expressly provides that a councilmember's communication, printout, photograph, film,
private computer or cell phone tape, microfiche, microfilm, photostat, sound
communications, if made in connection with recording, map, and drawing and a voice, data,
the transaction of official business, are public or video representation held in computer
information. memory.
43
Certain information is specifically excluded which exceptions apply to which parts of the
from the requirements of the law. While the information.
list of exempt materials is too long to recite
here, it includes such information as working
papers being used to draft ordinances or Formal Meetings of the Council/
resolutions; certain personnel records; The Agenda
information that would, if released, give an
advantage to bidders; documents protected A well-organized agenda is an indispensable
because of attorney-client relationships; part of every orderly council meeting. The
documents relating to pending litigation; and agenda establishes a calendar of activities for
various types of critical infrastructure and the council to follow in the course of its
homeland security information, including meeting. It lists all the items of business that
information that relates to: (a) staffing will be considered. By putting councilmembers
requirements of an emergency response on notice as to what will be discussed, each of
provider; (b) tactical plans; (c) infrastructure them is enabled to arrive at the meeting
vulnerability assessments and other reports prepared and ready to conduct business.
prepared for the federal government; (d) the
location of dangerous materials that may be The following illustrates a typical agenda
used for weapons; (e) computer passwords; format:
and (f) information regarding security systems 1) Call to Order—The presiding officer
that protect property from terrorism or related calls the meeting to order and
criminal activity. determines whether a quorum is
present.
Despite the narrow exemptions established in 2) Invocation—Optional.
the law, its net effect is to require that most 3) Roll Call—Although most city councils
information must be made available, upon are small enough to readily determine
request, to the news media and other who is present by simply looking
members of the public. A governmental body around the council table, a formal roll
that receives a written request for information call lends an air of dignity to the
that it wishes to withhold from public proceedings.
disclosure and that it considers to be within 4) Approve Minutes of the Previous
one of the exceptions, must, with some Meeting—Unless a majority of the
exceptions, ask for a decision from the Texas council desires that the minutes of the
attorney general. If an attorney general previous council meeting be read, the
decision is required, the city must request the minutes can be approved as submitted
decision and state the exceptions that apply or corrected.
not later than the 10th business day after „ ., •
5) Consent Items— Consent items are
receiving the written request. Not later than noncontroversial items that can be
the 15th business day after receiving the considered and voted upon as a block.
request, the city must submit to the attorney 6) Presentations by Citizens—Scheduling
general the reasons that the exceptions apply, this agenda item early in the meeting
a copy of the request for information, and a permits citizens to complete their
copy of the information requested or
representative samples labeled to indicate
44
business with the council in a timely developing in particular
manner and then leave, if they wish. neighborhoods, and so on. Under the
7) Public Hearings. open meetings law, each of these
8) Old Business—Final passage of reports must be listed and specifically
ordinances, and other business pending described in the agenda.
from previous council meetings. 13)Announcements.
9) New Business—New ordinances or 14)Adjournment—If there is no further
resolutions (or amendments to existing business, the mayor can adjourn the
ones) or policies that councilmembers meeting. If all of the items listed in the
or city staff wish to have the council agenda have not been considered and
consider. Under the Open Meetings disposed of, a majority vote usually is
Act, each item to be considered must required to adjourn.
be specifically described in the agenda.
It is not sufficient just to put the words The amount of detail included in the agenda is
"New Business" or "Old Business" on a matter for the council to decide. Oftentimes,
the agenda, and then allow the the agenda is used as the notice of the
consideration at the council meeting of ineeting. In that case, the legal rule applicable
any or all items that might be brought to the format of an agenda is found in the
up. open meetings law, which requires that every
10) Reports of Advisory Boards and agenda item be specifically described in the
Commissions—Each board or meeting notice. In practice, this means that
commission must be listed, together broad categories, such as "Old Business" or
with a description of each report that "New Business," cannot be included in the
will be presented at the council agenda without listing each of the specific
meeting. items that will be discussed.
11) Items from Council—This part of the
agenda is provided for councilmembers The governmental body is specifically required
to present matters other than to have minutes or a recording of each of its
ordinances, resolutions, and other open meetings.The minutes shall state the
matters requiring formal action.The subject matter of each deliberation and shall
attorney general has opined that indicate each vote, other decision, or other
matters raised by councilmembers or action taken by the governmental body. The
members of the city staff must be minutes or recording are public records and
specifically described on the agenda may be examined or copied by members of the
(other than items of "community public. This requirement must be met for all
interest," as previously explained in this open meetings of governmental bodies,
chapter). Examples would include a including meetings when formal actions or
councilmember's request that the staff votes do not occur. City councils or boards that
take action on a particular problem, as meet to discuss formulation or development of
described in the agenda. a policy or ordinance that will be voted on at a
12)Staff Reports—This agenda item later date must keep a formal record of the
includes reports from the mayor and/or proceedings, even though no final vote or
city administrator on the status of action is taken.
various projects, problems that are
45
Rules of Order and Procedure your city charter provides otherwise, any
standard rules that are reasonable and
Recognizing that every legislative body needs a consistently followed are acceptable.
systematic way of conducting its business,
many city councils operate according to formal The following two sections briefly describe
rules of order and procedure. Rules of order motions and debate rules that are fairly
and procedure prevent confusion by common.
establishing an organized process for
conducting council meetings. Properly MOt1011S
followed, they save time for all participants,
while protecting the individual's right to
participate fully. A motion is simply a vehicle for initiating action
on a proposal. Some types of motions can be
The following provisions usually are included in brought up and voted on at any time, while
rules of order and procedure: others are out of order at certain times.
Certain motions outrank others. Some motions
• Designation of the time and location of require a second; others do not. Knowing the
regular meetings of the council, difference between the various types of
together with a description of motions and when to use them is a first step in
procedures for calling special meetings; taking an active part in passing or defeating
� Procedures for placing items on a measures before the council.
meeting agenda; A main motion is used to initiate the
� Methods for compelling
councilmembers to attend meetings; consideration of a new item of business. After
• A description of the duties of the being seconded, a main motion is subject to
presiding officer at council meetings; being debated, amended, tabled, or
• A description of the parliamentary rules
withdrawn before a final vote is taken.
under which the council will operate; Any councilmember making a main motion
• Procedures for introducing and voting may, prior to receiving a second, withdraw or
on ordinances, resolutions, and other change it. If the motion has been seconded,
items; approval of the person who seconded it is
• The order of business the council will required in order for the maker of the motion
follow at each meeting; and to change or withdraw it, unless another
• A ranking of motions by order or councilmember objects, in which case the
precedence, which motions may or change or withdrawal must be voted upon.
may not be debated, and so on.
A new main motion cannot be brought up for
Although most city councils use Robert's Rules consideration while another main motion is
of Order to conduct their meetings, some have being debated. Each main motion must be
adopted their own local rules. Robert's Rules of disposed of before another is made.
Order may be appropriate for some cities, but A secondary motion is used to propose an
is often too cumbersome for others. State law action on a main motion being debated by the
is silent with regard to this matter; so, unless
46
council. Examples of secondary motions
include the following: Some privileged motions are more privileged
than others. This is the usual order of their
1) Motion to table the main motion; that importance:
is, lay it aside and go on to the next
item on the agenda. 1) Motion to set the time and place of the
2) Motion to request that discussion next meeting.
cease and that the main motion be 2) Motion to fix the time of adjournment.
voted upon; that is, moving the 3) Motion to adjourn.
previous question. 4) Motion to recess.
3) Motion to limit discussion to a fixed 5) Motions on questions of privilege.
amount of time. 6) Motion to keep the meeting to the
4) Motion to postpone action on the agreed order of business.
proposal until some definite time in the
future. Thus, during consideration of a main motion, a
5) Motion to refer the proposal to a privileged motion might be made to adjourn.
committee. But before the question is called on the motion
6) Motion to amend the main motion. to adjourn, another higher-ranking privileged
7) Motion to postpone action on the motion might be made to set the time and
proposal to an indefinite future time. place of the next meeting.
These examples of secondary motions are Debate
listed in the order of their rank. Therefore, if
the council is debating Councilmember X's Motions are usually classified three ways: (I)
motion that the item under consideration be undebatable motions; (2) privileged motions
referred to a committee, and Councilmember upon which limited debate is permitted; and
Y moves to table the main motion, debate (3) fully-debatable motions.
would cease until Councilmember Y's higher-
ranking motion is voted upon. Undebatable motions involve procedural
questions that can be resolved without
A privileged motion is used to bring procedural discussion, such as tabling a main motion,
questions before the council, such as whether moving the previous question, restricting
the council should recess or adjourn. Unlike further discussion of a main motion to a fixed
other motions, privileged motions do not number of minutes, postponing action, or
require a second in order to be considered. referring an item under discussion to a
committee. [See items (1) through (7) under
A privileged motion can be offered at any time, "secondary motions."] After an undebatable
without regard to any other motion pending motion is offered, the presiding officer must
before the council, and must be decided immediately take a vote, without discussion.
before the council returns to the other
business under discussion. Therefore, a motion Privileged motions upon which limited debate
to adjourn, if made while a main motion is is permitted include setting the time of the
before the council, must be decided before the next meeting and others listed among items
main motion is considered any further. (1) through (6) under "privileged motions."
47
Any discussion of a privileged motion must be speakers limit their remarks to the item being
addressed to the motion itself. A motion to fix considered and, as necessary, calls down
the time for adjourning the council meeting, people who are out of order.
for example, might require limited debate as
to the advisability of such a decision, but other Proper performance of these functions
points of discussion would be out of order. requires that the mayor know parliamentary
procedure and how to apply it. The mayor
Fully-debatable motions are subject to must recognize that parliamentary procedure
unlimited discussion prior to a decision. is a tool, not a bludgeon—that is used to
ensure that the will of the majority prevails
One of the most important principles of while the right of the minority to be heard is
debate is that councilmembers' statements be protected.
directly relevant to the item under
consideration. Councilmembers recognized by In addition to fulfilling the duties of the
the mayor are given the floor only for the presiding officer, the mayor should be familiar
purpose of discussing the item then pending, with legal requirements imposed by state law.
and they are out of order if they depart from This involves knowing which actions are
that item. required on ordinances, when extraordinary
council votes are required, and when a time
"Debate" can easily evolve into statements of element—such as the deadline for giving
personal philosophy. Interesting though they notice of a city election—is important. The city
may seem to the speaker, such departures do attorney can help with these matters, but if
not belong in a council meeting. Meandering the mayor knows the basics, time can be saved
can be controlled by limiting councilmembers and illegal or incomplete actions prevented.
to one speech per agenda item or by
restricting the length of their speeches. Presiding effectively at a council meeting is an
(Robert's Rules of Order sets an arbitrary limit art that no book can fully teach. The tactful
of 10 minutes for each such speech.) A more presiding officer knows how to courteously
difficult alternative is to impose limits on the discourage councilmembers who talk too
number of minutes that will be allotted for a much or too often, and how to encourage shy
given agenda item. councilmembers who are hesitant to speak at
all.
Role of the Mayor as Presiding Officer
Councilmembers' remarks should always be
The mayor, as presiding officer, has the directed to the chair. Even when responding to
primary responsibility for ensuring that the questions asked by another councilmember,
council's rules of procedure are followed and he or she should begin by saying, "Mayor, if
for maintaining the dignity of council you will permit me. . ." and wait for
meetings. The mayor calls the meeting to recognition from the chair before proceeding.
order and confines the discussion to the This helps avoid the spectacle of two
agreed order of business. He or she recognizes councilmembers haggling over an issue that is
councilmembers for motions and statements of little interest to their council colleagues.
and allows audience participation at
appropriate times. The mayor sees to it that
48
In addition to maintaining order and decorum not necessarily the exceptional meetings, with
at council meetings, the mayor must see to it long public hearings or battles over
that all motions are properly dealt with as they controversial ordinances. As often as not,
arise. The mayor must recognize the these are regularly-scheduled meetings which
councilmember offering the motion, restate drone on until the entire council is thoroughly
the motion, present it to the council for exhausted.
consideration, call for the vote, announce the
vote, give the results of the effect of the vote, Regulating Talk
and then announce the next order of business.
Too much talking is the most common cause of
In some cases, the mayor might refuse to allow lengthy meetings.Talking can assume a variety
a councilmember to offer a motion, even of forms—bickering or tiresome exchanges of
though it is in order, either because of personal opinions among councilmembers,
unfamiliarity with parliamentary procedure or endless speeches by citizens appearing before
because of personal opposition to the the council, or unnecessarily long and detailed
proposed action. The mayor's refusal to allow reports by staff.
a motion to be considered is subject to appeal,
as are all of the mayor's decisions regarding Nearly all these problems can be overcome by
procedures. A simple majority vote is all that is tactful action on the part of the presiding
required to overrule the mayor's decision on officer. If citizens addressing the council
procedural issues. If the decision of the chair is ramble on and on, the mayor may have
sustained, no further action is taken; but if the no choice but to tell them to confine their
decision of the chair is overruled by the remarks to the subject at hand and conclude
council, the council goes forward with the as quickly as possible. If the problem is created
discussion of the motion or other matters by a talkative councilmember, a simple
before it. statement to the effect that "it's getting late
and we must move along" usually will suffice,
On rare occasions, the mayor, in the heat of though private visits by the mayor may be
the moment, may rule that an appeal is out of needed to handle chronic talkers.
order, or even declare the meeting adjourned.
Both rulings are improper. A meeting cannot Shortening the Agenda
be summarily adjourned by the mayor. If an
appeal from the decision of the chair is made Having too many items on the agenda is
immediately following the ruling, it is not out another frequent cause of lengthy council
of order. If the mayor refuses to honor the meetings. This is not an easy problem to solve,
appeal, the person making the appeal could and several evaluation sessions may be
then state the question, suggest limited needed to correct the situation.
debate, and then put the question to a vote.
Perhaps the agenda is loaded down with
detailed items that are included for reasons of
Streamlining Council Meetings custom, rather than necessity, and many of
these could be handled by staff without
Even the best planned council meetings can council action. If too much meeting time is
deteriorate into endurance contests. These are needed to explain the various items on the
49
agenda, perhaps a requirement that the more time-saver. One city reported that using a
complex ones be explained in writing in consent agenda had slashed the length of the
advance of the meeting would help. average council meeting by 50 percent.
In some cases, it may be discovered that Administrative Improvements
lengthy council meetings are the result of
complexities that simply cannot be overcome. Some council meetings are unnecessarily long
In these instances, the only answer may be because of deficiencies in the city's
more frequent meetings. administrative procedures. For example,
citizens who can't get their problems solved at
Handling"Consent"Agenda Items city hall during normal business hours are
likely to show up at council meetings to
Agendas tend to be cluttered with demand assistance. The fact that most of these
uncontroversial, recurring items that are of complaints should have been handled through
little interest to most councilmembers, but administrative action does not relieve the
must be included because they require formal council of the duty to spend time listening to
council approval. Examples include council them.
approval of the minutes of previous meetings,
routine purchases, and minor fund transfers Councilmembers who sense that too much
between accounts. Most of these items formal meeting time is being devoted to
generate no discussion, but each uses up time hearing gripes from citizens about
by requiring a separate motion to approve, a administrative inaction usually come to the
second, and a vote. conclusion that the way to get frustrated
citizens off the agenda and into proper
This problem can be overcome by establishing channels is to establish a system for receiving
a "consent" agenda category that and processing complaints. The system can be
encompasses routine items that are approved simple, such as assigning one or two
by a single motion and a vote, without debate. employees to process complaints on a part-
("Councilmember Smith moves the approval of time basis, or it can be a more sophisticated
items 3a, b, c, d, e, f, and g.") office operated by a full-time staff. In any
event, it is usually advisable to have at least
If a councilmember objects to a consent item, one of the staff inembers responsible for this
it is removed from the list and added to the function attend council meetings to be
regular agenda at the appropriate spot. If a available to head off complaints.
councilmember questions a consent item, but
not so strongly as to require that it be Mechanical Aids
removed from the list, his or her "no" vote or
abstention can be entered in the minutes The time needed to explain an agenda item
when the consent vote is taken. can be reduced by using photographs,
flipcharts, and other graphic arts to
The number of consent items can range from a supplement or replace written reports.
handful to 25 or 30 or more, depending on the Graphics and visual presentations needn't be
council's workload and preferences. Whatever expensive. In most cases, using a simple map
the size, the consent agenda can be a real to show the location of a project, flow charts
50
to illustrate a particular procedure or process, council on any subject. Prior to 2019, councils
photographs to point out the physical determined when and if there would be citizen
characteristics of the matter being discussed, participation on an agenda because the Open
or a PowerPoint presentation can provide the Meetings Act only gave the public the right to
extra perspective that written words or oral observe an open meeting. Through reasonable
discussions sometimes fail to convey. rules, councils governed when citizen
participation was placed on the agenda, how
long a citizen could speak on a topic, and the
Council Work Sessions decorum of the speaker towards the council.
Informal work sessions (sometimes called House Bill 2840, effective on September 1,
"workshops") of the council may be needed 2019, now requires a council to give the public
from time to time to study certain matters in the right to speak on items on the agenda for
detail. These are most often held in con- consideration at an open meeting. The council
junction with budget review, since regular is required to allow the public to speak on
council meetings do not provide enough time items on the agenda either at the beginning of
to consider the budget in detail. Work sessions an open meeting or during the meeting when
also are useful when major policy questions that item is being discussed by the council.
must be decided or when a complicated The council can still adopt reasonable rules
ordinance, such as a building code, comes regarding the right of the public to address the
before the council. council. This includes limiting the amount of
time that the public may address the council
The Texas Open Meetings Act applies to all on a given item. If the citizen addressing the
council meetings, whether formal or informal. council on an item on the agenda speaks a
Notices of workshop meetings therefore foreign language and needs an interpreter,
should be posted in the same manner as then the council must allow at least double the
notices of regular council meetings. Also, time allowed for this non-English speaker to
minutes or a recording must be made of the address the council. Just as before, the
meetings. presiding officer should inform visitors of the
place on the agenda at which time they will be
recognized to speak. And if an exceptionally
Citizen Participation controversial item has drawn a large crowd, it
is generally wise to state the approximate time
Many citizens form their opinions of the city the item is likely to come up for discussion.
government on the basis of having attended
just one council meeting. For some, it will be To guard against citizen filibusters, some
the only one they attend in their lifetime. This councils limit the length of time any one citizen
is the time to impress citizens favorably, and to may speak to three or four minutes, and
show them that the council is capable of doing permit this to be extended only by a two-thirds
its job. vote of the council. This kind of limitation
often is necessary to keep talkative speakers
The "citizen participation" period, also known from infringing on the rights of others who
as "public comment," is a time slot set aside may wish to speak.
on the agenda for citizens to address the
51
Although limited verbal interchanges between meeting. Each should begin promptly and be
citizens and council members are appropriate, conducted in an orderly manner in
discussions should not be permitted to drag conformance with established rules of
on. When a member of the public makes an procedure.
inquiry about a subject for which notice has
not been given, a councilmember may respond At the start of the hearing, the presiding
with a statement of factual information or officer should clearly state the subject to be
recite existing policy. Though councilmembers discussed. If, for instance, it is a rezoning
are expected to be polite to citizens appearing hearing, the proposed ordinance should be
before them, H.B. 2840 prohibits councils from read and its purpose explained. If the subject is
forbidding public criticism in public comment. controversial, the following order can be
adhered to: proponents' presentation,
The city council cannot take action unless it opponents' presentation, proponents'
has been posted on the agenda in accordance rebuttal, opponents' rebuttal, questions from
with the Open Meetings Act. If a citizen brings council.
an item before the council that needs to be
acted upon, the city council should request One cardinal rule to remember is that numbers
that it be placed on the agenda for the next don't always count. There are some topics that
meeting. The attorney general has also stated naturally draw large, highly biased crowds.
that a city that knows or reasonably should Vocal minorities often swamp public hearings
know the subject matter of a citizen's to show that their side has widespread
presentation should place the matter on the support. Such items as little league ballparks,
agenda. school crosswalks, water rates, and taxes can
attract crowds, but the size of the turnout
does not necessarily indicate that their cause
Public Hearings is just. The council is elected to serve all the
citizens, and a councilmember must look at the
The purpose of a public hearing is to present overall picture—not just the view presented by
evidence on both sides of an issue. Some one partisan group.
public hearings are required by state law, as in
the case of the Uniform Budget Law (Sections The council is responsible for weighing the
102.001 et seq., Local Government Code), evidence presented at the hearing and, after
which requires a public hearing on the city due consideration, reaching a decision.
budget prior to its adoption. Others are Obviously, this cannot always be done at the
voluntarily conducted by the council to obtain same meeting as the public hearing. In fairness
a full range of citizen opinion on important to those who have taken the time to attend,
matters, such as a proposed bond issue. The the presiding officer should indicate when a
difference between a public hearing and public decision can be made immediately after the
comments is that a public hearing is required hearing and the result announced. Otherwise,
by law for particular topics with specific notice the chair should describe the reason that no
requirements by the Open Meetings Act. decision will be made at that time, then state
the probable time at which a final
The proper conduct of a public hearing is no determination will be reached.
less important than for a regular council
52
When a decision is announced on an issue that
involves a public hearing, the presiding officer
may, with the assistance of legal counsel, give
the reasons why the decision was reached.
Even a brief explanation will help prevent
observers from feeling that the outcome of the
hearing was decided in advance, and that they
wasted their time by attending.
53
Chapter Six:
Financial Administration
Financial administration, simply stated, is Most Texas cities own water and sewer
matching dollars with needs. Financial systems, while comparatively few operate
administration is the small town mayor who electric or gas systems. Among those that own
notices that city hall has a leaky roof, and water or sewer systems, the revenue produced
makes a mental note to have it replaced when by utility billings accounts for a substantial
the money is available. Financial portion of all money taken in at city hall. This
administration is a million-dollar capital percentage is considerably higher among cities
improvements program, a bond election that own electric or gas systems.
preceded by a barrage of information
disseminated through the news media, PropertyTaxes
a bond sale, and a report to the taxpayers
through the newspaper—all of this is part of Municipal property tax revenue is growing
financial administration. each year, both in total dollars and on a per-
capita basis. In many cases, however, the
Financial administration involves an demands on city budgets have increased at a
understanding of the extent and limits of the much greater rate than have property tax
economic resources of the city and the collections.
methods of tapping them to meet citizens'
demands for city services. It begins with a Maximum Property Tax Rates
thorough knowledge of revenue sources and
ends with a proper accounting of all of the The Texas Constitution establishes the
funds expended by the city. Much lies in maximum permissible property tax rate for
between; it is all financial administration. cities at the following levels: (1) for Type B and
small Type C general law cities-25C per$100
assessed valuation; (2) for other general law
Revenue Sources cities with a population of 5,000 or less—$1.50
per$100 assessed valuation; and (3) for cities
City revenues come from many sources, with 5,001 or greater population—$2.50 per
including utility systems, property taxes, sales $100 assessed valuation.
taxes, user fees, federal grants, and street
rentals. (The Texas Municipal League publishes Administrative Procedures
a comprehensive Revenue Manual for Texas
Cities.) Over the years, the Texas system of property
tax administration has undergone significant
Utility Revenues change.
54
Legislation passed in 2019 overhauls
Prior to 1980, the appraisal of property for tax the process by which cities adopt their
purposes was fragmented among more than tax rates. Generally speaking, if taxes
3,000 cities and other local jurisdictions, and that fund maintenance and operations
there were no uniform statewide standards expenses increase more than 3.5
governing the administration of local taxes. In percent, the city must hold an election
1979, however, the Texas Legislature changed on the November uniform election date
this situation radically when it enacted a new for voters to approve the rate. (Note:
State Property Tax Code that established There are exceptions to this general
uniform appraisal policies and procedures. process for cities under 30,000
population, under certain
Under the code, county-wide appraisal circumstances.) A city may not adopt a
districts are now responsible for preparing a tax rate exceeding the lower of the
unitary tax roll that encompasses all property voter-approved tax rate or the no-new-
within the county. Although cities and other revenue tax rate until it publishes
jurisdictions retain the authority to set their notice and holds a public hearing. Cities
own tax rates and collect their own taxes, they must take various other actions to
must use the tax roll prepared by the central promote transparency in the tax-rate-
appraisal district for all tax-related purposes. setting process, including posting
certain information on their websites,
The basic procedures for administering and incorporating tax rate information
property taxes include the following: into a database maintained by their
appraisal districts.
1) Appraisal: The taxable value of all 4) Collection: After the council has set the
property in the county is determined by property tax rate for the coming fiscal
the central appraisal district. year, the tax assessor-collector mails
2) Protest: Any property owner tax notices to all property owners in
dissatisfied by the value fixed by the the city and initiates the collection of
central appraisal district can appeal to taxes.
the appraisal review board. Upon a
convincing demonstration that the The procedures for assessing and collecting
appraisal district's determination was property taxes are prescribed by the Tax Code
erroneous, the review board has the and Local Government Code. Complete details
authority to correct the error, including regarding state requirements are available
but not limited to ordering a reduction from the Property Tax Division of the Texas
of the taxable value of the appellant's State Comptroller of Public Accounts.
property.
3) Assessment of Taxes: The tax roll Delinquent Property Taxes
prepared by the central appraisal
district is furnished to cities and other For obvious reasons, it is to the city's
taxing entities within the county; those advantage to collect as much as possible of the
entities use it as the basis for levying amount of property taxes owed. In this regard,
taxes for the coming fiscal year. financial analysts are inclined to criticize cities
that fail to consistently collect at least 95
55
percent of the taxes levied. In many Texas
cities, a 98-percent collection rate is the norm. Despite cutbacks in recent years, federal aid is
still an important part of the municipal
The more successful city tax offices are revenue picture. For individual cities, federal
assisted by an attorney who is skilled in aid as a proportion of all revenues fluctuates
collecting delinquent taxes. In some cases, this widely, with "distressed" cities receiving large
may be the city attorney, but the more amounts of federal money, and the more
common practice is for the city to hire a lawyer prosperous cities receiving comparatively little.
who specializes in the delinquent tax field.
Most outside lawyers charge a fee that is paid Street Rentals
by the delinquent taxpayers on the basis of a
percentage of the delinquent taxes they owed. A portion of an average city's revenue is
produced by rental charges collected from
City Sales Tax private firms—such as cable TV companies,
telecommunications providers, and gas and
As a result of legislation initiated by the Texas electric utilities—in return for allowing them to
Municipal League, the general city sales tax use streets and other public rights-of-way.
became available to Texas cities in 1968 and Municipal street rental charges for electric,
has become almost universal, with virtually all gas, and water utilities are authorized under
cities in the state having adopted it. the state Tax Code, which allows cities to
impose such charges on utility and
Most cities in which the combined local sales transportation enterprises in return for the
tax (city, county, special district) has not privilege of using the city's streets and alleys to
reached two percent can consider the string lines, bury pipes, and otherwise use
imposition of certain additional sales taxes for public property to conduct business. The
purposes that include economic development, provisions for collecting compensation from
crime control, property tax relief, and street telecommunications providers are contained in
maintenance. Additional information regarding Local Government Code Chapter 283, and
the sales tax for economic development is those relating to cable and video providers are
available from the Texas Municipal League and in Chapter 66 of the Utilities Code. Chapter
the League's Economic Development 284 of the Local Government Code contains
Handbook. right-of-way compensation provisions for small
cellular network nodes.
User Fees
Fines
Charges for the use of city services are an
increasingly popular method of generating Under state law, a city may assess a fine of up
revenues. In addition to charging for solid to $2,000 per day for violations of ordinances
waste collection and water and sewer services, dealing with fire safety, zoning, or public
cities impose fees for the use of a variety of health-related matters. A city may assess a fine
facilities, including swimming pools, golf of up to $4,000 per day for violation of an
courses, and airports. ordinance governing the dumping of refuse.
For ordinances dealing with other violations,
Federal Grants the maximum fine is $500 per day.
56
preservation activities, registration of
The amount of revenue from fines as a convention delegates, operation of visitor
proportion of city revenues usually varies in information centers, the construction of civic
direct proportion to city size. In larger cities, centers and auditoriums, certain sporting
fines generate a comparatively small events, signage, and tourist buses. Cities must
proportion of total revenues; in most small maintain a written list of all projects funded by
cities, fine revenues play a much more the hotel-motel tax. Cities must also annually
important role in the city budget. report to the comptroller their hotel
State law limits the amount of revenue that a occupancy tax rates, the amount of revenue
city under 5,000 population may derive from collected from hotel occupancy taxes during
fines for violations of traffic laws. the year, and the amounts and percentages
allocated to specific uses during the year.
License and Permit Fees
Taxes on Alcoholic Beverages
Under their police powers, cities regulate a
wide variety of activities in order to promote Under the Texas Alcoholic Beverage Code, the
the health, safety, and welfare of local citizens. state levies both a gross receipts tax and a
Permit and license fees provide the revenues separate tax on the sale of all mixed drinks
necessary to finance the cost of these served in clubs, saloons, and restaurants.
regulatory programs. Examples of permit fees Some of the state's total collections are
include those charged for examining remitted back to the cities on a pro rata basis.
subdivision plats and plumbing installations.
Examples of license fees include those for Additionally, cities are authorized by Section
registering dogs. The amount of a permit or 11.38 of the Texas Alcoholic Beverages Code to
license fee must bear a reasonable relationship levy fees not to exceed one-half of the state
to the cost of the particular regulatory pro- fee for a variety of alcoholic beverage-related
gram. Under the law, excessive fees may not permits, including permits for package stores,
be imposed in order to create "profits." Also, distributors, brewers, and others issued within
the city may not assess a fee or require a the city.
permit for which no bona fide regulatory
function is performed. Occupation Taxes
Hotel-Motel Tax Cities are authorized under Section 302.101 of
the Texas Tax Code and Article VIII, Section 1,
Chapter 351 of the Tax Code authorizes most of the Texas Constitution to levy an occupation
cities to levy an occupancy tax of up to seven tax on certain businesses and professions, such
percent on the price of a hotel or motel room. as operators of pinball machines and other
Other cities, depending on population, may coin-operated devices. The rate of the city tax
levy an even higher tax. Under the law, may not exceed an amount set by statute and
proceeds from this tax must be earmarked for may not exceed SO percent of the rate of the
certain specified purposes, including the occupation tax levied by the state on the same
advertising and promotion of the city and its businesses, if no statutory amount is set. A city
vicinity to attract tourism, arts and cultural may not levy a tax on a business or profession
activities, historical restoration and not subject to state occupation taxation.
57
functions performed by the city council,
Special Assessments budgeting is the most important.
In its simplest definition, budgeting is a plan
A "special assessment" is a charge imposed by for utilizing the city's available funds during a
the city on a limited group of properties to fiscal year to accomplish established goals and
finance public improvements that specifically objectives. Within a broader context, the
benefit those properties and enhance their budget also serves to:
value. Special assessments are most frequently
used to finance the construction of sidewalks 1) Provide the public with an
or reconstruction of streets. The cost of understandable financial plan that
improvements is apportioned among all the plainly describes activities that will be
owners of property abutting the improvement undertaken during the next fiscal year
according to relative benefit. Costs are divided and the extent and specific types of
between property owners and the city services that will be performed.
according to the state law applicable to the 2) Establish priorities among city
particular type of improvement. programs, particularly new or
expanded programs.
Miscellaneous Revenues 3) Define the financial framework that will
be used to periodically check the status
Miscellaneous income is derived from many of city operations.
different sources, such as rental charges for 4) Determine the level of taxation
the use of the city's property, the sale of city necessary to finance city programs.
property, the sale of water and other utility
services to other jurisdictions, and interest in- Budgeting is the forum for making the most of
come on idle city funds. the council's key decisions about the future of
the city. It is a process for determining the
community's standard of living—what local
Budgeting residents need and want, what they are willing
and able to pay for, and what services they can
For many councilmembers, budgeting expect to receive for their tax dollars.
represents the most wretched and tiresome
aspect of city government. Budgeting begins The council can use the budget to restore an
amid cries from some citizens for "tax relief" ailing municipal government to financial
and demands from others that their health, or misuse it to drive a healthy
"essential" programs be funded. Upon its government to insolvency. It can be used to
adoption, the budget is dismissed with a sigh: nurture community development or freeze
"Now that that dreadful chore is behind us, we growth. The budget is everything. It is, in the
can get on with the 'fun' part of the city's words of one mayor, "the World
business." Series of municipal government."
Financial management is indeed unglamorous, Statutory Requirements
and budgets are poor leisure reading.
However, it is also true that among all the The budgeting process in every Texas city,
regardless of size, must comply with the
58
requirements in Chapter 102 of the Local notice must identify a proposed
Government Code. Under the statute: property tax increase.
7) Upon adoption of the final budget by
1) The city council must adopt an annual majority vote of the council, copies
budget and conduct the financial affairs must be filed with the county clerk and
of the city in strict conformance with city clerk/secretary and made available
the budget. for public inspection. A budget that
2) The budget for each fiscal year must be raises total property taxes requires a
adopted prior to the first day of such separate ratification vote. The adopted
fiscal year. In most Texas cities, the budget must contain a cover page that
fiscal year begins on October 1; includes property tax information as
therefore, the budget must be adopted well as the record vote of each
by September 29 or earlier. councilmember on the budget. The
3) The city's budget officer must prepare adopted budget and cover page must
a proposed budget for the be posted on the city's website, if it
consideration of the city council. In operates one.
most cities, the law requires that the 8) After the new fiscal year has begun and
mayor serve as budget officer; in cities the budget has been put into effect, no
that have adopted the city manager expenditure "shall thereafter be made
form of government, the city manager except in strict compliance with such
is the budget officer. adopted budget," nor may the council
4) Copies of the proposed budget amend the budget except for reasons
compiled by the budget officer must be of "grave public necessity" requiring
filed with the city clerk/secretary and "emergency expenditures to meet
made available for public inspection. unusual and unforeseen conditions,
The initially proposed budget must be which could not, by reasonable diligent
filed no later than thirty days prior to thought and attention, have been
the date upon which the city council included in the original budget..."
sets the property tax rate for the next 9) The budget and any amendments to it
fiscal year. must be filed with the county clerk.
5) If the budget will raise more total 10)The governing body of the city may levy
property taxes than in the prior year, it taxes only in accordance with the
must contain a cover page giving notice budget.
of that fact. A budget calling for such a
property tax increase must be posted For obvious reasons, Chapter 102 of the Local
on the city's website, if it operates one. Government Code is generally interpreted to
6) The city council must hold a public prohibit deficit financing— that is, budgeting
hearing on the budget after the 15th expenditures for which no offsetting revenues
day that the budget has been filed with are provided.
the city clerk or secretary. Notice of the
public hearing must be given in a Charter Requirements in a Home Rule City
newspaper of general circulation in the
county not less than ten nor more than All city charters establish a framework for
thirty days prior to the hearing. The budget preparation, adoption, and
59
implementation. While the details of these requirements generally prescribe a timetable
provisions vary from city to city, charter for preparing the budget, require a public
hearing(s), and require the council to adopt response time to emergency calls by
the budget by a certain time. three minutes," or "to clean x number
of miles of streets."
Many charters also prescribe the format of the • The proposed level of each service for
budget, including requirements that it contain the next fiscal year, together with a
a message describing the budget officer's description of performance standards
proposed fiscal plan for the city and significant for each. In the case of the solid waste
features of the budget for the forthcoming budget, for example, service levels and
fiscal year; a general summary, with performance can be expressed in terms
supporting data, which shows proposed of the numbers of customers served
expenditures and anticipated revenues for the and the volume of refuse collected.
next fiscal year and their relationships to Street maintenance can be expressed
corresponding data for the current budget in terms of lane miles resurfaced,
year; and details of proposed expenditures and maintenance requests, and number of
anticipated revenues. complaints concerning street quality,
and so on. This approach will help the
Basic Budget Information council focus on community benefits
that will be produced by a given
Adoption of a plan of city services for the next expenditure, rather than on such
fiscal year begins with a budget document details as whether a particular
containing certain basic information. The department is requesting too much
budget document should identify all services money for supplies or travel.
currently provided and proposed to be • A brief description of the methods by
provided (or terminated) during the coming which the services will be delivered.
fiscal year. For each service, the following . An itemization of the cost components
information should be furnished: of proposed services.
• Sources of funding for the proposed
• An itemization of expenditures for each services.
service during the previous fiscal year, . A description of factors that could
a projection of actual expenditures for affect the cost of proposed services.
the current year, and proposed
expenditures for the next fiscal year. The budget also should contain a summary of
• A statement of objectives for each the city's financial condition for the prior year
service to be funded during the next and current year, and a projection of its
fiscal year. "Objectives" do not mean anticipated condition for the coming fiscal year
organizational objectives—such as "to and beyond. This summary should indicate:
add new police officers" or "to
purchase a new street sweeper." . Outstanding obligations of the city.
Rather, these statements should . Beginning balance of all cash funds.
describe the benefits the community
will derive from a particular service,
such as "to reduce average police
60
• Actual revenues, broken down by expenditures by budget category and revenue
source, collected in the preceding year collections. Revised estimates of revenue also
and anticipated for the ensuing year. should be presented, together with revised
• Estimated revenue available to cover surplus or deficit projections. These reports
the proposed budget. will give the council the basis for determining
• Estimated tax rate required to cover how well the city is meeting its service targets
the proposed budget. with the funds available. Also, it can help the
council determine whether budget
Properly organized, this information will modifications are needed during the year.
enable councilmembers to gain a
comprehensive understanding of the city's
financial condition and give them the tools Municipal Borrowing
they need to establish the scope and direction
of municipal services for the coming year. It is a rare case when a city is able to carry out
a capital improvements program of any
For a more in-depth discussion of budgets, the consequence without using its credit. More
Texas Comptroller, with the help of the Texas often, the city borrows money, and in doing
Municipal League, has published the Budger so, offers future tax collections or utility
Manual for Texas Ciries. Copies are available revenues as security for the loan.
on the Comptroller's website.
Loans fall into two categories: short-term and
Implementation long-term—or, stated differently, loans to be
repaid within the current fiscal year versus
After the budget has been approved, regular those to be repaid in future years. This section
monitoring by the city council can help ensure briefly reviews the two types of loans.
that municipal services are carried out in
accordance with budget objectives and within Short-Term Borrowing
expenditure ceilings. In most cities, the budget
officer is required to furnish the council with Most short-term loans are made with local
periodic reports that show the prior month's banks. Their purpose is to provide funds of a
expenditures and total expenditures to date temporary nature, and they are made with the
for each budgeted activity. Using these expectation of repayment within the current
reports, the council can identify deviations fiscal year. A bank loan made in August to
from budget plans, anticipate financial trouble avoid an overdraft in the general fund pending
spots, and determine whether the various receipt of tax collections in September is a
departments are functioning properly. good example of a short-term loan.
On a periodic basis, perhaps quarterly, the A short-term loan differs from a long-term loan
council should be furnished with a written in two respects: (1) it will mature within the
description of significant budgetary current fiscal year; and (2) it can be approved
developments during the current fiscal year. by the city council without the necessity for
For each activity, this statement should voter approval at a referendum election.
describe progress to date in comparison with
objectives, and should provide reports on
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Short-term loans should be used sparingly. An assessed valuations. For example, a city that
excessive amount of short-term debt can has a total assessed valuation of$10 million
adversely affect the city's bond rating and and outstanding general obligation debt in the
impair its ability to accomplish long-term principal amount of$500,000 is said to have a
borrowing for major capital improvement debt ratio of five percent. Three common
programs. Frequent use of short-term forms of general obligation debt are ad
borrowing reflects deficiencies in the quality of valorem tax bonds, time warrants, and
the city's management of its financial certificates of obligation.
resources.
Ad Valorem Tax Bonds
Long-Term Borrowing
Ad valorem tax bonds are commonly referred
Unlike short-term loans, which can be repaid to as general obligation, or G.O. bonds. They
with general fund dollars derived from a are issued pursuant to an ordinance adopted
variety of revenue sources, long-term loans by the city council, typically following approval
require that the specific source of revenue that of the bonds at a referendum election. The
will be used to repay the debt be identified bonds are examined as to legality by the
and, in certain cases, pledged. attorney general of Texas, and then delivered
by the city to the successful purchaser or
Long-term loans secured by a pledge of bidder for payment in cash. This cash is then
property taxes are called "general obligations" used by the city to pay for libraries, police
and include ad valorem tax bonds, time buildings, city halls, and other public facilities
warrants, and certificates of obligation. Long- with a long, useful life.
term loans secured by a pledge of revenue
from an income-producing facility are called G.O. bonds usually are issued in $5,000
"revenue bonds." denominations, and the bond issue usually
provides serial maturities, with a certain
amount of principal maturing each year over a
General Obligation Debt period not to exceed forty years.
General obligation debts are payable from, and General obligation bonds have the highest
are secured by, a pledge of future property tax degree of investor acceptance of any type of
collections. Under standards promulgated by municipal indebtedness, and they command
the attorney general of Texas, a city with a the lowest interest rates. Therefore, unless
maximum permissible tax rate of$1.50 per exceptional circumstances dictate otherwise,
$100 assessed valuation may not incur general G.O. bonds are the preferred means of
obligation debt that will require the levy of a borrowing against a pledge of tax revenues.
tax at a rate higher than $1.00, after allowing
ten percent for delinquencies in collection and Time Warrants
for the payment of maturing principal and
interest. Time warrants are also general obligation
debts and are payable from ad valorem taxes.
General obligation debt is commonly Unlike G.O. bonds, which are sold for cash,
expressed as a percentage of the city's total time warrants are issued directly to vendors to
62
pay for construction, equipment, and services.
Also unlike G.O. bonds, time warrants do not
require voter approval, although the law does Revenue Bonds
require that the city council publish notice of
its intent to issue them and that the council There is only one type of bond secured by a
call a referendum election upon presentation pledge of revenues from an income-producing
of a petition signed by ten percent of the facility such as a utility system. These
taxpaying voters. obligations are revenue bonds and usually are
designated with the name of the system that
The procedures for issuing time warrants are pledges the revenues (for example,
cumbersome and expensive and will result in Waterworks System Revenue Bonds,
the city paying a higher rate of interest than if Waterworks and Sewer System Revenue
the borrowing were accomplished with bonds. Bonds, and so on).
Nevertheless, time warrants can occasionally
be advantageous—for example, to complete When utility revenues are pledged to support
the construction of a public works project revenue bonds, the pledge is made of the
where there has been a cost overrun and bond system's net revenues—that is, gross revenues
funds have been exhausted. minus operating and maintenance costs. Such
bonds are payable solely from these revenues
Certificates of Obligation and include a statement on their face that the
holder shall never be entitled to demand
The third form of general obligation debt payment from property taxes.
payable from ad valorem taxes is certificates of
obligation (COs). Like time warrants, COs can In determining whether the amount of
be issued without voter approval—except that pledged revenues is sufficient to repay the
upon notice of the city's intent to issue outstanding revenue bonds of a utility system,
certificates, five percent of the qualified voters analysts will look at the ratio between the
can force an election on the issue by system's net earnings and the requirements of
submission of a petition. With certain principal and interest maturities over a period
exceptions, a city may not issue a CO to pay a of years. As a rule, net revenues should be at
contracted obligation if a bond proposition to least 1.25 times larger than the average annual
authorize the issuance of bonds for the same debt service requirements of the system. This
purpose was submitted to the voters during ratio is called "coverage," and revenue bonds
the preceding three years and failed to be are said to have 1.25X coverage, or 2.23X
approved. coverage, and so on. The higher the coverage,
the better the security for the bonds and, all
Certificates of obligation can be issued directly other things being equal, the lower the rate of
to vendors to pay for construction work, interest at which the bonds can be issued.
equipment, machinery, materials, supplies,
land, or professional services furnished to the In pledging the revenues of a utility system, it
city. Also, under certain circumstances COs can is common to make a "cross pledge," or
be sold, like bonds, for cash, in which case they "combined pledge." This is a pledge of the
must he approved by the attorney general in revenues of one system to repay bonds issued
the same manner as bonds. for improvements to a different system; for
63
example, pledging the net revenues of the security. In the case of general obligation
water system to the payment of bonds issued bonds, prime importance is attached to
to improve the sewer system. On the other relationships among the city's debt, wealth,
hand, the revenues of a utility system may not population, and tax collection experience. The
be cross pledged to the payment of bonds economic base of the city, the stage of its
issued on behalf of a non-revenue-producing development, and the quality of its
facility. For instance, water system revenues government also are important factors. Finally,
cannot be pledged to the payment of bonds analysts examine the exact nature and
issued to build a city hall. strength of the legal obligation that the bonds
represent.
Bond Ratings The bond ratings of two particular firms are
universally accepted in investor circles. These
As the annual volume of long-term debt are Moody's Investors Service and Standard &
incurred by state and local governments has Poor's Corporation, both of which are based in
grown over the years, competition between New York City. The four investment grade
cities and other borrowers for the investor's ratings granted by these services are as
dollar has increased correspondingly. A follows:
municipal bond rating is one of the methods
used to help alleviate the problems arising Moody's Investors Service
from this competitive situation. Aaa: Best quality, carrying the smallest
degree of investment risk
A bond rating gives a quick indication of the Aa: High quality (together with Aaa
quality of a new issue being offered, so that comprise "high-grade bonds")
prospective bidders may know if they want to A: Higher medium-grade (many favorable
develop a bid. But a bond rating has greater investment attributes)
value than a mere screening device: it also Baa: Lower medium-grade (neither high-
influences the rate of interest payable on quality nor high-risk)
bonds. Therefore, it is desirable that the city
maintain a good rating for its bonds, because it Standard & Poor's Corporation
can mean the difference between a good bid AAA: Highest rating, with extremely strong
and a poor one, and a difference in interest capacity to repay loan
charges to the city running into many tens of AA: Only a small degree below AAA in the
thousands of dollars. capacity to repay the loan
A: Strong capacity to repay loan, although
Most Texas cities have more than one bond more susceptible to adverse effects in
rating. Each bond issue is rated separately, economic conditions
based on the source of revenue that has been BBB: Adequate capacity to repay loan
pledged to secure payment. General obligation
bonds, therefore, are rated separately from In offering newly issued bonds for bids, the city
water or sewer revenue bonds. should apply to one or both of the rating
agencies to obtain a rating on the issue being
In determining the rating of a bond issue, offered.The nominal cost of obtaining
analysts focus on the nature of the particular
64
a rating can be recovered many times over by to purchase anticipation notes from cities, thus
minimizing interest costs on the basis of a speeding the grant process to fund city
favorable bond rating, as opposed to the sale projects.The law relating to anticipation notes
of non-rated bonds. may be found in chapter 1431 of the Texas
Government Code.
Bond Elections
Capital Improvements
If it has been determined by the city council Programming
that a bond election is required, the first
step—and the key step—in a successful It is a financial fact of life in every city that the
campaign is citizen participation. The tried-and demand for new streets, water lines, and other
true elements of a successful bond election public works will always exceed the supply of
include the following: current funds. Capital improvements
programming is the primary method used by
• Let private citizen volunteers, rather most cities to cope with the perpetual
than the city council, conduct the imbalance between capital demands and
campaign to persuade local voters to limited financial resources.
vote for the bonds.
� Enlist the support of community and A capital improvements program (CIP) is a
civic organizations. long-term plan, usually spanning five to six
years, for financing major cost items that have
a long useful life, such as buildings, land,
Installment Obligations streets, utility lines, and expensive equipment.
The CIP document lists all the capital items
An ever increasing number of Texas cities are scheduled for construction or acquisition
financing municipal purchases through during the next five or six years, the time when
installment sales or lease-purchase construction or acquisition is to occur, the
agreements. Generally speaking, cities must amount expected to be spent during each year
competitively procure the personal property at of the CIP, and the source of funding for each
issue when a lease-purchase agreement or expenditure.
installment sale involves an expenditure of
more than $50,000 in city funds. Preparation of a CIP involves five major steps.
First, a list of proposed capital improvements
is prepared on the basis of recommendations
Anticipation Notes from the city council, staff, and citizen groups.
The city's comprehensive plan will be the
Certain cities may have authority to borrow source of many CIP items, but whatever the
against anticipated revenue (typically federal source, each item included in the list should be
grant money) by issuing anticipation notes. supportive of the community goals expressed
Anticipation notes may be appropriate for in the plan.
borrowing relatively small amounts of money
when the issuance of bonds would be cost
prohibitive. State agencies may be authorized
65
Second, cost estimates are developed for all
proposed CIP items. In addition to stating the The capital budgeting process normally takes
up-front cost of each item, these calculations place on a cyclical basis. Under a six-year CIP,
usually include a description of savings that year one is the current capital budget adopted
will result from its acquisition or construction, by the city council at the same time it
as well as the impact the item would have on approves the operating budget. Many times,
future revenues or operating costs. the capital budget is included as a component
of the operating budget. Years two through six,
Third, a determination is made of the city's having been approved by the council when it
ability to pay for the items included in the adopted the CIP, remain in the record as
draft CIP, together with a description of the expressing the council's intent to carry forward
method by which each will be financed. Ability with the balance of the CIP.
to pay will be determined by a financial
analysis of past, current, and future revenue, At the conclusion of year one, the council
expenditure, and debt patterns. Options for approves another one-year capital budget and
financing particular items include special extends the CIP, with revisions, for another
assessments, state or federal grants, additional year. Thus, year two of the previous CIP be-
fees or taxes, current revenues (pay-as-you- comes year one of the new six-year program,
go), reserve or surplus funds, general and the cycle begins anew.
obligation or revenue bonds, and certificates
of obligation. The objective of this step is to Capital improvement programming offers
determine, for each year, the minimum costs several advantages. By scheduling ample time
the city will incur before any new capital for construction or acquisitions, costly
expenditures can be financed. mistakes can be avoided, as is the case when
streets have to be dug up repeatedly because
Fourth, all proposed CIP items are organized they are not planned in relation to other
by the staff for orderly presentation to the city facilities. Also, by working with a list of
council. Each is ranked in recommended planned projects, sites can be purchased at
priority order. Items that overlap or duplicate lower cost, and by spacing out projects over
previously approved projects or that are several years, the city's tax and debt load can
inconsistent with the city's comprehensive be stabilized, and balance can be maintained
plan are identified and perhaps downgraded. between debt service and current
Finally, the tentative CIP is discussed at public expenditures.
hearings, thoroughly reviewed by the council,
and then finally approved by formal council
action. Financial Reporting
Based on information contained in the CIP, a Financial reports prepared periodically
capital budget is prepared to show all capital throughout the fiscal year are an essential part
expenditures in priority order, together with of the control system necessary to permit the
summaries of the financial activities planned city council to determine whether funds are
for each year, including the amounts of bonds being expended in accordance with the budget
to be issued, amounts of operating funds and to identify discrepancies between
required, and so forth. anticipated and actual revenues. Financial
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reports fall into four general categories— public inspection no later than 180 days after
internal budgetary reports, annual financial the close of the city's fiscal year.
reports, annual audits, and local debt
reports—each of which is briefly discussed The audit involves examination of three
next. aspects of the city's financial operations: (1)
internal controls; (2) statements, records, and
Internal Budgetary Reports accounting transactions; and (3) compliance
with statutory and budgetary requirements.
Internal budgetary reports are prepared on a Properly conducted, the audit provides a
monthly basis and are distributed to the city double check on the city's financial status, a
council and department heads.These reports method for communicating with the citizenry,
illustrate the financial condition of the city as it and a bona fide statement of the city's
unfolds from month to month and answer financial condition, which will improve its
such questions as: Are city services being ability to issue bonds.
provided as planned? Are expenditures
exceeding budgeted levels? Is the cash inflow Local Debt Report
at the expected level? By determining the
answers to these and related questions on a Section 140.008 of the Local Government Code
regular basis, the council can identify problem requires cities to annually compile and report
areas and initiate corrective actions various types of debt obligation information,
accordingly. including the amounts of principal and interest
to pay outstanding debt obligations, the
Annual Financial Report current credit rating given by any nationally
recognized credit rating organization to debt
The annual financial report is compiled at the obligations of the city, and any other
conclusion of the fiscal year and shows, item information that the city considers relevant or
by item, budgeted versus actual revenues and necessary to explain the outstanding debt
expenditures, together with other information values. Subject to certain exceptions discussed
that describes the city's year-end financial below, the local debt report must be posted
condition. The financial report should be continuously on the city's website until the city
prepared by an independent certified public posts the next year's report. The report must
accountant appointed by the city council and be made available to any person for
made available to the department heads, the inspection.
news media, and other interested parties.
As an alternative to posting the report on the
Annual Audit city's website, a city may provide all required
debt information to the comptroller and have
Sections 103.001-103.004 of the Local the comptroller post the information on the
Government Code require each city to have an comptroller's official website. Further, a city
annual audit of its financial records and with a population of less than 15,000 may
accounts. The audit can be performed either provide the comptroller with its local debt
by a certified public accountant or a qualified report for inclusion on the comptroller's
city employee, and must be made available for website. A city that already includes the
required debt information in other reports
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that are posted to the city's website may
provide a link to that information rather than
replicating the data in the local debt report.
Investments
In 1995, the Texas Legislature enacted the
Public Funds Investment Act, which requires
the governing body to adopt a written
investment policy. A city may contract with an
independent investment advisor to provide
investment and management services.
Typically the city investment officer must
attend one investment training session within
twelve months of taking office and must
attend eight hours of training once every two
years thereafter. The treasurer and the chief
financial officer (if the treasurer is not the chief
financial officer) must also attend ten hours of
training every two years. The Texas Municipal
League offers comprehensive public funds
investment training.
Financial Warning Signals
In recent years, increasing attention has been
given to monitoring the financial health of
cities. Although most of the chronic financial
problems of cities tend to slowly snowball over
an extended period of time, they usually result
from a standard set of problems, including: (1)
a decline in revenues or tax base; (2) an
eroding capital plant; (3) a faltering local or
regional economy; (4) growing debt burden;
(5) accumulation of unfunded pension
liabilities; (6) a sudden loss of substantial
federal funds; (7) an increase in spending
pressures; and/or (8) ineffective financial
management practices.
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Chapter Seven:
Ordinances and Resolutions
have it read in full for the benefit of any
The city council takes official action by two citizens present. If the ordinance is long and
primary means: resolutions and ordinances. technical, the usual practice is to settle for a
Both of these play important roles in their own brief summary and general explanation of the
respective ways, and they share certain purpose of the ordinance.
similarities. But there are distinctions between
the two, and it is good to know the Third, the ordinance is debated by the council
differences. and either defeated, postponed, referred to a
committee for further study, or approved. If
The distinction between an ordinance and a the ordinance is approved, it is then signed by
resolution is in subject matter, not the mayor and attested to (certified) by the
terminology. An ordinance cannot be changed city secretary or city attorney.
into a resolution merely by calling it a
resolution, nor may the requirements for Also, depending on city type and the subject
enacting an ordinance be bypassed by simply matter of an ordinance, it may have to be
passing a resolution. A resolution generally published in a newspaper before becoming
states a position or policy of a city. An effective.
ordinance is more formal and authoritative
than a resolution. An ordinance is a local law Because of the relatively cumbersome
that usually regulates persons or property and procedures involved in enacting an ordinance,
usually relates to a matter of a general and it is important to know when an ordinance is
permanent nature. required and when less formal kinds of council
action will suffice. Though there are no
Passage of an ordinance generally involves absolute standards that apply, these three
three steps, the first of which is the rules of law may help:
introduction of the proposed ordinance at a
council meeting. 1) Any council enactment that regulates
persons or property and imposes a fine
Next, the city clerk or city attorney either for violations must be in the form of an
reads the entire ordinance or reads just the ordinance. This requirement is based
caption of the ordinance and allows the person on the principle that there must be a
proposing it to provide an explanation. printed law and citizens must have
There is no state law requiring that ordinances some notice that it is in effect before
be read aloud in their entirety. In addition, they can be subjected to a fine.
there is no generally applicable state law that 2) An enactment must always be in the
requires multiple readings of an ordinance. form of an ordinance if the state law
(Some home rule charters, however, do authorizing the particular action
provide for more than one reading.) If the requires an ordinance. Examples
ordinance is short, the council may wish to include the creation of a planning and
69
zoning commission or setting the tax • an ordinance in conflict with the
levy for the next fiscal year. Interstate Commerce Clause of the
3) An ordinance is required to amend or United States Constitution.
repeal an existing ordinance.
Compatibility of Ordinances with
State and Federal Laws Validity of Ordinances
An ordinance, or portion thereof, is void if it An ordinance that is arbitrary, oppressive,
conflicts with the U.S. Constitution, the Texas capricious, or fraudulent will be invalidated by
Constitution, or a federal or state law. Also, the courts. The courts can inquire into the
even though an ordinance might be valid at validity of ordinances by looking at whether
the time it was passed, if a law subsequently the ordinance has a substantial relationship to
enacted by the state or federal legislature the protection of the general health, safety, or
conflicts with the ordinance, the ordinance is welfare of the public. The courts usually will
void. Conversely, if an ordinance supplements not substitute their judgment for that of the
and is in harmony with the law, the ordinance city council; but if an ordinance is not in
will be sustained. compliance with lawful requirements, the
courts may overturn it. An ordinance is
An ordinance is invalid if a court determines considered valid if no lawsuit has been filed to
that the state legislature intended to preempt invalidate the ordinance on or before the third
the field with regard to the subject addressed anniversary of the effective date of the
in the ordinance. If the legislature has ordinance, unless the ordinance was invalid on
preempted the field, no ordinance except the day it was enacted or it was preempted.
those specifically authorized by statute may be
enacted in such field.
Form of the Ordinance
Examples of conflicts that have caused
ordinances to be ruled invalid include: State law does not prescribe the form of an
ordinance, other than to require that it contain
• an ordinance prescribing a different an ordaining clause (Section 52.002 of the
penalty from that imposed by state law Local Government Code) and to require the
where the ordinance and the law dealt publication, or sometimes posting of either the
with the same type of offense; complete text or caption of every ordinance
• An ordinance restricting the hours of that establishes penalties for violations
operation of liquor stores to fewer than (Sections 52.011-52.013 of the Local
those authorized under the state Government Code). But a form for ordinances
Alcoholic Beverage Code; has evolved by custom and is now used by
• an ordinance legalizing an activity or most cities.
business that was prohibited by state
law; and Although the actual drafting of an ordinance is
best left to the city attorney, councilmembers
should be familiar with the basic form. This
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includes: 6) The effective date of the ordinance
which may, in some circumstances, be
1) The number of the ordinance. This governed by state law or city charter (if
information is good to have for adopted by a home rule city).
indexing and ready reference. 7) A severability clause which clarifies that
2) The caption, which briefly describes the the invalidity of some portions of the
subject of the ordinance and the ordinance should not render the entire
penalties provided for its violation. ordinance invalid.
Although an ordinance is valid without 8) The penalty clause, which fixes the
a caption, this is a useful feature penalty for violating the ordinance.
because it provides a simple way of Under state law, the maximum penalty
determining what is included in the the council may establish for violating
ordinance without reading the entire an ordinance dealing with fire safety,
document. Also, if the ordinance does zoning, or public health (except for
not have a caption, Section 52.011 of dumping refuse) is a fine of$2,000 per
the Local Government Code requires day for each day the ordinance is
that the ordinance be published in its violated. The maximum penalty the
entirety if it provides a penalty for council may establish for violating an
violations. Conversely, a penal ordinance governing the dumping of
ordinance may be published by caption refuse is $4,000 per day. For ordin-
only if the caption states the penalty ances dealing with other violations, the
for violations. maximum fine is $500 per day. Cities
3) A preamble, which is optional, may be do not have the power to punish
included in cases in which the council violators by sending them to jail.
wants the courts to understand the 9) The final part of the ordinance is the
reasons the ordinance was passed, statement that it was passed and
factual findings made by the council, or approved, giving the date of passage,
the legislative authority for the the signature of the mayor, and a space
ordinance. for the city clerk or secretary to sign
4) The ordaining clause, which is required and attest to the fact that the
by law, in most instances. ordinance was actually adopted. Some
5) The body of the ordinance, which cities also require the city attorney to
usually is broken down into sections approve the form of the ordinance. If
according to subjects. This contains the required by state law or city charter,
command of law as ordained by the signatures must be present on the
council. ordinance or the ordinance may be
declared void.
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The following ordinance illustrates these eight with City of Anywhere water wherever
components: situated. No customer of the City of Anywhere
water system shall knowingly make, cause,
Ordinance No. 125 use, or permit the use of water received from
the City for residential, commercial, industrial,
CAPTION agricultural, governmental, or any other
AN ORDINANCE OF THE CITY OF ANYWHERE,
purpose in a manner contrary to any provision
TEXAS, ESTABLISHING WATER CONSERVATION of this ordinance, or in an amount in excess of
REQUIREMENTS AND PROVIDING A PENALTY that use permitted by the conservation stage
FOR VIOLATIONS. in effect pursuant to action taken by the City
Manager or his designee in accordance with
PREAMBLE the provisions of this Ordinance.
WHEREAS, because of the conditions SECTION 3. CONSERVATION REQUIREMENTS.
prevailing in the City of Anywhere, the general From May 1 to September 30 of each year and
welfare requires that the water resources
available to the City be put to the maximum upon implementation by the City Manager and
beneficial use and that the waste or publication of notice, the following restrictions
unreasonable use be prevented; and shall apply to all persons:
WHEREAS, lack of rain has resulted in a severe �a) Irrigation utilizing individual sprinklers or
reduction in the available water supply to the
sprinkler systems of lawns, gardens,
City, and it is therefore deemed essential to landscaped areas, trees, shrubs, and other
the public welfare that the City Council adopt plants is prohibited except on a designated day
the water conservation plan hereafter set Which shall be once every five days, and only
forth. then during the hours of 8:00 p.m. and 12:00
noon. Provided, however, irrigation of lawns,
ORDAINING CLAUSE gardens, landscaped areas, trees, shrubs or
NOW THEREFORE: other plants is permitted at any time if: (i) a
hand-held hose is used: (ii) a hand-held, faucet
BE IT ORDAINED BY THE CITY COUNCIL OF THE
filled bucket of five (5) gallons or less is used;
CITY OF ANYWHERE, TEXAS: or (iii) a drip irrigation system is used.
(b) The washing of automobiles, trucks,
BODY trailers, boats, airplanes and other types of
SECTION 1. AUTHORIZATION. mobile equipment, the refilling or adding of
The City Manager or his designee is hereby Water to swimming and/or wading pools and
authorized and directed to implement the the use of water for irrigation of golf greens
applicable provisions of this Ordinance upon and tees is prohibited except on designated
his determination that such implementation is
irrigation days between the hours of 8:00 p.m.
necessary to protect the public welfare and and 12:00 noon.
safety. (c ) The washing or sprinkling of foundations is
prohibited except on designated irrigation
SECTION 2. APPLICATION. days between the hours of 8:00 p.m. and
The provisions of this Ordinance shall apply to 12:00 midnight.
all persons, customers, and property served (d) The following uses of water are defined as
"waste of water" and are absolutely
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prohibited: (i) allowing water to run off into a CONCLUSION
gutter, ditch, or drain; (ii) failure to repair a PASSED AND APPROVED this day of
controllable leak; and (iii) washing sidewalks, , 20_
driveways, parking areas, tennis courts, patios,
or other paved areas except to alleviate /s/
immediate fire hazards. Mayor
SECTION 4. EFFECTIVE DATE ATTEST:
This Ordinance shall become effective /s/
immediately upon its passage and publication City Secretary/ Clerk
as required by law.
APPROVED AS TO FORM:
SECTION 5. SEVERABILITY /s/
This Ordinance shall be considered severable, City Attorney
and the invalidity or unconstitutionality of any
section, clause, provision or portion of the
Ordinance shall not affect the validity or
constitutionality of any other section, clause,
provision or portion of this Ordinance.
SECTION 6. PENALTY
Any person, corporation or association
violating any provision of this Ordinance shall
be deemed guilty of an offense, and upon
conviction shall be punished by a fine not to
exceed Five Hundred Dollars ($500.00). The
violation thereof shall be deemed a separate
offense, and shall be punished accordingly.
Provided, however, compliance may be further
sought through injunctive relief in the District
Court.
73
Chapter Eight:
Conflicts of Interest
Mayors and councilmembers are expected to compensation—not including the re-
avoid involvements that put their own imbursement of actual expenses.
personal interests at cross purposes with those
of the public. In most cases, good judgment is Therefore, a mayor or councilmember who
enough to keep city officials within the bounds receives a salary, fees for attending council
of propriety.There are, however, state laws meetings, or any other emoluments from the
governing the behavior of city officials. city, may not simultaneously serve as a district
judge, state senator or representative, county
At least three situations can impair the ability clerk, or in any other local or state office of
of mayors or councilmembers to properly emolument. The only exceptions to this
perform their duties. All three involve conflicts prohibition are found in Article XVI of
of interest in which a member of the city the Texas Constitution, which allows certain
council is placed in the position of owing state officers and employees to hold municipal
loyalty to the interests of the city on one hand, offices of emolument and which permits a
and to some other interest on the other. person holding an office of emolument to also
serve as a justice of the peace, county
The first situation occurs when a commissioner, notary public, as an officer of a
councilmember occupies two or more public soil and water conservation district, or in other
offices at the same time. The second exists specific offices.
when the city council votes to take an action
that will have a beneficial effect on a business Incompatibility
or property in which a councilmember has a
major interest. And the third exists in cases of Secondly, with respect to dual civil offices,
nepotism, where hiring decisions are made on mayors and councilmembers are prohibited
the basis of relationship. Each of these from holding a second public office having
situations is described below. duties and loyalties incompatible with those
that must be performed as an officer of the
city. This rule—which applies to all public
Dual Office-Holding offices, whether paid or unpaid—heeds the
mandate that no person can serve two
Two or More Civil Offices masters; full allegiance is required to one or
the other.
Mayors and councilmembers are prohibited
from holding more than one public office at The general rule regarding incompatible offices
the same time if both are "offices of was reviewed in Thomas v. Abernathy County
emolument." An emolument is a benefit that is Line I.S.D., in which the Texas Supreme Court
received as compensation for services and held that the offices of city councilmember
includes salaries, fees of office, or other and school board member were incompatible
74
because if the same person could be a school conflicts between the public interest and a
trustee and a member of the city council or councilmember's private interests (Section
board of aldermen at the same time, school 171.001 et seq., Section 176.001 et seq., Local
policies, in many important respects, would be Government Code; and Section 553.002 et
subject to direction of the council or aldermen seq., Government Code).
instead of the trustees.
The purpose of chapter 171, the conflicts of
The incompatibility doctrine also prohibits the interest statute, is to prevent councilmembers
council from appointing one of its own and other local officials from using their
members to a public office or employing the positions for hidden personal gain. The law
member as a public employee. A mayor, for requires the filing of an affidavit by any
example, could not simultaneously serve as a councilmember whose private financial
police officer for the city. interests—or those of relatives— would be
affected by an action of the council.
Though it may be difficult at times to Whenever any contract, zoning decision, or
determine whether two offices or positions are other matter is pending before the council,
incompatible, a misjudgment could be costly. each councilmember must take the following
The courts have held that when an individual steps:
who holds an office accepts and is sworn into a
second office that conflicts with the first, the (a) Examine the pending matter and
individual is deemed to have automatically determine whether the councilmember
resigned from the first office. or a related person has a substantial
interest in the business or property
that would be beneficially affected by a
City Actions that Benefit Mayors decision of the city council on the
and Councilmembers matter.
City councils everywhere routinely make A person has a substantial interest in a
decisions on purchases, rezoning, utility business entity if:
extensions, road construction projects, and
other matters that benefit various private 1) the person owns 10 percent
interests. Because of the broad scope of the or more of the voting stock or shares or
council's powers, it is reasonable to expect of the fair market value of the business
that some of its decisions will directly or entity or owns $15,000 or more of the
indirectly impact the individual members of fair market value of the business entity;
the council making such decisions. or
2) funds received by the person
Anticipating that potential conflicts of interest from the business entity exceed 10
will inevitably arise at the local level, while percent of the person's gross income
acknowledging the practical impossibility of for the previous year.
flatly prohibiting such conflicts, the Texas
Legislature has enacted at least three statutory A person has a substantial interest in
schemes that require the public disclosure of real property if the interest is an
75
equitable or legal ownership with a fair matter if a majority of the governing
market value of$2,500 or more. body are also required to file and do
file affidavits on the same official
Additionally, a substantial interest of a action.
person related in the first degree by
either affinity or consanguinity to the Pursuant to this statute, the city can purchase
local public official is a "substantial goods or services from a business in which a
interest" that the official must disclose. councilmember has a substantial interest if the
councilmember files a disclosure affidavit and
(b) If the answer to (a) is "yes," the then abstains from discussing and voting on
councilmember must file an affidavit the decision regarding the purchase.
disclosing the nature of the interest in
the matter and/or the nature of the The city council must take a separate vote on
substantial interest of a related person any budget item specifically dedicated to a
in such matter, if: contract with an entity in which a member of
the governing body has a substantial interest,
1) in the case of a substantial and the affected member must abstain from
interest in a business entity, that separate vote. The member who has
the action on the matter will complied in abstaining in such vote may vote
have a special economic on a final budget only after the matter in
effect on the business entity which there was an interest has been resolved.
that is distinguishable from
the effect on the public; or An officer who knowingly violates the affidavit
2) in the case of a substantial or abstention requirement commits a Class A
interest in real property, it is misdemeanor which is punishable by
reasonably foreseeable that confinement in jail for up to one year and a
an action on the matter will fine up to $4,000.
have a special economic
effect on the value of the Local Government Code Chapter 176, a second
property, distinguishable conflicts disclosure statute, requires that
from its effect on the public. mayors, councilmembers, and certain other
executive city officers or agents file a "conflicts
The affidavit must be filed with the disclosure statement" with a city's records
official record keeper of the administrator within seven days of becoming
governmental entity. aware of any of the following situations:
(c) After the councilmember files a • A city officer or the officer's family
disclosure affidavit, he or she must member has an employment or
abstain from participating in the business relationship that results in
discussion of the matter and abstain taxable income of more than $2,500
from voting on it. However, if a local with a person who has contracted with
public official is required to file the the city or with whom the city is
affidavit and does file the affidavit, that considering doing business.
official is not required to abstain in the
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• A city officer or the officer's family which the property is to be acquired by
member receives and accepts one or purchase or condemnation. The affidavit is
more gifts with an aggregate value of filed with the county clerk of the county in
$100 in the preceding 12 months from which the official resides as well as the county
a person who conducts business or is clerk of each county in which the property is
being considered for business with the located.
officer's city.
• A city officer has a family relationship The affidavit must include: (1) the name of the
with a person who conducts business public servant; (2) the public servant's office,
or is being considered for business with public title, or job designation; (3) a full
the officer's city. description of the property; (4) a full
description of the nature, type, and amount of
The chapter also requires a vendor who wishes interest in the property, including the
to conduct business or be considered for percentage of ownership interest; (5) the date
business with a city to file a "conflict of the public servant acquired an interest in the
interest questionnaire" if the vendor has a property; (6) the following verification: "I
business relationship with the city and an swear that the information in this affidavit is
employment or other relationship with an personally known by me to be correct and
officer or officer's family member, gives a gift contains the information required by Section
to either, or has a family relationship with a 553.002, Government Code;" and (7) an
city officer. acknowledgement of the same type required
for recording a deed in the deed records of the
An officer who knowingly fails to file the county.
statement commits either a Class A, B, or C
misdemeanor, depending on the amount of A public official who violates the affidavit
the contract. requirement after having notice of the
purchase or condemnation commits a Class A
A third conflicts disclosure statute, Chapter misdemeanor, which is punishable by up to
553 of the Government Code, prevents one year in jail and a fine up to $4,000.
councilmembers and other local officials from
using their positions for hidden personal gain
related to the city's purchase or condemnation Nepotism
of property in which the city official has a legal
or equitable interest. "Nepotism" is the award of employment or
appointment on the basis of kinship. The
Whenever a city is deciding whether to practice is contrary to sound public policy,
purchase or condemn a piece of property, the which is why prohibitions against nepotism are
individual officer should determine whether common in all states, including Texas.
they have a legal or equitable interest
in property that is to be purchased or The Texas nepotism statute, chapter 573 of
condemned. If the individual does have a legal the Government Code, forbids the city council
or equitable interest in property in such a from hiring any person who is related to a
situation, then the individual needs to file an councilmember within the second degree by
affidavit within 10 days before the date on affinity or within the third degree by
77
consanguinity. This prohibition does not apply Relatives related within the second degree of
to a city with a population of 200 or less, or to affinity include a public official's sisters-in-law
relatives who were continuously employed by (brother's spouse or spouse's sister), brothers-
the city for: (1) at least 30 days, if the in-law (sister's spouse or spouse's brother),
councilmember is appointed; or (2) at least six spouse's grandmothers, spouse's grandfathers,
months, if the councilmember is elected. spouse's granddaughters, and spouse's
When a person is allowed to continue grandsons.
employment with the city because the person
has been continuously employed for the Termination of a marriage by divorce or the
requisite period of time, the city council death of a spouse terminates relationships by
member who is related shall not participate in affinity created by that marriage unless a child
the deliberation or voting on matters of that marriage is living, in which case the
concerning employment if such action applies marriage is treated as continuing to exist as
only to the particular person and is not taken long as a child of the marriage is living.
with respect to a bona fide class or category of
employees. Two persons are related to each other by
consanguinity if one is a descendant of the
The nepotism statute does not apply to unpaid other or if they share a common ancestor.
positions.
Since "affinity" and "consanguinity" are the Purchasing
controlling factors in determining nepotism,
both terms need to be clearly understood. Government Code Section 2252.908 provides
Affinity is kinship by marriage, as between a that, with certain exceptions: (1) a city is
husband and wife, or between the husband prohibited from entering into a contract with a
and the blood relatives of the wife (or vice business entity unless the business entity
versa). submits a disclosure of interested parties (i.e.,
discloses a person who has a controlling
Consanguinity is kinship by blood, as between interest in the business or who actively
a mother and child or sister and brother. participates in facilitating the contract for the
business) if the contract: (a) requires an action
Two persons are related to each other by or vote by the city council before the contract
affinity if they are married to each other or the may be signed; or (b) the contract has a value
spouse of one of the persons is related by of at least $1 million or (c) is for services that
consanguinity to the other person. The would require a person to register as a
following relatives of a public official would fall lobbyist; (2) the disclosure must be on a form
within the prohibited first or second degree of prescribed by the Texas Ethics Commission;
affinity. and (3) a city must, not later than 30 days after
receiving a disclosure, acknowledge receipt of
Relatives related within the first degree of the disclosure with the Texas Ethics
affinity include a public official's husband, Commission.
wife, father-in-law, mother-in-law, sons-in-law,
daughters-in-law, stepsons, and
stepdaughters.
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Chapter Nine:
Personal Liability of Councilmembers
A legal concept known as "governmental
immunity" protects cities from being sued or Liability Under State Law
held liable for various torts (a tort is a wrongful
act resulting in injury to a person or property) We start by examining a civil tort suit, a
and causes of action. But there are some common instance in which the issue of the
exceptions to this general rule. For example, personal liability of a mayor or councilmember
Chapter 101 of the Texas Civil Practice and may arise. Generally speaking, Texas courts
Remedies Code (also known as the Texas Tort have held that mayors and councilmembers
Claims Act) provides that a city may be liable are not personally liable when the suit arises
for damages arising from the use of publicly- from the performance of(1) discretionary acts
owned vehicles, premises defects, and injuries (2) taken in good faith (3) within the scope of
arising from conditions or use of property. their authority. When a mayor or
Thus, a city (as an entity) is sometimes liable councilmember is protected in this way, it is
for limited damages resulting from the actions commonly referred to as official immunity. A
of city officials and employees. "discretionary act" involves personal
judgment. The decision about where to place a
But what about mayors and councilmembers? traffic sign is one example of a discretionary
Mayors and councilmembers across the state act. An action taken in good faith is one that is
daily make decisions that impact the lives and taken without intent to do harm. Thus,
property of thousands of people. Can these councilmembers should ensure that
city officials be held personally responsible for discretionary actions are taken in good faith
damages resulting from decisions they make and pursuant to their authority as authorized
(or refuse to make) in their official capacity as by relevant state law, ordinances, or policies.
members of the city's governing body?
Again, generally speaking, mayors and
In most instances, mayors and councilmembers may be held personally liable
councilmembers will not face personal liability. for torts that arise from ministerial acts. A
Like the city itself, mayors and "ministerial act" is one performed as a matter
councilmembers are often protected by of duty; an act which a mayor or
different types of immunity, the purpose of councilmember must perform. Ministerial acts
which is to allow them to make decisions in also include those performed in obedience to
the public interest with confidence and state law or federal laws which are so plain
without fear. However, immunity is not and explicit that nothing is left to discretion or
available in all instances. For that reason, it is judgment. For example, canvassing the results
important for mayors and councilmembers to of a city election is a ministerial and non-
have a basic understanding of the areas in discretionary duty. An improper ministerial act
which they face potential liability. imperils a councilmember regardless of
whether it is performed in good faith. A
79
ministerial act required by law, but that is not Finally, as an elected official, mayors and
performed at all, could also lead to liability. In councilmembers may face both civil and
sum, a mayor or councilmember could criminal liability for failure to comply with
potentially be individually liable for damages certain state laws, such as those governing
to individuals injured because of the failure to political contributions, political advertising,
properly perform a ministerial duty or and campaign contributions.
negligently failing to perform the duty at all.
Personal liability of most city officials is capped
at $100,000 for actions brought in state court Liability Under Federal Law
under the Texas Tort Claims Act.
A mayor or councilmember may also face
Additionally, until recently, a mayor or personal liability for violations of a person's
councilmember could not be held personally rights under federal law. This usually occurs:
liable for sexual harassment. In 2021, the (1) as the result of claims alleging violations of
Texas Legislature adopted Senate Bill 45, which constitutional rights; or (2) in an employment
expanded the definition of "employer" to context (e.g., a claim brought under the Fair
include "any person who acts directly in the Labor Standards Act or the Family Medical
interests of an employer in relation to an Leave Act).
employee." Under this new definition, it is
possible that elected officials may be subject The law customarily used to take action
to individual liability for sexual harassment if against city officials for violations of
they: (1) know or should have known that the constitutional rights or violations of federal
conduct constituting sexual harassment was law is Section 1983, Title 42, of the United
occurring; and (2) fail to take immediate and States Code. It provides:
appropriate corrective action.
Every person who, under color
In addition to personal civil liability, a mayor of any statute, ordinance,
councilmember fulfilling his or her duties for regulation, custom, or usage, of
the city may be subject to criminal liability as any State . . . .subjects, or
the result of a violation of certain state laws. causes to be subjected, any
Some of the most common state laws under citizen of the United states or
which a councilmember may face criminal other person within the
liability include the Open Meetings Act, the jurisdiction thereof to the
Public Information Act, conflicts of interest and deprivation of any rights,
financial disclosure laws, purchasing laws, and privileges, or immunities
nepotism laws. In addition, prohibitions found secured by the Constitution and
in the Texas Penal Code may be implicated as a laws, shall be liable to the party
result of serving as a mayor or councilmember, injured. . . .
including laws dealing with bribery, gifts,
honorariums, falsification of government Various types of policy decisions related to
documents, the misuse of information, abuse both city employees and citizens could render
of official capacity, official oppression, forgery, a mayor or councilmember liable under
and theft. Section 1983. However, city officials are
usually protected by qualified immunity.
80
Similar to the official immunity defense under decisions impact specific individuals.
state law (described above), a mayor or
councilmember may be protected by qualified In sum, liability questions are notoriously fact-
immunity when sued under federal law. To be sensitive. The advice of the city attorney
covered by qualified immunity, the official should always be sought in regard to any
must show that the action taken: (1) was specific liability question.
discretionary; (2) was within the official's
authority to take; and (3) did not violate any
clearly established statutory or constitutional
right of which a reasonable person would have
known.
It is rare that a mayor or councilmember is
held personally liable under federal law for the
decisions he or she makes as a member of the
governing body. Even so, city officials should
make sure that they have a reasonable basis
for decisions made, and that applicable state
and federal law is reviewed before those
decisions are made, especially when those
81
Chapter Ten:
Sources of Information
There is no comprehensive guide to everything how ordinary or unusual. The League is also
there is to know about Texas cities, but there willing to assist members of the press in
are many sources of information that can be understanding cities.
helpful. Several are listed below.
National Resources
Local Sources
American Planning Association, 1030 15th
Depending on the amount of time available, Street N.W., Suite 750 West, Washington, D.C.
information on the finances, services, and 20005, 202-872-0611. Major publications:
other aspects of the city can be obtained by: Planning, Journal of the APA, and Zoning
Practice. APA also publishes a number of
� Reading the city's code of ordinances; guides to zoning, subdivision development,
• Reviewing the minutes of council and other aspects of municipal planning.
meetings held during the past several www.planning.org
months;
• Studying the current budget, the American Public Works Association, 1200 Main
previous year's financial report, and Street, Suite 1400, Kansas City, Missouri
other key financial documents; 64105-2100, 816-472-6100. Monthly
• Visiting the various city departments to publication: APWA Reporter. APWA also
learn how the city conducts its day-to- publishes several public works-related
day operations; and manuals. www.apwa.net
� Conferring with past and present
members of the council, the local American Society for Public Administration,
newspaper editor, civic leaders, and 1730 Rhode Island Ave. NW, Suite 500,
others who have followed the city's Washington, D.C. 20036, 202-393-7878. Bi-
affairs over the years. Monthly publication: Public Administration
Review features articles for councilmembers
interested in municipal administrative and
Texas Municipal League organizational processes and theory. Public
Integrity, published bimonthly, addresses
The Texas Municipal League is an association ethical issues affecting government and
of cities that exists for one reason: to serve city society. ASPA's quarterly newspaper, PA
officials. TML offers councilmembers and other TIMES, covers developments in the academic
city officials a broad range of services — and professional field of public administration.
including training seminars and conferences, WWW•aspanet.org
technical assistance, legal advice, and many
other services. The League office welcomes all Government Finance Officers Association, 203
inquiries from its member officials, no matter N. LaSalle St., Suite 2700, Chicago, Illinois
60601-1210, 312-977-9700. Major publications
82
include the weekly GFOA Newsletter and Municipal Lawyer. IMLA also publishes a
bimonthly Government Finance Review. GFOA variety of documents of special
also publishes a wealth of excellent operating interest to city attorneys. www.imla.org
manuals on the topics of budgeting, debt International Public Management Association
management, financial forecasting, and for Human Resources, 1617 Duke St.,
related items. www.gfoa.org Alexandria, Virginia 22314, 703-549-7100.
Major publications: Public Personnel
International Association of Chiefs of Police, Management, HR News, and HR Bulletin.
44 Canal Center Plaza, Suite 200, Alexandria, IPMA-HR is a source of excellent information
Virginia 22314, 703-836-6767. Major on productivity, employee performance
Publication: monthly Police Chiefs Magazine. appraisal, and other aspects of municipal
www.theiacp.org personnel administration. www.ipma-hr.org
International Association of Fire Chiefs, 4795 National Association of Towns and Townships,
Meadow Wood Lane, Suite 100, Chantilly, 1901 Pennsylvania Avenue, NW, Suite 700,
Virginia 20151, 703-273-0911. Major Washington, D.C., 20006, 202-331-8500. Major
publication: On Scene newsletter. Publication: Weekly Updares. NATaT offers
www.iafc.org technical assistance, educational services, and
public policy support to local government
International City/County Management officials from small communities.
Association (ICMA), 777 North Capitol St. N.E., www.natat.org
Suite 500, Washington, D.C. 20002-4201, 202-
962-3680. Major publication: Public National Civic League, 190 E. 9th Ave, Suite
Management. Other publications: LGR: Local 200, Denver, Colorado 80203, 303-571-4343.
Government Review(biannual); SmartBrief Major Publication: National Civic Review. NCL
(daily newsletter); and Leadership Matters serves as a resource for information on citizen
(weekly newsletter). ICMA also publishes a participation in state and local government
series of manuals on different aspects of city and provides guides, model charters, and laws
government. www.icma.org on specific subjects. NCL also sponsors the All-
America City Award. www.ncl.org
International Institute of Municipal Clerks,
8331 Utica Ave., Suite 200, Rancho National League of Cities, 660 North Capitol St.
Cucamonga, California 91730, 909-944-4162. NW, Washington, D.C. 20001, 1-877-827-2385.
Major Publications: IIMC News Digest, Consent Major Publication: Cities Speak Blog.
Agendas, IIMC Meeting Administration Additionally, the organization conducts two
Handbook, and Language of Local national conventions of city officials, the first
Government. IIMC provides training and of which focuses on city-related federal
information to city clerks and city secretaries. programs, while the second emphasizes
www. iimc.com methods of improving municipal operations.
www.nlc.org
International Municipal Lawyers Association,
51 Monroe Street, Suite 404, Rockville, MD U.S. Conference of Mayors, 1620 I Street N.W.,
20850 202-466-5424. Bimonthly publication: Washington, D.C. 20006, 202-293-7330. USCM
provides current information on federal policy
83
developments of interest to cities over the
population of 30,000. www.usmayors.org
84
Duties of Council
The Town Council is the governing body for the Town of Westlake and must bear
responsibility for the integrity of governance. The Town Council will govern the
Town in a manner associated with a commitment to the preservation of the values
and integrity of representative local government and democracy, and a dedication
to the promotion of efficient and effective governing. The following statements
will serve as a guide and acknowledge the commitment being made in this service
to the community:
1. The Council has as high priorities, the continual improvement of the
member's professional ability and the promotion of an atmosphere
conducive to the fair exchange of ideas and policies among members.
2. In its governance role,the Council will continue to be dedicated to friendly
and courteous relationships with staff, other Councilmembers, and the
public, and seek to improve the quality and image of public service.
3. The Council will also strive to recognize its responsibility to future
generations by addressing the interrelatedness of the social, cultural, and
physical characteristics of the community when making policies.
4. Each Councilmember will make a commitment to improve the quality of
life for the individual and the community, and to be dedicated to the
faithful stewardship of the public trust.
ORDINANCE NO. 327
AN ORDINANCE CANVASSING THE RETURNS AND DECLARING THE
RESULTS OF AN ELECT�ON HELD ON MAY 1, 1999 ON THE ADOPTION OF
A C�TY MANAGER FORM QF GOVERNMENT IN ACCORDANCE WITH THE
PR4VISIONS OF CHAPTER 2S OF THE LOCAL G4VERNMENT CODE.
WHEREAS, the Board of Aldermer� of�'icially finds and determines that a
specia? election was duly ardered to be neld in the Town of Westlake, Texas, on the ls`
day of May, 1999, for the purpose af submitting a certain proposition for or against the
adoption of the City Manager farm of government in accordance with the provisions of
Chapter 25 of the Local Government Code; that proper notice of the election was duly
given; that proper elec�ion officers were duly appointed prior ta the election; that the
election was duly held; that due returns of the result of the el�ction have been made and
delivered; and the returns have b�en duly canvassed the returns, all in accordance with
law; and
WHEREAS, Mayor Scott Bradley, Alderman Abe Bush, Jr. and Alderman Fred
Held met an� canvassed the vote on May 4, 1999; and
WHEREAS, the u�dersigned officers of the Taw�n o�'Westlake officially finds
and detez-mines that only resident, qualified electars af the Town were allowed to r�ate in
the election and the tabulation of the returns reflect that the totals "FOR" and
"AGAINST" the proposition submitted axe as follows:
PROPOSITION
`THE ADQPTI�N OF THE CITY MANAGER FORM QF G�VERNMENT
TN ACCORDANCE WITH THE PROViSIONS OF CHAPTER 25 OF THE
LOCAL G�VERNMENT CODE."
"FOR" 6l votes
"AGAINST" S votes
THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE TOWN
4F WESTLAKE, TEXAS:
SECTION 1: Tk�at alI of the recitals cor�tained in the preaEnble of�his ordiilance
are four�d to be t1•ue and are tlle adopted findings of fact by this govErning body and as
part of its judgment.
SECTION 2: That it is further found and c�etermined that the results of the
election are as canvassed and tabulated in the preamble hereof, and, a majority of the
Ordinance No. 327
�'age 2
electors voting in the election having voted in favar of the proposition, the Board of
Aldermen is hereby declared and authorized and empowered to adopt the City Manager
form of governn�ent, all as more fully set forth and identified above and in the
proceedings ordering said election.
PASSED AND APFROVED ON THE 10� DAY OF MAY, 1999.
�� ��;,� � ',
ATTEST: Scott Bradley, Mayox �
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Ging Crosswy, Town retary
APPROVED AS TO FORM:
_1.—���' ��
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T rry Marg ` , nterim To� Attorney
� 1
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ORDER
AN ORDER CANVASSING ELECTION RETURNS OF THE ELECTION HELD
QN MAY 1, 1999 ON THE ADOPTION OF A CITY MANAGER FORM �F
GOVERNMENT IN ACCORDANCE W�TH THE PROVISIONS OF CHAPTER
25 OF THE LOCAL GOVERNMEI�T CODE.
WHEREAS, the Board of Aldermen officially finds and determines tha� a
special electian was duiy ordered to i�e held in the Towz� of Westlalce, Texas, on the 15f
day of May, 1999, for the purpose of submitting a certain proposition for or against the
adoption of the City Manager forrn of govern�ment in accordance with the provisions af
Chapter 25 oft the Local Government Code; ihat proper notiee of the election was duly
given; that proper election officers were duly appointed prior to the election; that the
election was duly held; that due returns of thE result of the election have been made and
delivered; atid the returns have been duly canvassed the returns, all in accordance with
larnr; and
WHEREAS, Mayor Scott Bradley, Alderman Abe Bush, Jr, and Alderman Fred
Heid met and canvassed the vote on May 4, 1999; and
WHEREAS, the undersigned officers of the Town af Westlake officially finds
and determin�s that only resident, quali�ied electors of the Town were allowed to vote in
the �iection and the tabulation of the returns reflect that the totals "FOR" and
"AGAINST"the proposition submitted are as follows:
PROPOSITI4N
`THE ADOPTION OF THE CITY MANAGER FORM OF GOVERNMENT
IN ACCORDANCE WrTH THE PROVISIONS OF CHAPTER 25 OF THE
LOCAL GOVERNMENT CODE."
"FOR" 61 vates
��AGAINST" S votes
THEREFORE, the undersigned officially find, determine a�ld declare that the
res�lts of the election are as canvassed and tabulated in the preamble he�eaf, a majority of
th.e electors voting in the e�ection having voted in favor of the proposition, and the Board
of Aldermen is hereby declared, authorized and ernpawered to adopt the City Manager
form of govemment, aLl as more fully set forth and identified above and in the
proceedings ordering the election.
Signed and executed this lOt" day af May, 1999.
,�� .����.�.�...
Scott Bradley, Mayor
.
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Abe Bush, Jr., Alderrnan
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Fred Held, Alderrx�an
ATTEST:
" inge� rosswy, Tawn Sec. ary
Town Manager
Sec. 26-57. - Governing body.
(a) The board of aldermen, as the governing body of the town, shall have such authority as
is consistent with state law, and the ordinances of the town, to initiate, undertake, and
decide all legislative matters pertaining to the regulation of the use and development of
land, which is the subject of the Unified Development Code, including but not limited to
enactment or amendment of UDC provisions; approval, disapproval or modification of
amendments to the zoning map; and authorization of planned developments and specific
use permits.
(b) If authorized in the UDC, the board of aldermen shall also have the authority to review
and decide appeals from decisions of the commissions, boards, and administrative
officers, or exceptions to the UDC otherwise authorized by these regulations in
accordance with the procedures established in the UDC.
(c) The board of aldermen shall appoint the Town Manager, who in turn, shall be held
responsible to the board of aldermen for the execution of the laws and the administration
of the government of the town.
(UDC 1994, art. ll, § 1; Ord. No. 512, §9, 4-23-2007)
Sec. 26-57.1. - Town manager.
(a) Appointment and qualifications. The board of aldermen shall appoint a town manager
who shall be the chief administrative officer of the town, and shall be responsible to the
board of aldermen for the administration of all the affairs of the town. The town manager
shall be chosen by the board of aldermen solely on the basis of his or her executive and
administrative training, experience and ability; and need not, when appointed, be a
resident of the Town of Westlake. No member of the board of aldermen shall, during the
time for which he or she is elected, and for one year thereafter, be appointed town
manager.
(b) Term and salary. The town manager shall receive compensation as may be fixed by the
board of aldermen. The board of aldermen may enter into agreement establishing a term
of service. The town manager may be removed at the will and pleasure of the board of
aldermen by a vote of the majority of the entire board. The action of the board of
aldermen in suspending or removing the town manager shall be final, it being the
intention of this section to vest all authority and fix all responsibility of such suspension or
removal, in the board of aldermen.
(c) Duties of the town manager.
(1) Appoint and remove any employee of the town, except as otherwise provided by
this section.
(2) Prepare the budget annually and submit it to the board of aldermen, and be
responsible for its administration after adoption.
(3) Prepare and submit to the board of aldermen in the annual proposed budget, a
complete report on the finances and administrative activities of the town for the
preceding year.
(4) Keep the board of aldermen advised of the financial condition and future needs
of the town and make such recommendations as may seem desirable to the
board.
(5) Perform such duties as may be prescribed or may be required of him or her by
the board of aldermen, not inconsistent with this section.
(6) Attend all meetings of the board of aldermen, except at the request of the board
during executive sessions when the town manager is under discussion. He or
she shall be notified of all special meetings of the board.
(Ord. No. 512, §9, 4-23-2007)
State law referenc�Appointment of City Manager, V.T.C.A., Local Government Code§§25.026,
25.027, 25.028, 25.029, 25.051.
Sec. 26-57.2. - Board of aldermen not to interFere in appointments.
Neither the board of aldermen, nor any of its members, shall direct the appointment of any
person to office by the town manager, or by any of his subordinates. Except for the purpose
of inquiry, the board of aldermen and its members shall deal with the administrative services
through the town manager, and neither the board of aldermen, nor any member thereof, shall
give orders to any subordinate of the town manager, either publicly or privately.
(Ord. No. 512, §9, 4-23-2007)
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THE ROLE OF THE MAYOR OR CHIEF ELECTED THE ROLE OF ELECTED OFFICIALS ' ' ' ' ' '
OFFICIAL - -- '=`��
Under the council-manager form,the elected officials(e.g.the - • ' • f r,;._ :�e��.�`;AF�
Typically,the mayor or board chairperson in a council- council or board)are the legislative body and the community's t ;�;�='r��;;�}:;�•'k�
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manager community is a voting member of the governing policy makers. Power is centralized in this body,which approves �/ . � � • _ �;:':,;�.f:�'"�;F ;S�;�•,
body who may be either directly elected,as in 69 percent of the budget and adopts local laws and regulations,for example. '`�'���. `r' `�
council-manager communities,or who is selected by and from The elected officials also focus on the community's big-picture � �r � ��,, r'�
among their colleagues on the governing body.The mayor or goals,such as community growth and sustainability. �� . � �' s „-�
chairperson is the public face of the community who presides The elected officials hire a professional city,town,or county +
at meetings,assigns agenda items to committees,facilitates manager based on that person's education,experience, skills, � '�
communication and understanding between elected and and abilities and NOT on their political allegiances.The elected �
appointed officials, and assists the governing body in setting officials supervise the manager's performance,and if that • • ' • " " " � �
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goals and advocating policy decisions. person is not responsive and effective in their role,the elected � . � � _ � � , � . � _ _ _ —
officials have the authority to remove her or him at any time. !� ��
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THE MANAGER S ROLE WHAT ROLE DO RESIDENTS PLAY. � ;r
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The manager is an at-will employee who can be fired by a Under council-manager government, local governments often � �
majority of the elected officials, consistent with local laws or actively engage and involve their residents in community � '" I �� �,
any employment agreements.This person decision making. Residents can guide their community by � ��'`"� � �i � ��' {
• Prepares a budget for the governing body's consideration. serving on boards and commissions, participating in visioning .',! '���
• Recruits, hires,supervises,and terminates government staff.
and strategic planning sessions,and designing community- '��
oriented local government services. ..
• Serves as the governing body's chief advisor by providing � ` 4
complete and objective information about local � .
operations, discussing options,offering an assessment
of the long-term consequences of decisions, and making � , �
policy recommendations. ' - - —' --"— "'� -
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• Carries out the policies established by the governing body. � - - � • � • �� �� ,
,
What is the council-manager form of government? What types of communities use the council-manager • Two-thirds of Moody's Aaa bond-rated communities are and qualified candidates are invited to apply. Elected officials
form of government? run by professional local government managers,and many may also hire an executive recruitment firm to assist them
The council manager form is the most popular structure of operate under the council-manager form of government. with the selection process. Interested parties may apply
government in the United States among municipalities with Today more than 120 million people in the U.S. live in directly to the governing body or to the recruitment firm,
o ulations of 2,500 or more. It is one of several wa s in • An IBM Global Business Services report titled "Smarter,
P P Y municipalities that operate under the council-manager form. which reviews the applications and interviews qualified
which U.S. munici alities and counties can or anize. Faster,Cheaper°found that cities that operate under
P g Fifty-four percent of the more than 4,300 U.S. municipalities the council-manager form of government are nearly 10 candidates. ICMA makes no recommendations regarding
Under this form, residents elect a governing body— with populations of 10,000 or more use the form,as do candidates.Additional information on hiring a professional
percent more efficient than those that operate under the local overnment mana er is available in ICMA's Recruitment
induding a chief elected official, such as a mayor or board 59 percent of the 347 municipalities with populations greater mayor-council form. g g
chairperson—to adopt legislation and set policy.The than 100,000. More than 800 counties also employ a Guidelines Handbook.Visit icma.org/documents/recruitment-
governing body then hires a manager or administrator with similar system. • The National Civic League,America's oldest advocate for guidelines to download a copy.
broad executive authority to carry out those policies and community democracy, has endorsed council-manager
oversee the local government's day-to-day operations. How can council-manager government benefit government through its Model City Charter since 1915. What kind of educational and on-the-job experience do
my community? • The majority of communities recognized since 2013 with professional local government managers generally have?
The Council-Mana er Form the National Civic League's coveted All-America CityAward
g • Flexibility—The council-manager form can adapt to local Sixty-five percent of managers surveyed by ICMA
needs and demands.While governing bodies in some have been council-manager. indicated that they had earned a master's(usually in public
I , council-manager communities are elected at large,for administration, business,or public policy),or other advanced
Does it cost more for a community to adopt the
example,others are elected by district or by a combination of degree. Survey respondents also said that they had spent
an at-large-and-by-district system to respond to local needs. council-manager form and hire a professional an average of more than 20 years working in the local
� � ; � � manager? government management profession.
• Clearly Defined Roles—Under the council-manager form,
there is a dear distinction between the administrative Many local governments have reduced their overall costs
� � ' role of the manager and the political and policy roles of after hiring a professional manager. Savings can come What is ICMA and why is membership in that
the governing body, lead by the mayor.The day-to-day from decreased operating costs, increased efficiency and organization important?
operations of the local government organization reside productivity, improved revenue collection,and effective use
of technolo The economic health of the communit ma ICMA,the International City/County Management Association,
with the appointed manager,allowing elected officials gY� Y Y
� . � . . � is the professional and educational "home°for more than
to devote their time and energy to policy development also benefit from the implementation of improved business
12,000 appointed managers and administrators serving cities,
and the assessment of the effectiveness of those policies development and retention strategies.
towns,counties, other local governments,and regional entities
What's so special about the council-manager form within the community. in 40 countries throughout the world.
How can my community adopt the council-manager
of government? • A Roadmap for Success—The council-manager form is form of government? In addition to gaining access to valuable resources and
the system of local government under which professional lifelong professional development opportunities,appointed
Born out of the U.S. progressive reform movement at the management is most likely to succeed. Under this system, Methods vary from state to state, but most communities local government managers who are members of ICMA are
turn of the 20th ccntury,the council-manager form was professional managers can focus on service delivery, policy can adopt council-manager government through a charter, bound by its Code of Ethics,which commits members to a set
created to combat corruption and unethical activity within implementation,and performance management and can local ordinance, state enabling law,or by voter referendum. of ethical standards of honesty and integrity that go beyond
local government by promoting nonpolitical management align the local government's services with the values, For information on how your community can adopt council- those required by the law.This stringently enforced code
that is effective,transparent, responsive, and accountable. mission,and policy goals defined by the community and manager government,contact your state municipal league, specifies 12 ethical principles of personal and professional
The council-manager form of government recognizes elected officials. state and local government association, or association conduct, including dedication to good government For more
the critical role of elected officials as policy makers,who of counties.You can find contact information for these information,visit icma.org/ethics.
focus on mapping out a collective vision for the community How do we know that council-manager organizations at icma.org/state-localgovassns or nd.org/ Finally,through its Voluntary Credentialing Program,
and establishing the policies that govern it.The form also � state-munici al-lea ues. ICMA recognizes individual members who are qualified by
government works. P g
recognizes the need for a highly qualified individual who is a combination of education and experience,adherence to
devoted exclusively to the delivery of services to residents. • The Equipt to Innovate Initiative—a framework of Once my community adopts council-manager high standards of integrity,and an assessed commitment
Think about the structure used by many corporations, in seven essential elements that define high-performance � to lifelong learning and professional development. ICMA
government, how do we hire a professional manager.
which the board of directors hires an experienced CEO,who government and empower innovation—found in 2017 that members who meet these requirements may earn designation
is granted broad, executive authority to run the organization. top-performing cities in all but one element employed the The vacancy is often announced in Leadership Matters, as an ICMA Credentialed Manager. For more information
While these boards establish the company's overall policy council-manager form of government. In 2018,the study's ICMA's weekly e-newsletter;through the ICMA Job Center at on ICMA's Voluntary Credentialing Program,visit icma.org/
direction,the CEO oversees implementation of that policy. overall top performer was also council-manager. icma.org/job-center;and through state league publications, voluntary-credentialing-program-overview.
Communication with Staff
Interference in administrative matters.
Neither the Council nor any of its members shall direct or request the Town
Manager or any of his/her subordinates to appoint or to remove from office or
employment any person except a person whose office is filled by appointment of
the Council. Except for the purpose of inquiry and investigation, the Council and
its members shall deal with the administrative services of the Town solely
through the Town Manager; and neither the Council nor any member thereof shall
give orders to any subordinate of the Town Manager, either publicly or privately.
Responsibilities of Councilmembers
Mayoral Responsibilities
The Mayor occupies the highest elected office in the municipal government. As
a political head of the Town, the Mayor is expected to provide the leadership
necessary to keep it moving in the proper direction.
• The Mayor is the presiding officer at all meetings. The Mayor Pro-Tem
will preside in his/her absence.
• The Mayor only votes in the event of a tie.
• The Mayar will preserve order and decorum and will require
Councilmembers engaged in debate to limit discussion to the question
under consideration.
• The Mayor is the spokesperson for the Council on all matters unless,
absent, at which time his/her designee will assume the role.
• The Mayor will encourage all Councilmembers to participate in Council
discussion and give each member an opportunity to speak before any
member can speak again on the same subject.
• The Mayor is responsible far keeping the meetings orderly by recognizing
each member for discussion, limiting speaking time, encouraging debate
among members and keeping discussion on the agenda item being
considered.
• The Mayor, when authorized by the Council, will sign all official
documents such as ordinances, resolutions, conveyances, grant
agreements, official plats, contracts, and bonds.
• The Mayor will perform other duties consistent with State law, Town
Ordinances, or as may be imposed on him/her by Council.
Mavor Pro-Tem Responsibilities
The Mayor Pro-Tem is a Councilmember appointed by the Mayor at the first
regular Town Council meeting following each Town election or runoff election,
if needed. The Mayor Pro-Tem will act as Mayor during the disability or absence
of the Mayor or if the office is vacated and in this capacity, and will have the rights
conferred upon the Mayor.
Councilmember Responsibilities
Councilmembers are the Town's legislators. Their primary duty is policymaking,
which includes identifying the needs of local residents, formulating programs to
meet the changing requirements of the community, and measuring the
effectiveness of ongoing municipal services. Every Councilmember is entitled to
vote or abstain, in the case of a conflict of interest, on every question decided at
the Council meeting, and has full parliamentary privileges in Council meetings,
including the right to speak and make motions when recognized by the Mayor.
Where Council Activities Occur
Ma'�ority of Council
A majority of Council is 3 Councilmembers, the Mayor is not included in the
count of inembers for quorum. A quorum of Council must be present at any
meeting in order for any posted meeting to begin and/or take action. A majority
of Council is also required to pass all Town Ordinances. The Mayor does not
vote, only in the case of a tie.
Regular Council Meetings
The Mayor and Town Council have regular Town Council meetings on the first
and fourth Monday of each month (or as identified on the Adopted Town and
Academic Calendars) at 5:00 p.m. in the Town Hall Council Chambers,located at
1500 Solana Boulevard,Westlake, Texas; unless otherwise adopted by a majority
of Town Council. All meetings are open to the public unless specified as an
Executive Session. A quorum is required
A written agenda notice of Council meetings is required by law, to be posted 72
hours in advance of the Council meeting including the date, hour, location, and
subject of ineeting.
Special Meetings and Emergency Meeting
Special Meetings and Emergency Meetings may be necessitated from time to
time. At least two (2)hours notice is required for a special meeting in the case of
an"emergency or urgent public necessity," the nature of which must be stated in
the notice.
Executive Sessions
The Council may recess to an executive session for any purpose permitted by
State law. The general subject matter for consideration will be expressed in the
agenda or the motion calling for the session. Final action will not be taken by
Council until the matter is placed on the agenda and a vote taken in an open
meeting. Executive sessions are typically held on the 2"d Floor Conference Room.
A governing body may generally hold a closed meeting for one or more of the
following nine reasons:
• Consideration of specific personnel matters—Texas Government Code (TGC)
551.074
• Certain consultations with its attorney—TGC 551.071
• Discussions about the value or transfer of real property—TGC 551.072
• Discussions about security personnel,security devices, or a security audit—TGC
551.076
• Discussions about a prospective gift or donation to a governmental body
• Discussions by a governing body of potential items on tests that the
governing body conducts for purposes of licensing individuals to engage
in an activity—TGC 551.088
• Discussions of certain economic development matters—TGC 551.087
• Discussions of certain competitive matters relating to a Town owned
electric or gas utility for which the Town Council is the governing body
—TGC 551.086
• Certain information relating to the subject of emergencies and disasters—TGC
418.183(fl
Town Council Mail Process
The Town Secretary's Office receives and processes the Town Council's incoming mail. All
mail will be stamped with the received date and distributed in corresponding boxes located in the
Town Secretary's Office. Town Council mail is not opened and reviewed unless the
Councilmember so requests. Councilmembers are welcome to pick up mail at Town Hall. Mail
will be distributed to members of Council at each regular Council Meeting.
Council Tablets and Email
All Town Councilmembers are supplied tablets by the Town to use during Council meetings for
their term duration. Councilmembers are also issued a Town email address to use while in office
to communicate with the public and staf£ Please keep in mind that all information on assigned
computers and within the Town's network are subject to the Public Information Act.
Town Email Address:
If you have any problems accessing your email please contact the Town Manager's Office
for assistance.
Town of Westlake
2022 Meeting Schedule
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1 2 1 2 3 4 5 6 1 2 3
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10 11 12 13 14 15 16 14 16 17 18 19 20 11 m 13 14 15 16 17
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31
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Z3 m Z5 Z6 Z7 Z8 Z9 Z7 28 Z9 30 25 � 27 28 Z9 � 31
30 31
� 10/10 School Holiday
-Town Council .Municipal Holiday .Budget/Meeting Retreats
New Council Orientation Academic Holiday Planning&Zoning
Election Day/Special .Municipal &Academic Holiday First/Last Day of School
Meeting to Canvass
1/03: Academic Holiday 6/16: TC Governance/Budget Retreat-All Day
1/10: TC to call the election (2/18 too late) 8/08:Adopt Academic Budget
3/14-18: Spring Break 8/17: First Day of School
5/07: Election Day 8/29: TC Meeting to approve max tax rate
5/16: Canvass if Election is held (5/19 too late) and set Public Hearing date
5/18: TC Orientation (if necessary) 9/12: Public Hearing, adopt Muncipal Budget, and
5/26: Last Day of School vote on Tax Rate
5/28: Academy Commencement 10/10: Academic Holiday
Yearly Acad�mic Calendar
-+r�l�'y`+ Westlakc Academy
k
; { Academ�c Calendar 2D22-2D23
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28 29 30 31 25 26 27 2$ 29 3❑ 23 24 25 26 27 28 29
30 31
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Z 3 4 5 1 2 3 1 2 4 5 6 7
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20 21 22 23 24 25 26 18 19 20 21 22 23 24 22 23 24 25 26 27 28
27 28 29 30 25 26 27 28 29 30 31 29 30 31
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2$ 29 3❑ 31 25 26 27 28 29 30 23 24 25 26 27 28 29
30 31
1'irsi'Lasi D�y nf School Ln�l nf�quaiter dcsigi�ation
9 Larly LLcicase Days k':u�311/Studcnt Confcrcizccs-All 17ay
No Schoo] S�•itiicslcr L�ams'YYP ASscssmcn[s-Larl�Rcicasc
Prnfcssirn�al Uc�-S[udci�t Iloliday Sc�tiior CDI71i11L'I1CCS11L'I71
Lnd uf a 6 wcck gradii�g period 'gl,^,����cia 1'cachcr C)iicntation
115I2022
TOWN'S MUNICIPAL BUDGET CALENDAR FOR FISCAL YEAR 2022-2023
BUDGET PHASES
� PLANNING
PREPARATION
LEGISLATIVE APPROVAL *Calendardatessubjecttochange based on hiringofnew Finance Mgr.
APRIL MAY JUNE JULY AUGUST SEPTEMBER
S M T W T F S S M T W T F S 5 M T W T F 5 S M T W T F 5 S M T W T F S 5 M T W T F 5
1 2 1 2 3 4 5 6 7 1 2 3 4 1 2 1 2 3 4 5 6 1 2 3
3 4 5 6 7 8 9 8 9 10 11 12 13 14 5 6 7 8 9 10 11 3 4 5 6 7 8 9 7 �8 9 10 11 12 13 4 5 6 7 8 9 10
�0 11 12 13 14 15 16 15 16 17 18 19 20 21 12 13 14 15 16 17 18 10 11 12 13 14 15 16 14 15 16 17 18 19 20 11 12 13 14 15 16 17
17 18 19 20 21 22 23 22 23 24 25 26 27 28 19 20 21 22 23 24 25 17 18 19 20 21 22 23 21 22 23 24 25 26 27 18 19 20 21 22 23 24
24 25 26 27 28 29 30 29 30 31 26 27 28 29 30 24 25 26 27 28 29 30 28 29 30 31 25 26 27 28 29 30 1
� 31
�
April— June—
■ 04/11/22 —Finance to send Dept Head YTD data and other forms ■ 06/24/22 —REV03 OPEN for DH editing (Any changes from
■ 04/12/22 —DH Budget Kickoff (CYAmendments, Budget Calendar, retreat)
Employee S YR Forecast,SLAform and Instructions; No payroll July—
entries in STW by DH, please&thank you) ■ 07/01/2022—Deadline for Dept Goals and Objectives to Finance
■ 04/13/22 to 04/27/22—Fin. Mgr.and DH individual meetings to ■ 07/08/2022—CY (FY22) Budget Amendments finalized by DH
discuss one-time expenses/revenues and SLAs. ■ 07/25/22 TO 08/22/22 —Receipt of Property Tax certified rolls,
■ 04/18/22 —Deadline for 5 YR Personnel Forecast to Finance completion of TNT calculations,&preparation of tax rate
recommendations and notifications
May—
■ 05/02/22 —Deadlinefor all departments'one-time &SLAs in STW August— **WABudgetAdoption on August 8,2022
■ OS/13/22 —DH Roundtable withthe 5 YR Forecast(All Funds)
■ 05/20/22 —REV02 OPEN for Dept Head editing (any changes ' 08/29/22 -TC Budget Workshop (to include Water Rate Study)
noted from Roundtable) • 08/30/22 —REV040pen (Any changes noted from Workshop
June— September—
■ 06/16/22 —TC/BOTBudgetRetreat; LocationTBD(possiblyhold ' 09/12/22—TownCounciltoAdopttheBudget&TaxRate;
for 2 days through J une 17) Public Hearing(Agenda Packet out 9/9/22)
TOWN'S ACADEMIC BUDGET CALENDAR FOR FISCAL YEAR 2022-2023
BUDGET PHASES
PLANNING
PREPARATION
LEGISLATIVE APPROVAL
MARCH APRI L MAY J UNE J ULY AUGUST
S M T W T F S S M T W T F S S M T W T F S S M T W T F S S M T W T F S S M T W T F S
1 2 3 4 5 1 2 1 2 3 4 5 6 7 1 2 3 4 1 2 1 2 3 4 5 6
6 7 8 9 10 11 12 3 4 5 6 7 8 9 8 9 10 11 12 13 14 5 6 7 8 9 10 11 3 4 5 6 7 8 9 7 ❑g 9 10 11 12 13
13 14 15 16 17 18 19 10 11 12 13 14 15 16 15 16 17 18 19 20 21 12 13 14 15 16 17 18 10 11 12 13 14 15 16 14 15 16 17 18 19 20
20 21 22 23 24 25 26 17 18 19 20 21 22 23 22 23 24 25 26 27 28 19 20 21 22 23 24 25 17 18 19 20 21 22 23 Z1 22 23 24 25 26 27
27 28 29 30 31 24 25 26 27 28 29 30 29 30 31 26 27 28 29 30 24 25 26 27 28 29 30 Z$ Zg 30 31
31
I I
March— May—
■ 03/11/22 —Finance to send campus leadership budget recap,YTD ' 05/16/22—Finance to send draft of budget to Campus Leadership,
data, budget forms &budget calendar Exec Dir,Supt
03/14-18/22 —WA Spring Break ■ 05/27/22 —Deadlinefor any changes in FTEs
■ 03/22/22 -Campus Leadership Budget Kickoff w/15Y Roundtable ' 05/27/22 —Deadlineto receive final student count
(CY budget review&amendments, budget process/forms review, June—
account coding structure, revenue projections) ■ 06/16/22 —TC/BOT Budget Retreat; LocationTBD(possiblyfor 2
■ 03/29/22 —Program meetings w/Principals, Exec Dir&Finance days throughJune 17)
July—
April— ■ 07/18/22 —Final review of CY budget amendments and proposed
■ 04/08/22 —SLAs due to Finance budget by Supt/Exec Dir/Finance/HR
■ 04/11/22 —Principals Mtg w/Exec Dir& Finance (Review of August—
■ Current budget,SLAs, FTEs) nd . 08/08/22—WA Budget Adoption and Public Hearing(Agenda
04/26/22 —Campus Leadership 2 Roundtable (CY budget review packet out by 8/5/22)
and amendments,SLAs,5-yr forecast,data assignments)
September— *Municipal BudgetAdoption on 09/12/22
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U�date
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Please select the appropriate answer or answers Far each a. deny Che request.
question below {each question MAY have more than one b. invite the emp�oyee to attend the executive session.
correct answer): c. grant the request.
d. immedaately is�scruct the city manager tio call the
�. The public cam►nene session at the City of Teacas Municipal League for advice.
Geronwiehit, Texas, is raking up an inordinace amount
oF time, with citizer�s using the microphone as a soap- 4. The ciry council of Loaselips,Texas,holds an execu-
box to address unnecessary and irxelevant subjects. The tive session to discuss che donatian oFa large sum of money
council may: to the ciry by a donor who wishes to remain anonymous.
- A city councilmembec who attended the executive session
a. prior to che public comment session, turn aff rhe calls his wiFe,who is rhe editnr of Che local newspaper,and
lights, have all councilmerr�bers and ciry stafE hide tells her everything that was said in the closed mee�ing.
6ehind the dias,and seay very quiet in hopes that rhe Due ta the councilmember's revelations, the donation is
citizens will go ar�vay. never made.The city councilmember has:
b. adopt reasanable, nondiscriminatory rules limiting
the frequency and duration of citizen comments. a. vialated ihe Open Mee�ings Act and is subject to a
c. remove the pu6lic commenticicizen input session fine anci jail time.
from the agenda and not allow citizens to spea�. b. dane norhing legally wrong.
c. probably exercised poor judgment, but is guilry of
Z. A former ciry councilmember asks the ciry secre�ary no crime.
ta allow her to listen to t�e tape recording of an executive d. viafated the eleventh commandment, which scaces
session rhat the councilmember attended while she was in that "thou shalc noc have loose lips, as the afore-
ofFice.The city secretary should: mentioned have been known ro tick of£anonymous
donors.,,
a. immediarely malce a copy of the Eape and give it ro
the former�ity councilmember. �J. A citizen approaches your city's public informatian
b. require the councilmember to make her request in of�'icer with a written rec�uesc for informatian concerning
writing, then allow her to listen ro rhe tape within secariry procedures at all city facili�ies, including docu-
ten business days. ments showing the emergency respnnse plan for emergen-
c. not release a copy of the tape, but aliow the former cies at the water treac►nenc plant. The pub�ic inFormation
counci�member to listen ta the tape. officer must release the requesrec!information.
d. not release the tape in any form, not let the former
councilmembee liszen co rhe ta�e. a. True.
b. False.
�. A city council calls for an executive session to discuss c. Maybe.
rhe behavior of a parcicular ernployee. The employee sees
the notice D� E�1C executive session and re�uests that the
meeting be conducted in the open.The city council must:
♦Z T E X A 5 7 O W �3 E C I T Y • JANUARY 291D
L-1
6. The City of Advanced Technolagy, Te�cas, recei�es a �e home campucer. Under the Pu61ic InFormacian Acr,
requesc under cl�e Public InFormation Act.The rec�uesc asks must the councilmember's ciry-related e-mails sent to and
for "an open recard search on current councilrnember [cl�e from her home computer be released?
name has been removed to protect the innocent] from 1997
to present for all e-mails." Tn addicinn to her ciry-Eurnished �- X�•
campucer and e-mail account, the cauncilmember uses a b. Na.
home com�uter e-mail account to interact with her conscit- c. What's e-mail?
uents and orhers, but no ciry funds are used to pay for the d. It depends.
home e-mail accounc, nor were ciry funds used co purchase
Texas Oper� Government Pap Q�iz — Answers
Nate: All acrorney general apinians cited herein are avail- af law allowing them to do so. 5ee Tex. Atty Gen. Op. No.
a6le in their entirery at www.oag.srare.�c.us. H-188 (1973)at 2; Tex.AtCy Gen. LO-9G-III, at 1.
�. Correct answers: b & c. The Open Meetings Act Letter Opinion No. 9G-I l,l {October 28, 199G}
does not grant the public a right to spealt ac meetings.The Re: Whether a cammzs.rfoners court mrry decline to permit a
purpose of a public meeting of a governmental body is co particular individrutl to spertk at a pubCic meeting
conduc€ rhe business within irs jurisdiction, not to allow L�e think that the commisrionerr court has 6road dircretion
citizen input. On the other hand, public hearings, in most in exercising its statutory�owers under the Local Government
cases, mandate that cicizens be allowed to speak. Of course,
most governmentai badies da allow some form of public
participation at meetings. When public parsicipation is
allowed, a governmental body may adopt reasonable rules
as ro rhe rime, topic, and frequency of comments. In any
case, the governmental bvdy should noc discriminace based
on any protected class such as race, erhniciry, or gei�der: `� �'
op�,on No.,JC-oi6� (J�u�y a�, aoaa}
Re: LYjhether a governmental 6ody tndy permit members of the • • k
�iublic to comment at�ublic rneetings on matters not specified �, p . � �
in the posted meeting natice
A meeting that is vpen to the publzc"under the Act is ane � °
thut the public is entitled to attend. See Tex. Atty Gen. Op.
No. M-220 (196&) at 5. The Act daes not give the pu6lic a
right to speak at such meetings. See Charlestown Hameowners
Ass'n, Inc, v. LaCoke, 507 S W.2d 87G, 883 (Tex. Civ.
App.Dal�as 1974, writ ref'd n.r.e.J; 7'ex: Att'y Gen. Dp.
Nos.JM-584(198G)at 3;H-188(1973)ut 2,•Tex.Atty Gen.
LD-9G-111, at 1; see ulso Eudnly u City of Colleyville, G�2 �
5 Uf?2d 75, 77(Tex.App.Fort tiY/orth 1982, writ ref'd n.r.e.)
(distinguishing 6etxveen pu6dic meetin&" ' where pu6lic was
not entitled to corrzment,'and "pu6lic hearin�"`where pu6lic
wa.s entitled ta cammentJ. If a governmental body ruishes to
gllvw rraem6ers of the jiublic to speak ar its public meetings, at
may adopt reasona6le ruler cansi.ctent wath redevant provuions
JANLFARY 2010 • T E X q S T O W N R C I T Y 13 I _� '
�
Code, r�nd may limit the number of persons who rrzay speak limit.r�as the cammissioners caurt ndoptf must not 6e ar6itrary
an a topac and the length c�nd frequenry of theia•presentcttions, or unreasona6le, r�nd masst noz unfdirly discrimzndte dmon�
However, it must act reasana6ly and may not discriminate on views seeking e�prersion.
the 6asis of the purticul�r vzews expressed, nar�tr6ztrarily deny
citizen.r thear rzght to apply to the govea°nment for redrets of Z. Carreet answer: d. Only t�e current mem�ets
ga�%evunces by petition, address oa• remonst�ance,"as gx�r��°dn- of the governing body are authorized to listen to the tape
teed 6y article I,section 27 of the Texas Constztution. The com- recording, or to view Che certified agenda, of ar� executive
mzsssoners court as a whale has the authority to determ�ne its sessian.A former councilrr�ember may nor liseen ro che rape.
awn dgenda. Attorney General Opanians DM-228 (1993) at The tape or certified agenda oFan executive sessio� is one of
2-3,JM-G3(1983)�tt L The court may adopt rec�son�6le rules the fnost protected documents in Texas !aw and is available
consistent with relevant proviszons of law—inclzcding, rrmong for�ublic inspecrion and copying only under a court order
other things, the Open MeetzngsAct—togovern the conduct of issued in litigation involving an alleged violation of the Act.
its meetings. Attorney General Opinion DM-228 {1993J at Under � 551.146 oE the Open Meetings Act, a persan who
3. The court may li»ait the number,frequenry, and length af un�awFully releases a �ape or certifed agenda may be Found
preseras'aClons to it. Atto�•ney General Opinion H-18S (1973� guilty of a c�ass B misdemeanor (up to six months in jail
at2. Uf/e nnte that asAttorney General Opinion H-188 points and a $2,Q00 fine) and may be civilly liable to anyone wF�o
out, the Open Meetittgs Act daei not of itselfgive citizens the is defamed ar suffers emational distress as a resulr oE rhe
right to purtici�ate in a public meeting, 6ut anly the t•i$ht to release:
obserae it. However if the commissaoners have adopted a policy
of opening the floor to citizen comment, Attorney General Opinion No.JC-012U (September 28, 1999)
Dpinion H-188 cou�zsels that such u polacy must 6e adminis- Re: Whether a city council rn�y provicle a city council mem6er
terecl in un even-handed fashion, und that the commzssioners wixh a copy of a tupe recordang ofan executive sessian of the city
may not discri»ainate�agaanst a particular point of view. Such council, and related question
A member of the governmental 6ody rraay review the tdpe
recording of d closed meeting that tl�e mem6er did not attend.
A governmental body rnay rtdopt a pracedure far reUiewing
f
the recordzng, but it may not absolutely prohibit review by a
,��:A membea° of the 6ody. Atto�°ney General Opinion DM-227 i,c
.,� T�m e i s M o n e y. . , overruled to the extent zt cancla:des thrrt a governmental body
F� could adopt u polzcy prohi6iting u mem6er of the body from
reviewing the certified agenda or ta�e recording nf a closed
Srarf pre-funding naw to meeting. The governmental body may not, hawever, provide
save on retiree health costs the member wzth a copy of the tdpe recordirag. Nor may the
governmentaL 6ody allow a mem6er to review the tape once the
� mem6er has left a�zce.
� 3. Correct answer: c. Secdon 551.074 0£the Open
Meetings Act authorizes the governing body to hold an
Th� PARS GASB�f5/OPEB TruSt Program: executive session to discuss the appoincment, err�ployrrienz,
. 15 ye�fs of OP�B Trust Administr'ation experienCe ���ation,reassignmenc,duues,cfiscipEine,or dismissal of a
• Flexible imestment strategies & risk toleiance level public ofFicer or employee or to hear a complaint or charge
. 115 TruSt Valldated i3y prominent Texas Caunsel against an officer or employee. However, the personnel
. Maximum fiduciary protection by Union Bank exception does not apply if rhe officer or employee who is
. IRS appro�ed Section 115 OPEB Trust �e subject of rhe deliberation or hearing requests a pub�ic
. High degree of pe�sonal senrice ��ring:
Call Mi#ch Barker x II6 with PARS today! Opinion No. DM-251 (September 3, 1993)
��PARS Re: Whether u school district.r baard of trurtees may conduct
��,��t�n,,,�,
terminatfon hearings of a teucher an executiae session when a
sofl.540.63&9 mbarker@pars.org www.pars.org teacher specificAlly requests u publac hearing
�2009 Pu611s Agency Retlrement Servicas{PARS).All r�ghts reserve6.
i4 T E % A5 TO W N a c� irr • JANt1ARY2070
L-1
A board of trustees of rt sc600l district may nnt convene in House Bill 9, a cornprehensive Texas homeland security
executive sesszott far a termznation hearing of� teacber when bill. Amang many other things, che biil provides for che
the teucher.rpecificctldy requesEs that the hec�ring be open to the confidentialiry ttnder the Texas Public Information Act of
public pacrsuant to the Open Meetings Att �ariaus critical inFras�ructure and homeland securiry infor-
mation, including information collected, assembled, or
4. Correct answers: b & c. WF►ile t�e Open maincained by ar for a governmen�al enciry for the purpose
Meetings Acc protects rhe certified agenda or tape record- af preventing, detecting, res�onding to, ar investigating an
ing of an executive sessian, it does not prohibiz discussions act of terrorism or rela�ed crirninal activity an� thac
autside of the meeting, Of �ourse, other problems may
arise if a councilmember does so. a. relares to rhe staffing requiremenrs of an emergency
response grovider, including a law enforcement
Opinion Na.JM-�o�1 (JWy xi, ]989) a�er�cy, a Fire-fighting agency, or an emergency ser-
Re: LY/hether the "certifzed agenda"provisian of the Open vices agency.
Meetings Act, article 6252-17. V.T.C.S., unduly restricts b. relates to a tactical plan.
speech rights of inem6ers ofgovernmentrrl 6odies c. consists of a lisc or compilacion of pager or tele-
The Tex�s Open Meetings Act dpplies to the certified phone numbers, including mobile anc! celluiar cele-
ragenda or tape recordang kept us a record of an executive ses- phone numbers of certain emergency personnel.
sian. It does not prohibit mem6err af a governmental body or d. relaces ta an assessmenc by or for a governmencai
oaher persons in attenc%ance at an executive session fi-om mak- enuty oF rhe risk or vulnerabiliry oF persons or
ing pu6lic stdtements a6out the rubject mr�tter of that session. properry, including critical infrastructure, to an act
of terrorism or celated crireiinal activity.
a�l. Correcx a3nswer: 4. This question is based on an e, is more chan likely ta assisc in the conscruction or
actual request ehat was received by the Ciry of Arlington.In assembly of an explosive weapon or a chemital,
response to �he request and in view of the texrorist aEtacks biological, radiological, or nuclear weapon of mass
of September ].1, �he Texas I.Jegislature in 2003 passed destructi�n.
s . 1 e�.. s
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WE CAN HELP YOU SUCCEEDr �� � � � • • � , , •
,
You've got emp#y chairs, You've got hudget canstrai�ts. ` • � �
You've trfed conducting execu�ive r�cruitments � . .
in-hnuse, but without results. �
JAA1l1AHY 2910 • T E x A 5 T O W N d C I T Y j5 �_�
£ indicates rhe specific location of a cherr�ical, bio- The bill alsa provides that a governmental body is not
logical agent, toxin, or radioaccive material that is required to conduc�an open meering co deliberate che con-
more chan likely co be used in the canstruccion or fidential ir�farmatian above, but must make a tape of any
assembly of such a weapon or unpublished informa- such executive session. To withhold the information, the
tion relating to a potential vaccine or ta a device that ciry must follow the usual attomey general opinion process.
detects biological agenTs or toxins.
g. relaces co rhe decails oF the encryprion codes nr secu- G. Correct answer: d. The Ciry of Arlingron was one
riry keys far a public corr►munications system, with af the first cities to deal with this type af request several
certain exceptions. years ago. P�rsuant co Fhe Public Informarion Acr (PIA},
h. is part of a reporc eo an agency of tt�e United Scates, the city attorney tequested an open recor�s ruling on the
relates to an act af terrorism or related criminal ac�iv- question.The Texas Municipa! �,eague filed comments on
iry, and is specifical�y required to be kept confiden- the request, arguing that because che e-mail messages in
tial in order �o parxicipace in a scate-Eederal informa- question are not co�lected, assembled, or maintained by
tion sharing agreement or to ohtain federal fu.nding. or Eor a governmenral body, the governmental body does
i. identifies the technical detai�s of particular vulner- not own the e-mails or have access to them, and the acE oF
abilities of critical in��aSLrtiCtUCe [O an aCi o�Cerroi- writin� t�►e e-�Clai�s IS tlOi an "official act" ar "afficial busi-
is�n. ness" oF the co�ncilmember, the e-mail messages are not
j. with sotne exceptions, contains access codes and public information su6ject to the Act.The a�torney�eneral
passwords in the possessian of a governmental entiry disagreed and concluded�ha�rhe e-mails are subject to the
that relates to the specificatior►s, operating prace- PIA and must be released absent some specific statu�ory
dures,or locatian of a security system used to protecr exceptian:
public or private property from an act of terrofism or
rela�ed criminal accivity. OR2U01-1790 {Maq 2, 2041)
After reviewing the submitted documents, cand in light of the
- facts presented in thfs rituntion, we believe that the raeguested
home e-mai�r are puhlic records su6ject ta the Act 6ecuuse the
�� touncil memher solicited citi,zens to communicate with her as
- ��.
= `` =� ra council mem6er an her personal computer by including the
.:_
— home e-muil address on her 6usiness card. Accordingly, given
� _ that the council rtaember has macle the decirion to transact czty
�Q s
' �' �` '�� -� husiners in this rnunner, me canclude that> in thir case, you
C4KY - =:---=-�
THE COMf'LETE SERVICE LA6'� must release t�te requested informdtion in Exhibat C to the
Qralry/.rulyp'r�l d 6ud.nrrmenrrl Srror?ex Si,ic�196i reqacestnr.
Employee-owned Ana-Lab Corporafion rs one af You raise no exceptzon to the required public duclosure
fhe Country's leading envrronmenta!festing labs of th� hame e-mails. Some of the e-mai�s contain the home
serving elients ir► Texas and natronwide. e-ma�l addresses nf public employees and of�'icials. These
ANA-I.AB CORPORIITION home e-mail addresses mray be excepted from disclosxcre if the
P.O.8ox 9000•Kilgore,7exas 75663
266b Cludley Road employee or o�'ici�l has elected to keep her home telephone
943-584-0551 •Fax: 9D3-984-5914 num6er canfzdential in accordance with section SS2.024 of
www.ana-la�.eom • Email:corp@ana-lab.com the Government Code.
,Kuca� MEMBEH , �
��' `*� ; ` In 2D09, the Dallas Court ofAppeals released an opin-
�i * '�, """`""`° � = ion in the case o� Ci o D�llaf v. Dalla.r Marnin News.
r r�r��xcR�.o63�.a� �� �' f �
� 1��7oa�o� � REGfONAL�FFICES The question before the court was whether a former City
Amariilo,TX }iouston,TX oF Dallas mayar's Blac[�berry e-mails {sigz�ificanrly, e-mails
806-355-3S5B•Fax 8D6-355�773 287-333-9444•Fax 281-333-9SS4
Email:panhandl�ana-[ab.cotn Emaif:guifcoast@8na-lah.cpm thac never wenr through the ciry's e-mail system} are sub-
Dallas,TX Norman,OK ject ra the PIA.
s7z-szo-ssoo•�ax sn�2o-sso2 aos-ssz-ssao•Fa�c 4D5-292�676 The dis ute arose when re orcers from tl�e Dallas
Emait:northtex@ana-lah.com Emai1:oklahoma�ana-�ab.com p p
Austin,TX Shreveport,LR Mornang News (DMN) submicted apen records requests
s�saz�-oaas•Fax 512-821-0Z37 318-219-9300•Fax 316-2'19-89D0 seekin co ies of e-mai� messa es sent and received b the
Emai4:centex@ana-lab.com Email:arkla@ana-lab.com g � � }'
Browns�ille,TX Madison,AL mayor and various city employees. One of che requests
556-831-5437•Fax 956-83Z-6438 xss�s�-osao•Fax 256�6'E-0502 sought e-rnails from "accounts orher than their city address
Email:rg�kex@ana-lah.com Email:aiabama@ana•lah.cnm
�6 T E X A 5 T D W N 8 C I T Y • JANUAfiY 2010
L-1
to conduct city business," including the mayor's personal DMN had presented enough evidence for the trial eourt
Black6erry accoune. to have ordered che e-mails re�eased. The coure of appeals
The trial cattrt ruled thac such e-znails, made in con- then remanded the issue back to the trial court fvr Further
nettion with the transactian oF official business, are pub- proceedings.
lic information. The trial court agreed with the DMN's Concluding that none of the testimony clearly stared
atgument that when a mayor engages in cammunication whether the city had the right af access to the triayor's
by persanal e-mail relaring ro her aurhoriry as mayor, the e-rnails, rhe court of appeals stated that:
e-mail becomes "information that is collected, assembled, U�e do not know whrtt the terrns of the per.ronal
ar mair�tained under a law or ordinance or in conneceion accaunt are; who has a right of access to the devfce ar
with the �ransaction af official business by. . . or for a gov- uccount;what ty�ie ofaccess, ifany, exists;who�ays for
ernmencal body." (The quoted language is from the defini- the account,• whether the City has uny policies or con-
cion o�"public infarmation" in the P1A.) truct.r relating io personrtl e-mails or accounts; whetber
The city argued that the e-mails do noc meet the staturo- dny e-mc[ils exist falling within the News's requeru,� or
ry definition of"public informarion," regardless of whet�er other information televant to the znguiries explored in
the e-mails relate to the transaction of official 6usiness, �ddresszng the publfc's open records rights.
because[hey are ttat col�ected,assembled,or maintained by As mentioned above, che issue of pub�ic access to a ciry
or For the ciry, and the city does not own or have the right official's personal e-mail is not new. As Far back as 2001,
of access to them. (Thase terms are additional elements of a�her ciues ancf the �.eague argued that persanal e-rnails da
che definicion oF"public information" under che PIA.) not meet the definition oE"public informacian."The issue
Aher addressing various procedural issues, the court of now appears to be unreso[ved. #
appeals essentiaily cancluded rhat neither the ciry nor the
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JANUARY 2610 • T E % A 3 T D W N & G I T Y 17 I _�1
L I
TEXAS PUBLIC INFORMATION ACT
LAWS MADE EASY
i�'
T E X A S
MUNICIPAL L�:AGUF.
2021 Editor
Will Trevino
Legal Counsel
Texas Municipal League
www.tml.orq
Updated January 2022
I. Application of the Public Information Act ........................ 1
1. What types of information are subject to the Public Information Act? ............. 1
2. What types of entities are subject to the Public Information Act?....................2
3. Are there certain entities that are excluded from the definition of"governmental
body„ under the Act?....................................................................................... 3
4. Are the records of an entity that receives public funds subject to the Public
InformationAct?..............................................................................................4
5. Are records that are kept or owned by a consultant on behalf of a city subject
to the Public Information Act? .........................................................................4
6. Are court records subject to the Public Information Act?.................................4
7. Do members of city council have a special right of access to the city's records?
........................................................................................................................ 5
II. What Constitutes a Public Information Request.............. 6
8. How may a person make a written request for public information?.................6
9. May a city designate a mailing address or an e-mail address that a request for
public information must be sent to in order for the request to be considered
receivedby the city? ....................................................................................... 7
10. How does a city approve other appropriate methods for receiving a request for
publicinformation?.......................................................................................... 7
11. Is the office of the attorney general required to create a PIA request form? ... 7
12. Is a city required to allow requestors to use the OAG's PIA request form?..... 8
13. Is a city required to respond to verbal requests for copies of records? ........... 8
III. Administration of Public Information Requests .............. 8
A. Timing Issues under the Public Information Act...........................8
14. How much time does a city generally have to release requested information?8
15. What happens if after informing the requestor that the PIA request has been
completed, and the requestor fails to inspect, pick up, or pay postage and other
fees? ............................................................................................................... 9
16. What are the deadlines to take a particular action when handling a public
information request? ....................................................................................... 9
17. What can a city do if it is unclear about what information is being requested or
that the scope of the information is unduly broad?........................................ 11
18. When is a city required to ask for an open records letter ruling from the attorney
general? ........................................................................................................ 12
19. Can a city request an attorney general ruling when the city has determined the
requested information is not subject to one of the Act's exceptions?............ 13
20. Can a city withhold information that is the subject of a previous determination?
...................................................................................................................... 13
21. Can a city withhold information without asking for an open record letter ruling?
...................................................................................................................... 14
22. What must a city do if it wants to request an open records letter ruling? ...... 14
23. How does a city calculate business days? .................................................... 16
24. How long does the attorney general have to respond to a request for an open
records letter ruling? ..................................................................................... 17
25. Can a city take longer than 15 business days to determine whether the
requested information is confidential if the request is for an excessive amount
ofinformation? .............................................................................................. 17
26. May a city seek a reconsideration of an open records letter ruling that is issued
by the attorney general? ............................................................................... 17
B. Public Information Requests During a Catastrophe ...................18
27. May a city temporarily suspend the requirements of the Act during a disaster?
...................................................................................................................... 18
28. What is the city required to do if it elects to suspend the Act because it has
been impacted by a catastrophe? ................................................................. 18
29. For how long can the requirements of the Act be suspended? ..................... 19
30. What happens to requests for public information that are received before or
during a suspension period(s)?..................................................................... 20
31. What is the city required to do if the city decides to extend the initial suspension
period? .......................................................................................................... 20
32. How does the city submit the catastrophe notice forms to the attorney general's
office? ........................................................................................................... 20
33. Is the attorney general's office required to post these catastrophe forms on its
website?........................................................................................................ 21
34. If the offices are closed, working with a skeleton crew, or working remotely,
does the city have to fill out a catastrophe notice form and submit it to the
attorney general's office? .............................................................................. 21
C. Rights and Duties of the Governmental Body and of the Public
Information Requestor ..................................................................21
35. Is a city required to post information regarding the Public Information Act?.. 21
36. What inquiries can a city make of a public information requestor?................ 21
37. Does the name and address of an individual who requests public information
become public information? .......................................................................... 22
38. Can a requestor choose the format (paper, computer disc, etc.) in which the
city must provide requested information?...................................................... 22
39. Is a city required to create a record if none exists?....................................... 22
40. Does a city have to comply with standing requests for information?............. 23
41. Is a city required to compile statistics, perform research, or provide answers to
questions in response to a PIA request?....................................................... 23
42. Is a city required to locate information that is not organized or retrievable by
the type of information that is requested? ..................................................... 23
43. Must a city buy new software or equipment to accommodate a request for
information in a certain format?..................................................................... 24
44. Can requestors insist on the right to personally use the governmental body's
equipment to access public information? ...................................................... 24
45. Do requestors have a right to bring in their own copier to make copies of public
records? ........................................................................................................ 24
46. Can requestors require a city copy information onto supplies provided by the
requestor?..................................................................................................... 25
47. Does a city have to provide information that is also available commercially?25
48. Does a city have to provide information that is copyrighted in response to a PIA
request? ........................................................................................................ 25
49. Is a city required to respond to repeated requests for the same information?
...................................................................................................................... 25
D. Temporary Custodian....................................................................26
50. Who is a "temporary custodian"? .................................................................. 26
51. Does a temporary custodian have a personal or property right to public
information that was created or received while acting in their official capacity?
...................................................................................................................... 26
52. Is a temporary custodian required to retain public information on his/her
privately owned device?................................................................................ 27
53. What is a temporary custodian required to do if the city receives a request for
public information that includes public information in the custodian's
possession, custody, or control?................................................................... 27
54. When is a request for public information considered received by the city if a
request to surrender or return public information is requested from a temporary
custodian?..................................................................................................... 27
55. What is the public information officer's duty concerning retrieving public
information from a temporary custodian?...................................................... 27
E. Contracting Entities Required to Provide Contracting Information
........................................................................................................28
56. What entities are required to provide contracting information to a city when the
city receives a PIA request concerning information in the custody or possession
ofthe entity?.................................................................................................. 28
57. What is required of a contracting entity that has custody or possession of
contracting information(PIA contracting entity requirements)?...................... 28
58. What are the deadlines to request an open records letter ruling when a city
receives a PIA request that includes contracting information that must be
obtained from a contracting entity? ............................................................... 29
59. If the city does not receive the requested contracting information from the
contracting entity in time to request an open records letter ruling, does the
information become public? .......................................................................... 30
60. May a city accept bids or contract with a contracting entity that does not comply
with the PIA contracting entity requirements? ............................................... 30
61. What is a city required to do if a contracting entity is not in compliance with the
PIA contracting entity requirements? ............................................................ 30
62. May a city terminate its contract with a contracting entity? ........................... 31
63. What is considered "adequate steps to ensure future compliance" for the
purpose of not terminating a contract with a contracting entity?.................... 31
64. Are there certain contracts that a city may not terminate for not complying with
the PIA contracting entity requirements? ...................................................... 31
65. May a city include and enforce more stringent requirements than the PIA
contracting entity requirements in its contracts with contracting entities? ..... 32
66. Do the PIA contracting entity requirements create a cause of action?.......... 32
67. May a requestor file a suit for a writ of mandamus to force a city or contracting
entity to comply with the PIA contracting entity requirements? ..................... 32
IV. Statutory Exceptions That Allow Information to Be
Withheld ............................................................................. 32
A. Information that Is Presumed Public............................................32
68. Is there a list of items that are presumed to be public information? .............. 32
69. What "contracting information" is presumed to be public information?.......... 32
70. Is a discretionary exception considered "other law" for the purpose of
withholding public information? ..................................................................... 33
71. Is there "other law"which may be relied upon to withhold information presumed
to be public under section 552.022 of the Government Code? ..................... 33
B. General Issues Regarding Confidential Records ........................34
72. Is there a laundry list of items that are confidential under the Act and other state
laws?............................................................................................................. 34
73. Can staff promise confidentiality for certain records that are provided to the
city?............................................................................................................... 34
74. Can a city substitute a new document or produce a redacted copy of a record
in response to a public information request?................................................. 34
C. Information about Public Officials/Employees ............................34
75. Can a governmental body disclose a public official or public employee's home
address, home phone number, emergency contact information, social security
number, or family information?...................................................................... 34
76. Can a city withhold a public official or public employee's home address, home
phone number, emergency contact information, social security number, or
family information without requesting an attorney general ruling?................. 35
77. Are personal notes kept by an official subject to the Act?............................. 36
D. Personnellnformation...................................................................36
78. What information within a public employee's personnel file is considered public
information? .................................................................................................. 36
79. Can a city disclose the dates of birth of public employees? .......................... 37
80. Do employees have a special right of access to information contained in their
ownpersonnel file? ....................................................................................... 37
81. Are the personnel files of police officers and/or firefighters in a city that has
adopted civil service treated differently under the Act?................................. 38
82. Are there certain work schedules or time sheets considered confidential under
theAct?......................................................................................................... 38
E. General Exception to Withholding Information ...........................38
83. Can a city withhold social security numbers without requesting an attorney
general's ruling?............................................................................................ 38
84. Can a city withhold the dates of birth of inembers of the public? .................. 39
85. Are e-mail addresses protected from disclosure under the Act?................... 39
86. What information is protected from disclosure under the exception for intra-
agency and inter-agency memoranda or letters?.......................................... 39
87. Can a city release copies of certified agendas or recording of closed meetings
(executive sessions)?....................................................................................40
F. Law Enforcement Information ......................................................41
88. What information within the records of a law enforcement entity may be
withheld?.......................................................................................................41
89. Can a city request a previous determination for records under the "law
enforcement exception"?...............................................................................43
90. Can motor vehicle accident report information be disclosed under the Act?.44
91. Can a city release a body worn camera recording? ......................................46
92. Is certain crime victim information confidential?............................................48
G. Lawsuit or Other Legal Information..............................................48
93. What type of information is excepted from disclosure under the attorney/client
privilege?.......................................................................................................48
94. When is information that relates to pending or anticipated litigation protected
fromdisclosure?............................................................................................ 50
95. When can a city withhold attorney work product? ......................................... 50
H. Government-Operated Utility Information ...................................51
96. Can a city-operated utility disclose customers' personal information? .......... 51
97. What information about a public power utility is confidential? ....................... 52
I. Purchasing/Procurement Information..........................................54
98. What information must be disclosed if there is a public information request
regarding a competitive bid? ......................................................................... 54
99. What information is protected under the exception for trade secrets or the
exception for commercial or financial information that would give an advantage
tocompetitors?.............................................................................................. 54
100. What information is protected under the exception for proprietary information
submitted to a city? ....................................................................................... 55
101. Which type of contracting information may not be withheld as a trade secret
and certain commercial or financial information (section 552.110 of the
Government Code) or proprietary information (section 552.1101 of the
Government Code)?...................................................................................... 56
102. What information regarding the acquisition of real estate or personal property
by a city may be withheld? ............................................................................ 58
J. Economic Development Information............................................58
103. Is information related to economic development negotiations is public?...... 58
104. May an economic development entity withhold information related to economic
development negotiations under section 552.131 of the Government Code?59
K. Health Information .........................................................................59
105. What is "protected health information"? ........................................................ 59
106. Is protected health information considered public information under the PIA?
...................................................................................................................... 60
107. Is information provided by an out-of-state health care provider protected from
disclosure under the PIA? ............................................................................. 60
108. Is information regarding communicable diseases protected from disclosure
underthe PIA? .............................................................................................. 60
L. Transit Authority or Department Held Information......................60
109. Is information held by a transit authority or department protected from
disclosure under the PIA? ............................................................................. 60
V. Ability to Recover Costs for Providing Copies of Public
Information ........................................................................ 61
110. What is the general ability of a city to charge for documents? ...................... 61
111. When can a city recover labor charges for a public information request?..... 61
112. Can a city charge for the labor cost to retrieve materials from a remote location?
...................................................................................................................... 62
113. When and how much may a city charge for overhead when handling a public
information request? ..................................................................................... 63
114. Can a city recover costs for any modifications to its computer program that are
necessary to respond to a public information request?................................. 63
115. Can a city require a requestor pay the costs for producing the records prior to
the city mailing out the requested information?............................................. 63
116. Can a city refer a requestor to the city's website if the public information being
requested is available on the city's website?................................................. 63
117. What duty does a city have to inform a requestor of the estimated charges for
copies of or access to public information?..................................................... 64
118. Can a city require a monetary deposit or bond in order to comply with a public
information request? ..................................................................................... 65
119. Can a city reduce or waive the cost for making copies of public information?
...................................................................................................................... 65
120. Can a city count multiple public information requests from the same requestor
as a single request for the purpose of calculating cost?................................ 65
VI. Redundant Requests and Vexatious Requestors .......... 66
121. What can a city do to deal with redundant or repetitive PIA requests? ......... 66
122. What is a vexatious requestor?..................................................................... 66
123. How can a city deal with vexatious requestors who ask for voluminous amounts
ofinformation? .............................................................................................. 66
124. Are any requestors exempted from Section 552.275? .................................. 67
VII. Enforcement of the Public Information Act.................... 68
125. May a requestor sue a city for failure to comply with the Act?....................... 68
126. What civil remedies can be brought against a city for failure to comply with the
Act?............................................................................................................... 69
127. What are the criminal penalties for noncompliance within the Act?............... 70
VIII. Additional Information on the Public Information Act... 71
128. How long must a city retain various types of records? .................................. 71
129. Are all elected or appointed governmental officials required to take PIA
training? ........................................................................................................ 72
130. Where can a city get more information about the Public Information Act?.... 72
Acknowledgments ........................................................................................73
Texas Public Information Act Made Easy
This "made easy" publication provides answers in easy-to-understand language to the
most frequently asked questions regarding the Public Information Act ("PIA" or "Act"). In
a question-and-answer format, this article provides guidance to public officials and
members of the public on the most frequently asked questions on the Act. For example,
this article addresses: the types of records and entities that fall under the Act; the time
deadlines and mandatory notices that apply when a governmental body handles a PIA
request; and when a governmental body is required to ask for an attorney general open
records letter ruling.
The stakes are high for public officials who handle PIA requests. There are strict time
lines for making determinations on what records to release, and public officials must make
such decisions knowing that there are potential criminal penalties if the governmental
body releases information that is considered confidential under state law. Similarly, public
officers face criminal penalties if they refuse to release information that is considered
open to the public.
TML is available to answer questions regarding the Act from city officials, who should
nonetheless consult with their local legal counsel regarding the application of the law to
the facts of each particular situation. Additionally, government entities, and their elected
officials and employees, and members of the public, can seek advice on the PIA from the
Attorney General's Open Government Hotline at (877) 673-6839 or (512) 478-6736, or by
visiting its website.
I. Application of the Public Information Act
1. What types of information are subject to the Public Information Act?
Public information includes:
Any information that is written, produced, collected, assembled, or maintained under a
law or ordinance or in connection with the transaction of official business:
1) by a governmental body;
2) for a governmental body and the governmental body:
a. Owns the information;
b. Has a right of access to the information; or
c. Spends or contributes public money for the purpose of writing,
producing, collecting, assembling, or maintaining the information; or
3) by an individual officer or employee of a governmental body in the officer's
or employee's official capacity and the information pertains to official
business of the governmental body.�
Also, information is considered to be "in connection with the transaction of official
business" if: (1) the information is created by, transmitted to, received by, or maintained
by an officer or employee of the governmental body in the officer's or employee's official
capacity, or a person or entity performing official business or a governmental function on
behalf of a governmental body; and (2) the information pertains to official business of the
governmental body.2 Additionally, any electronic communication created, transmitted,
received, or maintained on any device if the communication is in connection with the
transaction of official business is public information.3
The Act applies to records regardless of their format. It includes information that is
maintained in: paper; film; a magnetic, optical, solid state, or other device that can store
an electronic signal; tape; Mylar; any physical material on which information may be
recorded, including linen, silk, and vellum, as well as other mediums specified under law.4
The general forms in which the media containing public information exist include a book,
paper, letter, document, e-mail, Internet posting, text message, instant message, other
electronic communication, printout, photograph, film, tape, microfiche, microfilm,
' Tex. Gov't Code § 552.002(a).
2 Id. § 552.002(a-1).
3 Id. § 552.002(a-2).
4 Id. § 552.002(b).
1
photostat, sound recording, map, and drawing and a voice, data, or video representation
held in computer memory.5
2. What types of entities are subject to the Public Information Act?
The Act applies to a "governmental body."6 The term "governmental body" has a broad
definition that includes in applicable part:
1) Boards, commissions, departments, committees, institutions, agencies,
or offices that are within or are created by the executive or legislative
branch of state government and that are directed by one or more elected
or appointed members;
2) A city governing body;
3) A deliberative body that has rulemaking or quasi-judicial power and that
is classified as a department, agency, or political subdivision of a city or
county;
4) A county commissioners court;
5) A school district board of trustees;
6) A local workforce development board;
7) The governing board of a special district;
8) Nonprofit corporations that are eligible to receive funds under the federal
community services block grant program and that are authorized by the
state to serve a geographic area of the state;
9) A confinement facility operated under a contract with any division of the
Texas Department of Criminal Justice;
10) A civil commitment housing facility owned, leased, or operated by a
vendor under contract with the Texas Civil Commitment Office;
11) Entities that receive public funds in the current or preceding state fiscal
year to manage the daily operations or restoration of the Alamo, or an
entity that oversees such an entity;
12) The part, section or portion of a public or private entity that spends or
that is supported in whole or in part by public funds; and
5 Id. § 552.002(c).
6 Id. § 552.003(1)(A). Although the term "governmental body" is defined by the Act, for purposes of this
handbook the phrase "governmental body' is used interchangeably with the words "city", "town" or
"village".
2
13) Certain property owners' associations.'
In other words, all governmental entities and certain non-governmental entities are
subject to the Act. Additionally, entities that are considered departments, agencies, or
political subdivisions of a city or county are also subject to the Act if the involved entity
has rule-making or quasi-judicial powers.$ For example, zoning boards of adjustment
have rule-making or quasi-judicial powers and are considered agencies or departments
of a city. Therefore, the records of such entities would be subject to the Act.
3. Are there certain entities that are excluded from the definition of
"governmental body" under the Act?
There are two entities that are excluded from the definition of governmental body under
the Act. The first entity is the judiciary.9 (See Question 6 for more detail.) The second is
an economic development entity whose mission or purpose is to develop and promote
the economic growth of a state agency or political subdivision with which the entity
contracts if:
• the entity does not receive $1 million or more in public funds from a single
state agency or political subdivision in the current of preceding state fiscal
year; or
• the entity does not have the authority to make decisions or
recommendations on behalf of a state agency or political subdivision
regarding tax abatements or tax incentives; or
• the entity:
o does not require an officer of the state agency or political subdivision
to hold office as a member of the board of directors of the entity;
o does not use staff or office space of the state agency or political
subdivision for no or nominal consideration, unless the space is
available to the public;
o track the entity's receipt and expenditure of public funds separately
from the entity's receipt and expenditure of private funds to a
responsible degree; and
o provides, at least quarterly, public reports to the state agency or
political subdivision regarding work performed on behalf of the state
agency or political subdivision.�o
' Id. §§ 552.003(1)(A); .0036.
$ Id. § 552.003(1)(A)(iv).
9 Id. § 552.003(1)(B)(i).
'o Id. § 552.003(1)(B)(ii).
3
4. Are the records of an entity that receives public funds subject to the
Public Information Act?
An entity that is supported in whole or in part by public funds or that spends public funds
is a governmental body under the Act." Public funds are defined as "funds of the state
or of a governmental subdivision of the state."12 The Texas Supreme Court has
determined that entities that are "`supported in whole or part by public funds' [...] include
only those private entities or their sub-parts sustained, at least in part, by public funds,
meaning they could not perform the same or similar services without the public funds."13
Thus, only those private entities that are the functional equivalent of the government and
that are dependent on public funds to operate as a going concern are subject to the Act.
Finally, it should be noted that certain entities are specifically made subject to the Act
under the state law that governs that entity. For example, economic development
corporations are specifically made subject to the provisions of the PIA under the
Development Corporation Act found in Chapters 501 through 507 of the Local
Government Code.14
5. Are records that are kept or owned by a consultant on behalf of a city
subject to the Public Information Act?
The fact that a private entity may own or retain a record does not mean the record is not
subject to release under the Act. For example, if a consultant maintains or holds records
for a city, the documents are still considered public information, provided that the city
owns the information or has a right of access to it.15
It is important to note that a city usually cannot contract the right to access documents
that are held by a consultant if the information would otherwise be considered public. For
example, the attorney general held that a city manager could not contract away the
public's right to inspect a list of applicants for a cityjob even though the list was developed
by a private consultant for the city and the contract provided that the ownership and
control of the list remained with the consultant.16
6. Are court records subject to the Public Information Act?
Judicial records, including municipal court records, are not subject to the Act." Courts
must look to the rules adopted by the Texas Supreme Court to determine the court's duty
" Id. § 552.003(1)(A)(xv)
12 Id. § 552.003(5).
13 GreaterHouston P'ship v. Paxton, 468 S.W.3d 51, 63 (Tex. 2015).
14 Tex. Loc. Gov't Code § 501.072.
15 Tex. Gov't Code § 552.002(a)(2)(A)-(B). See also Tex. AtYy Gen. ORD-363 (1983).
16 Tex. Att'y Gen. ORD-585 (1991).
" Tex. Gov't Code § 552.003(1)(B)(i).
4
to provide access to court records.�$ Additionally, courts must consider court rulings,
attorney general opinions and certain state statutes that give the public a right to obtain
copies of court records. For example, higher courts have held that there is an "open
courts" concept that must guide judges in giving public access to court documents. This
legal concept provides that the public has a right to inspect and copy judicial records
subject to the court's inherent power to control access to such records in order to preserve
justice. In other words, the public's right of access to court documents is not an absolute
right.19
It should be noted that the public's right to access court records is in addition to the right
of parties to a lawsuit to obtain information through discovery or through other court
procedures. Legislation has clarified that subpoenas and motions for discovery are not
considered a request for information under the Act.20 Such requests should be handled
as required by the applicable civil or criminal procedural statutes. Additionally, state law
has been amended to indicate that probable cause affidavits for a search warrant are
considered public records once the warrant has been executed.21 The magistrate who
issued the warrant must make the affidavits available for public inspection in the court
clerk's office.
7. Do members of city council have a special right of access to the city's
records?
A current member of city council who requests information from the city in his/her official
capacity has a special right of access to the requested information. The Act is not
implicated when such request is made as the release of the documents is not viewed as
a release to the general public.22
The exceptions to disclosure that might otherwise apply to an open records request from
a member of the public would generally not apply to such request.23 In other words,
information that would typically be considered confidential under the Act would be
releasable. However, the ability to release said information to elected officials may be
limited by the state or federal law that pertains to such documents. Furthermore, charges
for expenses associated with fulfilling the request that are usually assessed to members
of the public under the Act would not be imposed upon a member of council.
'$ Id. § 552.0035. See Tex. R. Jud. Admin. 12 reprinted in Tex. Gov't Code, tit. 2, subtit. F app.
19 Nixon v. Warner Communications, Inc., 435 U.S. 589 (1978); Ashpole v. Millard, 778 S.W.2d 169(Tex.
App. — Houston [1st Dist.] 1989, no writ); Tex. AtYy Gen. Op. No. DM-166 (1992), Tex. AtYy Gen.
ORD-25 (1974).
20 Tex. Gov't Code § 552.0055.
21 Tex. Code Crim. Proc. Art 18.01(b). See also Houston Chronicle Publishing Co. v. Woods, 949
S.W.2d 492, 499 (Tex. App. —Beaumont 1997, no writ).
22 Tex. Att'y Gen. Op. No. JM-119 (1983); Tex. Att'y Gen. LO-93-69.
23 Tex. Att'y Gen. Op. No. JM-119 (1983).
5
Because a release of information to a mayor or councilmember requesting such
information in their official capacity is not a release to the public, the recipient must be
cautious in maintaining the documents in the same way they are maintained by the
governmental body as a whole. The Act imposes criminal provisions for the release of
confidential information.24 As a result, a member of the governing body who receives
confidential information must ensure that it remains confidential. Disclosing confidential
information would constitute official misconduct, and would be considered a misdemeanor
punishable by either a fine of up to $1,000, confinement in countyjail for up to six months,
or both.25
If, however, a member of the governing body requests city records in his/her individual
capacity for personal use, then the request would be treated like any other open records
request from a member of the public. The exceptions to disclosure under the Act would
apply, and the custodian of records is prohibited from releasing otherwise protected
information to the individual member of council. Additionally, PIA charges could be
assessed against the mayor or councilmember if the information is requested in an
individual capacity.
II. What Constitutes a Public Information Request
8. How may a person make a written request for public information?
A person can make a written request for public information under the Act only by
delivering the request by one of the following methods to the public information officer:
• United States mail;
• e-mail;
• hand delivery; or
• any other appropriate method approved by the governmental body,
including fax and electronic submission through the governmental body's
website.26
24 Tex. Gov't Code § 552.352.
25 Id. § 552.352.
26 Id. § 552.234(a).
6
9. May a city designate a mailing address or an e-mail address that a
request for public information must be sent to in order for the request
to be considered received by the city?
A city may designate one mailing address and one e-mail address for receiving requests
for public information.27 The city shall post the designated mailing address and e-mail
address on the city's website and on its required PIA informational sign, and provide the
addresses to any person on request.28
Once the city has posted the designated mailing address and e-mail address on its
website and PIA sign, the governmental body is not required to respond to a request for
public information unless the request is received at the designated mailing address,
designated email address, and/or hand delivered. In addition, the governmental body may
create additional methods to submit, but those methods may not eliminate any of the
methods in the previous sentence. 29 (See next question.)
10. How does a city approve other appropriate methods for receiving a
request for public information?
A city is considered to have approved other appropriate methods for receiving a request
for public information only if the city includes a statement that a request for public
information may be made by these other appropriate methods on the required PIA sign
or on the city's website.3o
11. Is the office of the attorney general required to create a PIA request
form?
The office of the attorney general (OAG) is required to create a PIA request form that will
provides a requestor with the option of excluding from a request, information that the
governmental body determines is confidential or subject to an exception to disclosure that
the governmental body would assert if the information were subject to the request.31 The
PIA request form can be obtained from the OAG's website.
27 Id. § 552.234(c).
28 Id. § 552.234(c); (d).
29 Id. § 552.234(d).
3o Id. § 552.234(b).
31 Id. § 552.235(a).
7
12. Is a city required to allow requestors to use the OAG's PIA request
form?
A city is not required to allow requestors to use the OAG's PIA request form. However, if
the city does allow a requestor to use the OAG's PIA request form, the city is required to
post the OAG's PIA request form on its website, if it maintains a website.32
13. Is a city required to respond to verbal requests for copies of records?
A governmental body may respond to a verbal request for information, but the Act is only
triggered when the requestor requests for information in writing.33 If a city provides copies
of records upon a verbal request, the city must be consistent in its treatment of all
requestors.34 In other words, if a city does not require a written request from certain
individuals, it should not insist on a written request from others.
III. Administration of Public Information Requests
A. Timing Issues under the Public Information Act
14. How much time does a city generally have to release requested
information?
There is often a misconception that the Act requires that public information be produced
within ten business days of a written request for information . The standard under the Act
is actually that the city must "promptly produce" the public information.35 Further, the Act
defines "promptly" as "as soon as possible under the circumstances, that is within a
reasonable time, without delay".36 What is considered reasonable and prompt will vary
depending on the number of documents sought by the requestor. In certain
circumstances, the records can be produced in less than ten business days. However,
requests for a substantial number of documents may take several weeks to produce.
If it will take the city more than ten business days to provide the records, the city must
certify that fact in writing to the requestor.37 In its notice to the requestor, the city must
indicate a set date and hour within a reasonable time that the information will be available
for inspection or duplication.38
32 Id. § 552.235(b).
33 �d. §§ 552.234, .301(a). See also Tex. Att'y Gen. ORD-304 (1982).
34 Tex. Gov't Code § 552.223.
3s Id. § 552.221(a). See also Tex. Att'y Gen. ORD-664 (2000).
36 Tex. Gov't Code § 552.221(a), Tex. Att'y Gen. ORD-467 (1987), ORD-664 (2000).
37 Tex. Gov't Code § 552.221(d).
3s Id.
$
15. What happens if after informing the requestor that the PIA request has
been completed, and the requestor fails to inspect, pick up, or pay
postage and other fees?
If the requestor fails to inspect or duplicate public information in the governmental body's
office on or before the 60t" day after the date the information is made available, or fails to
pay postage and any other Act charges on or before the 60th day after the date the
requestor is informed of the charges, then the request is considered withdrawn.39
16. What are the deadlines to take a particular action when handling a
public information request?
The amount of time that a city has to produce copies of governmental records will vary
depending on the amount of information that is requested. However, there are six
situations that present a timing deadline for cities to take a particular action when handling
a public information request.
1) Notice to Requestor that the Governmental Body Needs Additional
Time to Produce Records.40 If the city is unable to produce a requested
record within ten business days for inspection or for duplication, the city
must certify that fact in writing to the requestor and set a date and hour
within a reasonable time that the information will be available for inspection
or for duplication.
2) Notice to Requestor that the Governmental Body Needs Additional
Time to Produce Records That Are in Active Use or in Storage.41 If
the city needs additional time to produce a record because it is in active
use or because it is in storage, the city must notify the requestor of this fact
in writing. This notice must be given within ten business days of the city's
receipt of the request for the documents.42 The notice must set a date and
hour within a reasonable time that the information will be available for
inspection or duplication. It should be noted that the fact that a document
has not been formally approved by the city usually would not justify a delay
of the document's release under the "active use" provision.43
39 Id. § 552.221(e).
ao �d. § 552.221(d)
41 Id. § 552.221(c).
42 Id. § 552.221(d).
43 Tex. AtYy Gen. ORD-148 (1976) (faculty member's file not in active use the entire time the promotion
is under consideration). But see Tex. AtYy Gen. ORD-225 (1979) (secretary's handwritten notes are in
active use while the secretary is typing minutes of the meeting from them).
9
3) Notice to Requestor of Programming or Manipulation Costs.44 If
production of the requested information in a particular format would require
additional computer programming or manipulation of data, the city must
provide a written notice of this fact to the requestor. The notice must
indicate:
a. that the information is not available in the requested form;
b. a description of the forms in which the information is available;
c. a description of any contract or services that would be required to
provide the information in the requested form;
d. as estimated cost providing the information in the requested form;
and
e. the time that it would take to provide the information in that form.45
Generally, this notice must be provided to the requestor within 20 days of
the city's receipt of the request.a6
4) Request by the Governmental Body for an Open Records Letter Ruling
from the Attorney General.47 If a city plans to withhold certain documents
or information, it usually must request a ruling from the attorney general on
the ability to withhold such information. The written request for an attorney
general ruling must be made within ten business days after the date the city
receives the written request for information. Also, certain notices must be
sent:
a. Notice to Requestor that the Governmental Bodv Souqht an Attornev
General's Open Records Letter Rulinq.48 A city must give written
notice to a requestor if the city seeks an attorney general ruling on
the request. A copy of the city's communication to the attorney
general must be provided to the requestor, though it may be redacted
if the copy itself discloses the requested information. Both must be
given within ten business days of the city's receipt of the request for
the documents.
b. Notice to Person or Entity with Proprietary Interest in Information of
Attorney General's Open Records Letter Ruling Request.49 If a PIA
44 Tex. Gov't Code § 552.231(a).
as Id. § 522.231(b).
46 Id. § 552.231(c).
47 Id. § 552.301(a).
48 Id. § 552.301(d).
49 Id. § 552.305(d)(1).
10
request may result in the release of proprietary information, the city
must make a good faith attempt to notify the person or entity that has
such an interest in the open records letter ruling request. The written
notice must be sent by the city within ten business days of the date
the city received the original request for the information. This notice
must include:
i. a copy of the written request for the information; and
ii. a statement, in a form prescribed by the attorney general, that
the person is entitled to submit a letter, brief, or memorandum
to the attorney general in support of withholding the
information.5o
The notice must inform the person that any briefing must include
each reason why the person believes the information should be
withheld. The person with a proprietary interest must submit his/her
brief within ten business days of the date the person receives the
written notice from the city. Also, the person who submits a brief to
withhold the information must provide a copy of his/her brief to the
requestor.51
17. What can a city do if it is unclear about what information is being
requested or that the scope of the information is unduly broad?
If a city in good faith has determined that the PIA request is unclear or that the scope of
the information being asked for is unduly broad, the governmental body may ask the
requestor to clarify or narrow the scope of the request.52 If the city asks the requestor to
clarify or narrow a request, the ten business day deadline to request an attorney general's
open records letter ruling is measured from the date the request is clarified or narrowed
as long as the governmental body is acting in good faith.53 In other words, the city has
ten business days from the day that the requestor clarifies or narrows his/her request to
ask for a ruling from the attorney general's office.
The written request for clarification, discussion or additional information to the requestor
must contain a statement as to the consequence of failing to timely respond to the request
for clarification, discussion or additional information.54 If the city sends such written
request to the requestor and the requestor does not send a written response by the 61St
so �d. § 552.305(d)(2).
51 Id. § 552.305(e).
52 Id. § 552.222(b)
53 City of Dallas v. Abbott, 304 S.W.3d 390, 384 (Tex. 2010).
54 Tex. Gov't Code § 552.222(e).
11
day, the requestor's PIA request is considered withdrawn.55 For the request to be
considered withdrawn, the governmental body must send the request for clarification,
discussion or additional information to the requestor by certified mail if the city has the
requestor's physical or mailing address.56 If the PIA request is received by e-mail, the city
can send the written request for clarification, discussion or additional information by e-
mail.57 Also, if the requestor does not send an e-mail written response by the 61St day to
the e-mail requesting clarification or narrowing, the request is considered withdrawn.58
18. When is a city required to ask for an open records letter ruling from the
attorney general?
In almost all cases, a city is required to ask the attorney general for a ruling if the city
wants to withhold requested information.59 The fact that a particular responsive document
may arguably fall within one of the statutory exceptions to disclosure does not in itself
eliminate the need to ask for an open records letter ruling. Unless the city can point to a
previous determination that addresses the exact information that the city now wants to
withhold60 or to a section of the Act that allows a city to withhold information without asking
for a ruling,61 the city must request a ruling to withhold the information. In addition, if
determining whether a particular record may be withheld under a statutory exception
requires a review and consideration of applicable facts, the city should request an
attorney general ruling before it withholds the record.
A request for an attorney general ruling must be made, in most cases, within ten business
days from the date the city receives the PIA request.62 Such a request, in most cases,
can only be made by the city.63 If the city does not make such a request within the
deadline, the information is presumed to be open to the public as a matter of law and the
information must be released.64 The presumption of openness and the duty to release the
information can only be overcome by a compelling reason that the information should not
be released. A compelling reason may in certain cases involve a showing that the
information is deemed confidential by some other source of law or that third-party
55 Id. § 552.222(d).
56 Id. § 552.222(f).
57 Id. § 552.222(g)(1).
5s Id. § 552.222(g)(2).
59 Id. § 552.301(a).
6o See Tex. Att'y Gen. ORD-673 (2001) (what constitutes a "previous determination"); Tex. AtYy Gen.
ORD-435 (1986) (school district cannot unilaterally decide that material fits within exception unless the
school district has previously requested a determination involving the exact same material); Houston
Chronicle Publishing Co., v. Mattox, 767 S.W.2d 695, 698(Tex. 1989)(specifying that Attorney General
is authorized to determine what constitutes "previous determination.").
61 See, e.g., Tex. Gov't Code §§ 552.130(c); .136(c), .147(b).
62 Tex. Gov't Code § 552.301(b). See id. §§ 552.371(d), .371(e)(3); Tex. Occup. Code § 1701.662.
63 Tex. AtYy Gen. ORD-542 (1990). See Tex. Gov't Code §§ 552.1101(c), .131(b-1).
64 Tex. Gov't Code § 552.302. See id§ 552.371(e)(1)-(2). See Tex. AtYy Gen. ORD-319 (1982).
12
interests are at stake.65 It should be noted that if the city is going to release all of the
requested information, there is no need to ask for a ruling.
19. Can a city request an attorney general ruling when the city has
determined the requested information is not subject to one of the Act's
exceptions?
The attorney general has concluded that a city may not request an open records letter
ruling from the attorney general if the city reasonably believes the requested information
is not excepted from required disclosure. Instead, the city must promptly produce the
requested public information to the requestor.66
20. Can a city withhold information that is the subject of a previous
determination?
The Act provides that a city must request an attorney general open records letter ruling if
the governmental body wishes to withhold requested information unless there has been
a previous determination about that particular information.67 The Act does not define
previous determination. However, the attorney general has concluded there are two types
of "previous determinations."68
The first type of previous determination exists so long as: (1) the law, facts, and
circumstances on which the ruling was based have not changed and where the requested
information is precisely the same information which was addressed in a prior attorney
general ruling; (2) the ruling is addressed to the same governmental body; and (3) the
ruling concludes that the information is or is not excepted from disclosure.
The second type of previous determination is an attorney general decision which may be
relied upon so long as: (1) the elements of law, facts, and circumstances are met to
support the previous decision's conclusion; (2) the decision concludes that a specific,
clearly delineated category of information is or is not excepted from disclosure; and (3)
the decision explicitly provides that the governmental body or type of governmental body
from which the information is requested, in response to future requests, is not required to
seek a decision from the attorney general in order to withhold the information. For
example, all cities may withhold direct deposit authorizations; Form I-9s and attachments;
W-2 and W-4 forms; certified agendas and tapes (recordings) of closed meetings; and
fingerprints without the necessity of requesting an attorney general ruling as to whether
the applicable exception applies.69
65 Tex. AtYy Gen. ORD-150 (1977).
66 Tex. AtYy Gen. ORD-665 (2000).
67 Tex. Gov't Code § 552.301(a).
68 Tex. Att'y Gen. ORD-673 (2001).
69 Tex. Att'y Gen. ORD-684 (2009).
13
21. Can a city withhold information without asking for an open record
letter ruling?
Certain provisions of the Act allow a city to withhold information without asking for an
open records letter ruling from the attorney general's office. These sections include:
1) Information related to driver's license, motor vehicle title or registration, or
personal identification documents;70
2) Credit cards, debit cards and access device numbers;"
3) Certain information maintained by a family violence shelter center, victim of
trafficking shelter center, and sexual assault program;72
4) Personal information of current or former public employees and officials;73
and
5) Social security numbers of any living individual.74
All of these sections, except for social security numbers, require the city to send a specific
letter to the requestor that explains that certain information has been redacted without
asking for a ruling, but that the requestor has the right to appeal to the attorney general's
office for a ruling on the withheld information.75 The attorney general's office has form
letters for those sections that require these letters that can be found on its website. If the
requestor chooses to appeal to the attorney general's office, then the city will receive a
notice from the attorney general's office and will have to submit the required information
for a review of the redacted information.76
22. What must a city do if it wants to request an open records letter ruling?
If a city wants to withhold information, it has ten business days from the date it receives
the request to ask for an open records letter ruling from the attorney general. By the tenth
business day, the city must do the following:
1. Write the attorney general requesting an open records letter ruling and
state which exceptions apply to the requested information." The
original request for a ruling must indicate the specific exception(s) that the
city is relying on to withhold the information. If the city fails to cite the
70 Tex. Gov't Code § 552.130.
" Id. § 552.136(c).
7z Id. § 552.138(c).
73 Id. §§ 552.024(c); .117(a)(17); .1175(a)(17); .1175(f).
74 Id. § 552.147.
75 Id. §§ 552.024(c-1)-(c-2); .1175(g) - (h); .130(d)-(e); .136(d)-(e); .138(d)-(e).
76 1 Tex. Admin. Code §§ 63.11-63.16.
" Tex. Gov't Code § 552.301(b).
14
applicable exceptions in this request, the city generally will be barred from
raising the exceptions in any additional briefing that it may provide.
2. Provide the requestor with a written statement that the city wishes to
withhold the information and that it has asked the attorney general for
a ruling.'$
3. Provide the requestor with a copy of the city's correspondence to the
attorney general.79
4. Make a good faith attempt to notify any affected third parties of the
request.80
If in its original request for a ruling the city does not provide comments explaining how the
specific exceptions apply to the requested information, the city has an additional five
business days (a total of 15 business days from the date the city body received the PIA
request f) to provide the attorney general with additional written documentation that
supports withholding the requested information.$' By the 15th business day, the city must
submit to the attorney general:
1. Written comments explaining how the claimed exceptions apply.82
2. A copy of the written request for information.83
3. A signed statement or evidence sufficient to establish the date the
request for information was received.84 It is important to note that if the
city requests the requestor clarify or narrow an unclear or unduly broad
request, the ten business day deadline for requesting an open records letter
ruling is measured from the date the request is clarified or narrowed as long
as the city is acting in good faith in requesting a clarification or narrowing of
the request.85 If the city contends that the ten business day deadline started
the date the request was clarified or narrowed, the city must explain this fact
in its request for an open records ruling. Also, the city must explain if there
were holidays, natural disasters, and any other days the city was officially
closed. In its explanation, the city should include all dates relevant to the
calculation of the ten-business day deadline.
'$ Id. § 552.301(d)(1).
79 Id. § 552.301(d)(2).
80 Id. § 552.305(d).
$' Id. § 552.301(e).
82 Id. § 552.301(e)(1)(A).
83 Id. § 552.301(e)(1)(B).
84 Id. § 552.301(e)(1)(C).
85 City of Dallas v. Abbott, 304 S.W.3d 380, 384 (Tex. 2010).
15
4. Submit copies of documents requested or a representative sample of
the documents.86 The documents must be labeled to show which
exceptions apply to which parts of the documents.$' Representative
samples are not appropriate when each document sought to be withheld
contains substantially different information or when third-party proprietary
information is at issue.
5. Provide the requestor with a copy of the written comments submitted
to the attorney general.$$ The city must provide a copy of its comments
to the requestor not later than the 15th business day after the date the
request for information was received. This does not mean that the
governmental body has to send the requestor a copy of the information that
they are trying to withhold. If the written comments disclose or contain the
substance of the information requested, the copy provided to the requestor
should be redacted. However, cities are cautioned against redacting more
than that which would reveal the requested information to the requestor.
The attorney general may ask the city for additional information.89 The governmental body
must respond to the attorney general's request of additional information within seven
calendar days.90 If the governmental body fails to respond, the information is presumed
to be open and must be released unless there is a compelling reason to withhold the
information.91
23. How does a city calculate business days?
Generally, business days are those days that a city is open for business and to the public.
If the city is closed, with no employees working remotely, then those days do not count
as business days. Specifically, the following are not considered business days:
• Weekends;
• Holidays observed by the governmental body;
• Skeleton crew days; and
• A day on which a city's administrative offices are closed with no employees
working, including remotely.92
86 Tex. Gov't Code § 552.301(e)(1)(D).
$' Id. § 552.301(e)(2).
$$ Id. § 552.301(e-1).
89 Id. § 552.303(c).
90 Id. § 552.303(d).
91 Id. § 552.303(e).
92 Id. § 552.2211(a).
16
However, if a city closes its physical offices, but requires staff to work, including
remotely, then the city shall make a good faith effort to continue responding to
applications for public information, to the extent staff have access to public information
responsive to an application, while its administrative offices are closed.93 Failure to
respond to requests under this provision may constitute a refusal to request an attorney
general's decision as provided by the Act or a refusal to supply public information or
information that the attorney general has determined is public information that is not
excepted from disclosure94
24. How long does the attorney general have to respond to a request for
an open records letter ruling?
The attorney general has 45 business days from the date the request for ruling is received
from the city.95 However, if the attorney general is unable to issue the decision within the
45 business-day period, the attorney general may extend the time to respond for an
additional ten business days. Such an extension may be taken if the attorney general
notifies the city and the requestor of the reason for the delay. This notification must take
place within the original 45 business-day time period.
25. Can a city take longer than 15 business days to determine whether the
requested information is confidential if the request is for an excessive
amount of information?
There is no statutory provision that provides a city with an extension of time to seek an
open records letter ruling from the attorney general's office. Even if the request is for an
excessive amount of information, the city must still meet the fifteen-business day deadline
for requesting a ruling from the attorney general. However, if applicable, a city may
provide the attorney general with a marked-up representative sample of the requested
information (marked to show which exceptions apply to what portion of the sample
documents).96
26. May a city seek a reconsideration of an open records letter ruling that
is issued by the attorney general?
If the attorney general or a court has already ruled that the exact information that is at
issue in a particular request is open to the public, a city must release the information and
is prohibited from seeking a reconsideration of that issue from the attorney general.97 If
93 �d.
94 Id. § 552.2211(b)
95 Id. § 552.306(a).
96 Id. § 552.301(e).
97 Id. § 552.301(f).
17
the city wants to challenge the ruling, the city must file, within 30 calendar days of
receiving the ruling, suit in Travis County district court.98
B. Public Information Requests During a Catastrophe
27. May a city temporarily suspend the requirements of the Act during a
disaster?
A city that is currently significantly impacted by a catastrophe such that the catastrophe
directly causes the inability of the city to comply with the requirements of the Act may
suspend the applicability of the requirements of the Act.99 For purposes of the suspension
of the Act, a "catastrophe" is defined as a condition or occurrence that directly interferes
with the ability of a governmental body to comply with the requirements of the Act,
including:
(1) a fire, flood, earthquake, hurricane, tornado, or wind, rain or snow storm;
(2) power failure, transportation failure, or interruption of communication
facilities;
(3) epidemic; or
(4) riot, civil disturbance, enemy attack, or other actual or threatened act of
lawlessness or violence.�oo
However, "catastrophe" does not mean a period when staff is required to work remotely
and can access information responsive to an application for information electronically,
although the physical office of the governmental body is closed.'o' A governmental body
that elects to suspend the requirements of the Act must provide notice to the office of the
attorney general that the governmental body is currently impacted by a catastrophe and
has elected to suspend the applicability of the Act during the initial suspension period and
the extension period.102 Notice must be provided in a form promulgated by the attorney
general.'o3
28. What is the city required to do if it elects to suspend the Act because
it has been impacted by a catastrophe?
The city is required to:
98 Id. § 552.324(b).
99 Id. § 552.2325(b).
ioo �d. § 552.2325(a)(1)(A) - (D).
�o� Id. § 552.2325(a)(2).
�oz Id. § 552.2325(e).
�03 Id. § 552.2325(c), (h).
18
1) Submit a catastrophe notice to the attorney general's office. The notice has
to be on the form created by the attorney general's office. The form (first
page) requires the following information:
a. Name of the city;
b. Identification and description of the catastrophe;
c. The dates for the beginning and end of the suspension period (only
a seven-calendar day period); and
d. Name, title, phone number, and signature of the city's contact
person.
2) Post notice of the PIA suspension in the same places the city would post
notice of an open meeting. This would be at the bulletin board or electronic
bulletin board at city hall and on the city's website, if the city has a
website.�oa
29. For how long can the requirements of the Act be suspended?
A city may suspend the applicability of the Act only once for each catastrophe.105 The
initial suspension period may not exceed seven consecutive days.106 The initial
suspension period must occur during the period that:
(a) begins not earlier than the second day before the date the city submits the
notice to the office of the attorney general; and
(b) ends not later than the seventh day after the city submits the notice.'o'
A city may extend an initial suspension period, one time, if the governing body determines
that the city is still impacted by the catastrophe on which the initial suspension period was
based.108 The initial suspension period may be extended for not more than seven
consecutive days that begin on the day following the day the initial suspension period
ends.109 Accordingly, the combined suspension period may not exceed a total of 14
consecutive calendar days with respect to any single catastrophe."o
104 Id. §§ 552.2325(c), (h), (I); see id. §§ 551.050, .056.
ios �d. § 552.2325(d).
io6 Id. § 552.2325(d).
io� Id.
�os Id. §552.2325(e).
109 �d.
��o Id. §552.2325(g).
19
30. What happens to requests for public information that are received
before or during a suspension period(s)?
The requirements of the Act related to a request for public information that is received
before the initial suspension period begins are tolled until the first business day after the
date the suspension period ends."' A request that is received during a suspension period
is considered to have been received by the city on the first business day after the date
the suspension period ends.112
31. What is the city required to do if the city decides to extend the initial
suspension period?
The attorney general's office has promulgated an extension catastrophe notice form
(second page) for the extension of the initial suspension of the Act for a period not to
exceed seven calendar days.. The following information is required for the extension form:
1. Name of the city;
2. The dates of the initial suspension;
3. Identification of the catastrophe;
4. Dates of the extension suspension period (only seven calendar days); and
5. Name, title, phone number, and signature of the city's contact person.13
As with the initial catastrophe notice, the extension has to be submitted to the attorney
general's office and posted where open meetings notice are required to be posted.114
32. How does the city submit the catastrophe notice forms to the attorney
general's office?
A city can submit its catastrophe notice form to the attorney general's office either
electronically or via US mail to:
Attn: Public Information Act Catastrophe Notice
Office of the Attorney General
Open Records Division
P.O. Box 12548
Austin, Texas 78711-2548
"' Id. § 552.2325(j).
1z Id. § 552.2325(i).
113 Id. §§ 552.2325(e), (I).
114 Id. § 552.2325(h); see id. §§ 551.050, 551.056.
2�
33. Is the attorney general's office required to post these catastrophe
forms on its website?
The attorney general's office is required to post submitted catastrophe notice forms to its
website.15 These notices will be continuously posted until the first anniversary of the date
the attorney general's office received the form. Submitted notice can be seen here.
34. If the offices are closed, working with a skeleton crew, or working
remotely, does the city have to fill out a catastrophe notice form and
submit it to the attorney general's office?
If the city is closed, working with a skeleton crew, or its employees are working remotely,
the city does not have to fill out a catastrophe notice form. ).
C. Rights and Duties of the Governmental Body and of the Public
Information Requestor
35. Is a city required to post information regarding the Public Information
Act?
A city's public information officer is responsible for posting a sign which informs the public
about its right to access public information.16 The sign must be displayed in the
governmental body's administrative offices. The attorney general's office is responsible
for determining what specific information must be displayed on the sign.
36. What inquiries can a city make of a public information requestor?
Generally, there are only two permissible lines of inquiry that can be made of a requestor.
First, a city can ask a requestor for proper identification."' This inquiry for proper
identification should be done only if necessary, but if the information can be given without
any identification, then the inquiry is not necessary. State law does not indicate how such
identification could be accomplished if the request is completely handled through the mail,
e-mail, or by fax.
This identification requirement is generally imposed when a state statute limits who may
gain access to certain information. For example, certain statutes regulate who can gain
access to information within motor vehicle records, such as copies of drivers' licenses.��$
These statutes contain specific rules on what inquiries can be made to determine if the
requestor is eligible to receive the information. If an open records request involves such
information, a city should visit with its legal counsel regarding the applicable law.
15 Id. § 552.2325(k).
116 Id. § 552.205.
117 Id. § 552.222(a).
"s Id. § 552.222(c).
21
Second, as discussed earlier in this handbook, a city may ask the requestor for a
clarification if the request is unclear or ask the requestor to narrow the scope of the
request if the request is unduly broad.119 It should be noted that a city cannot ask the
requestor the purpose for which the information will be used.12o
37. Does the name and address of an individual who requests public
information become public information?
In certain cases, a requestor may be required to provide identification, which may include
his or her name or address.12' If the city receives this information and it becomes part of
a city record, there is no statutory provision that would except such information from
disclosure.
38. Can a requestor choose the format (paper, computer disc, etc.) in
which the city must provide requested information?
If the city has the technological ability to produce the information in the requested format,
it is usually required to do so.122 For example, if a requestor wants a copy of information
on a computer disk, he can ask that it be provided in that format. The city cannot insist on
providing the information in only a paper format if the city has the ability to provide it in
the requested format. However, a city is not required to buy additional hardware or
software to accommodate a PIA request. A city can provide requested information on
another medium that is acceptable to the requestor if the city is unable to provide the
requested information in the requested medium because: (1) it does not have the
technological ability to do so; (2) the city would be required to buy additional software or
hardware; or(3) doing so would violate copyright agreements between the city and a third
party.
39. Is a city required to create a record if none exists?
A PIA request generally does not require a city to produce information which is not in
existence.123 The Act does not require a city to prepare new information in response to a
request.
19 Id. § 552.222(b).
izo Id. § 552.222(a).
1z' Id. § 552.222(a).
'z2 Id. § 552.228.
'z3 Id. § 552.002(a). See a/so Tex. AtYy Gen. ORD-87 (1975), ORD-342 (1982), ORD-452 (1986);
Economic Opportunities Dev. Corp. v. Bustamante, 562 S.W.2d 266 (Tex. Civ. App. — San Antonio
1978, writ dism'd).
22
40. Does a city have to comply with standing requests for information?
A city has no duty to comply with standing requests for records.124 If a requestor seeks
documents that are not in existence at the time of the request, the city may notify the
requestor of this fact and ask the requestor to resubmit the request at a later time when
such a record may be available. Also, the city has no duty to notify the requestor in the
future that the information has come into existence.125 However, some cities have chosen
to accommodate standing requests for certain records. Whether to enter into such
agreements is at the city's discretion. Nonetheless, if such an arrangement is made, it
should be available to any requestor on an equal basis.126
41. Is a city required to compile statistics, perform research, or provide
answers to questions in response to a PIA request?
A city is only required to provide copies of documents that relate to the information sought
by a requestor. The Act does not require a governmental body to calculate statistics,
perForm legal research, or prepare answers to questions.127
42. Is a city required to locate information that is not organized or
retrievable by the type of information that is requested?
Sometimes a PIA request will ask for certain documents or information that is not
organized or retrievable by the type of information that is requested. If a city can provide
this information by making a simple computer search or by some other basic task, it
should make such an effort.128 The city may notify the requestor of the format in which
the information is currently available.129 However, if providing the information would
require extensive research, the city has no duty to take such action.13o
If providing the requested information would require programming or manipulation of data,
the city shall send the requestor a written notice explaining that the requested information
is not in the format requested and to provide the information would require programming
and manipulation of data at a cost to the requestor. 13' The notice must include a cost
estimate for providing the information in the format that meets the requestor's
'24 Tex. Att'y Gen. ORD-465 (1987), ORD-476 (1987).
'25 Tex. Att'y Gen. Op. No. JM-48 (1983).
'z6 See Tex. Gov't Code § 552.223.
127 Tex. AtYy Gen. ORD-342 (1982), ORD-555 at 1 (1990), ORD-563 at 8 (1990).
128 Tex. Gov't Code § 552.002(a). See also Tex. AtYy Gen. ORD-87 (1975), ORD-342 (1982), ORD-452
(1986); Economic Opportunities Dev. Corp. v. Bustamante, 562 S.W.2d 266 (Tex. Civ. App. — San
Antonio 1978, writ dism'd).
129 Tex. Gov't Code § 552.228(c).
'3o Tex. Gov't Code § 552.002(a). See also Tex. AtYy Gen. ORD-87 (1975), ORD-342 (1982), ORD-452
(1986); Economic Opportunities Dev. Corp. v. Bustamante, 562 S.W.2d 266 (Tex. Civ. App. — San
Antonio 1978, writ dism'd).
13' Tex. Gov't Code § 552.231.
23
preferences. Also, the notice must be sent to the requestor within 20 days after the date
the city receives the PIA request.132 If the requestor does not respond to the written notice
within 30 days, the request is considered withdrawn.133
43. Must a city buy new software or equipment to accommodate a request
for information in a certain format?
A city has no duty to purchase new software or hardware to accommodate a public
information request.134 If the city is unable with existing resources to provide the
information in the requested format, the record should be provided in a paper format or in
another medium that is acceptable to the requestor.135 In certain cases, a city can provide
the information in the requested format by manipulating the data within a computer
system or by making a programming change that allows access to the information. If a
PIA request would require such manipulation of data or programming, the city can notify
the requestor of the applicable cost of putting the information together in that format and
require the requestor to agree to pay the cost of production of the material.136
44. Can requestors insist on the right to personally use the governmental
body's equipment to access public information?
The attorney general has concluded that a member of the public does not have the right
to personally use a government computer terminal to search for public information.137
Instead, the city may require that searches of public information be conducted by city
personnel who then provide the requestor with access to or copies of the requested items.
Of course, a city may adopt a policy to allow the public to use its computer terminals to
access information, but the public cannot demand that such a policy be implemented.
45. Do requestors have a right to bring in their own copier to make copies
of public records?
A requestor is allowed to bring his or her own copier to make copies of public records.
However, a city may refuse to allow the use of a requestor's portable copier if such activity
would: (1) be unreasonably disruptive, (2) cause a safety hazard, (3) interfere with others'
right to inspect and copy records, or (4) if the requested records contain confidential
information that needs to be redacted.13s
'32 Id. § 552.231(c).
133 Id. § 552.231(d-1).
134 Id. § 552.228(b)(2).
'3s Id. § 552.228(c).
136 Id. § 552.231.
137 Tex. Att'y Gen. ORD-571 (1990).
'3s Tex. AtYy Gen. Op. No. JM-757 (1987). See also Tex. AtYy Gen. Op. No. GA-400 (2006).
24
46. Can requestors require a city copy information onto supplies provided
by the requestor?
The Act specifically provides that a city is not required to copy information onto material
provided by a requestor.139 For example, a city does not have to copy information onto
paper or onto a computer disk that is provided by the requestor. Instead, the city may
choose to use its own materials.140
47. Does a city have to provide information that is also available
commercially?
Generally, a city is not required to allow access to or to provide a copy of information in a
commercial book or publication purchased or acquired by the city for research purposes
if the book or publication is commercially available to the public.14� However, the city is
under a duty to allow inspection of the commercial book or publication if portions of the
book or publication are specifically made a part of, incorporated into, or referred to in a
city rule or policy.142
48. Does a city have to provide information that is copyrighted in response
to a PIA request?
If a request is made for documents that are copyrighted, a city will have to provide access
to those records, unless there is an applicable exception that would allow those records
to be withheld. However, the city is not required to make copies of copyrighted material
for a requestor.143 Instead, the city should provide the requestor access to the information.
The requestor bears the duty of compliance with federal copyright law.
49. Is a city required to respond to repeated requests for the same
information?
If a city has previously provided copies of certain information to a requestor, the city has
no duty to provide the same information to the requestor again.144 Similarly, if a city has
previously made the information available and the requestor has not paid the costs
associated with the prior request, the city may respond to a second request for such
documents by providing a special notice to the requestor.145 The city's public information
officer or his or her agent must provide the requestor a letter which certifies that all or part
139 Tex. Gov't Code §552.228(c).
140 Id. See also id. § 552.230 (governmental body may promulgate rules for efficient, safe, and speedy
inspection and copying if not inconsistent with Public Information Act).
14' Id. §552.027(a).
'42 Id. § 552.027(c).
'43 Tex. Att'y Gen. Op. No. JM-672 (1987), Tex. Att'y Gen. ORD-550 (1990).
'44 Tex. Gov't Code § 552.232(a).
145 �d.
25
of the requested information was previously furnished to the requestor or was made
available upon payment of costs.146 The certification must include:
1. a description of the information that was previously furnished or made
available;
2. the date the city received the previous request;
3. the date the city previously furnished or made available the information to
the requestor;
4. a statement that no further additions, deletions, or corrections have been
made to that information; and
5. the name, title, and signature of the public information officer or his or her
agent who is making the certification.147
A city may not charge the requestor for the preparation of the certification.�as
Of course, a city may choose to provide the requested information.149 It is important to
note that a city must furnish or make available upon payment of applicable charges any
information that has not been previously supplied or made available to the requestor.15o
D. Temporary Custodian
50. Who is a "temporary custodian"?
A temporary custodian is a current or former officer or employee of a city who, in the
transaction of official business, creates or receives public information that the officer or
employee has not provided to the public information officer of the city or the public
information officer's agent.15'
51. Does a temporary custodian have a personal or property right to public
information that was created or received while acting in their official
capacity?
A temporary custodian does not have a personal or property right to public information
that was created or received while acting in their official capacity.15z
146 Id. § 552.232(b).
ia� Id.
148 Id. § 552.232(c).
149 Id. § 552.232(a)(1)-(2).
�5o Id. § 552.232(d).
151 Id. § 552.003(7).
'Sz Id. § 552.233(a).
26
52. Is a temporary custodian required to retain public information on
his/her privately owned device?
A temporary custodian who has public information on a privately owned device is required
to either:
(1) forward or transfer the public information to the city or a city server to be
preserved for the required record retention schedule; or
(2) preserve the public information in its original form on the privately owned
device and in a backup or archive for the required record retention
schedule.153
53. What is a temporary custodian required to do if the city receives a
request for public information that includes public information in the
custodian's possession, custody, or control?
A temporary custodian is required to surrender or return public information that is in
his/her possession, custody, or control not later than the 10th day after the date the public
information officer requests that the temporary custodian surrender or return the public
information.154 If the temporary custodian fails to surrender or return the public information
requested by the public information officer, the city may discipline an employee who is a
temporary custodian.155 Also, the temporary custodian may be subject to any penalties
provided by the PIA or other laws. For example, a temporary custodian can be subject to
a writ of mandamus under section 552.321 of the Government Code or criminally charged
with failure to provide access to public information under section 552.353 of the
Government Code.
54. When is a request for public information considered received by the
city if a request to surrender or return public information is requested
from a temporary custodian?
The city is considered to have received the request for public information on the date the
information is surrendered or returned to the city by the temporary custodian.156
55. What is the public information officer's duty concerning retrieving
public information from a temporary custodian?
The public information officer is required to make a reasonable effort to obtain public
information from a temporary custodian if:
's3 Id. § 552.004(b)- (c).
154 Id. § 552.233(b).
155 Id. § 552.233(c).
156 Id. § 552.233(d).
27
1. The information has been requested from the city;
2. The public information officer is aware of facts sufficient to warrant a
reasonable belief that the temporary custodian has possession, custody, or
control of the requested information;
3. The public information officer is unable to comply with their duties without
obtaining the information from the temporary custodian; and
4. The temporary custodian has not provided the information to the public
information officer.157
E. Contracting Entities Required to Provide Contracting Information
56. What entities are required to provide contracting information to a city
when the city receives a PIA request concerning information in the
custody or possession of the entity?
When a city receives a PIA request concerning information not maintained by the city but
in the custody or possession of a non-governmental entity, such entity is required to
provide contracting information to the city if the entity has executed a contract with the
city that:
1. Has a stated expenditure of at least $1 million in public funds for the
purchase of goods or services by the city; or
2. Results in the expenditure of at least $1 million in public funds for the
purchase of goods or services by the city in a fiscal year of the city.15s
When a city receives a written PIA request for such contracting information, the city shall
send, to the contracting entity, a written request for the contracting entity to provide the
requested contracting information to the city not later than the third business day after the
date the city receives the written PIA request.159 The contracting entity is required to
promptly provide to the city any contracting information related to the contract that is in
its custody or possession.16o
57. What is required of a contracting entity that has custody or possession
of contracting information(PIA contracting entity requirements)?
The contract between the city and the contracting entity requires the contracting entity to:
157 Id. § 552.203(4).
158 Id. § 552.371(a). [Note: for the rest of this section, these entities will be referred to as "contracting
entities".]
159 Id. § 552.371(c).
�6o Id. § 552.372(a)(2).
28
1. Preserve all contracting information related to the contract as provided by
the record retention requirements applicable to the city for the duration of
the contract;
2. Promptly provide to the city any contracting information related to the
contract that is in its custody or possession on the city's request; and
3. On completion of the contract, either:
a. Provide, at no cost to the city, all contracting information related to
the contract that is in its custody or possession; or
b. Preserve the contracting information related to the contract as
provided by the record retention requirements applicable to the
Clt�/.161
Also, the contract must include the following statement:
The requirements of Subchapter J, Chapter 552, Government Code, may
apply to this (include "bid" or "contract" as applicable) and the contractor or
vendor agrees that the contract can be terminated if the contractor or vendor
knowingly or intentionally fails to comply with a requirement of that
subchapter.162
58. What are the deadlines to request an open records letter ruling when a
city receives a PIA request that includes contracting information that
must be obtained from a contracting entity?
A city must request an open records letter ruling from the attorney general's office
concerning contracting information that is in the custody or possession of a contracting
entity within 13 business days of the date the city receives a request for the contracting
information, as well as provide a copy of the request for the open records letter ruling to
the requestor.163 A city must submit its brief and a copy of the information requested (or
representative samples of such information) to the attorney general's office within 18
business days of the date the city receives a request for the contracting information in the
custody or possession of the contracting entity, as well as provide a copy of the brief to
the requestor.164 Note that these deadlines do not apply to contracting information that is
maintained by the city.165
16' Id. § 552.372(a).
'62 Id. § 553.372(b).
163 Id. § 552.371(d)(1)- (2).
164 Id. § 552.371(d)(3)- (4).
165 Id. § 552.371(f).
29
59. If the city does not receive the requested contracting information from
the contracting entity in time to request an open records letter ruling,
does the information become public?
If the governmental body does not receive the requested contracting information from the
contracting entity in time to request an open records letter ruling, the requested
contracting information does not become public if the governmental body:
1. complies with the requirements to send a written request to the contracting
entity in a good faith effort to obtain the contracting information from the
contracting entity;
2. is unable to meet the deadline to request an open records letter ruling
because the contracting entity failed to provide the contracting information
to the city before the 13t" business day after the date the city receives the
request for the contracting information; and
3. complies with the requirements of requesting an open records letter ruling
from the attorney general not later than the eighth business day after the
date the city receives the information from the contracting entity.166
60. May a city accept bids or contract with a contracting entity that does
not comply with the PIA contracting entity requirements?
A city may not accept a bid for a contract or award a contract to a contracting entity that
the governmental body has determined has knowingly or intentionally failed, in a previous
bid or contract, to comply with preserving contracting information and providing it to the
city upon request, unless the city determines and documents that the contracting entity
has taken adequate steps to ensure future compliance with these requirements.167
61. What is a city required to do if a contracting entity is not in compliance
with the PIA contracting entity requirements?
If a contracting entity fails to comply with the PIA contracting entity requirements, the city
shall provide, to the contracting entity, written notice that describes the PIA contracting
entity requirement that was violated, and advises the contracting entity that the contract
may be terminated without further obligation to the contracting entity if the entity does not
cure the violation on or before the 10t" business day after the date the city provides the
notice.16a
166 Id. § 552.371(e).
167 Id. § 552.372(c).
�6s Id. § 552.373.
30
62. May a city terminate its contract with a contracting entity?
Yes. A city may terminate a contract with a contracting entity if:
• the city provides the above-described noncompliance notice to the
contracting entity;
• the contracting entity does not cure the violation on or before the 10tn
business day after it has received the noncompliance notice;
• the city determines that the contracting entity has intentionally or knowingly
failed to comply with the PIA contracting entity requirements; and
• the city determines that the contracting entity has not taken adequate steps
to ensure future compliance with the requirements.169
63. What is considered "adequate steps to ensure future compliance" for
the purpose of not terminating a contract with a contracting entity?
A contracting entity is considered to be taking adequate steps to ensure future compliance
with the PIA contracting entity requirements if the contracting entity: (1) produces
contracting information requested by the city not later than the 10t" business day after the
date the city makes the request; and (2) establishes a records management program to
enable the entity to comply with the PIA contracting entity requirements.��o
64. Are there certain contracts that a city may not terminate for not
complying with the PIA contracting entity requirements?
Yes. A city may not terminate the following contracts for noncompliance of the PIA
contracting entity requirements:
• contracts that relate to the purchase of a public security;
• contracts that are or may be used as collateral on a loan; or
• contracts whose proceeds are used to pay debt service of a public security
or loan.�'�
169 Id. § 552.374(a).
��o Id. § 552.374(b).
171 Id. § 552.374(c).
31
65. May a city include and enforce more stringent requirements than the
PIA contracting entity requirements in its contracts with contracting
entities?
A city may include and enforce more stringent requirements in its contracts with
contracting entities in order to increase accountability or transparency.12
66. Do the PIA contracting entity requirements create a cause of action?
The PIA contracting entity requirements do not create a cause of action to contest a bid
for or the award of a contract with a city.173
67. May a requestor file a suit for a writ of mandamus to force a city or
contracting entity to comply with the PIA contracting entity
requirements?
A requestor may file a suit for a writ of mandamus to compel a city or a contracting entity
to comply with the PIA contracting entity requirements.174
IV. Statutory Exceptions That Allow Information to Be
Withheld
A. Information that Is Presumed Public
68. Is there a list of items that are presumed to be public information?
Yes. The Act lists items that are presumed to be public information. Section 552.022(a)
of the Government Code states "(w)ithout limiting the amount or kind of information that
is public information under this chapter, the following categories of information are public
information and not excepted from required disclosure unless made confidential under
this chapter or other law."15 For example, completed reports,176 public court record
information,�" and settlement agreements to which a city is a party�'$ are just a few of
the items that are considered public information.
69. What "contracting information" is presumed to be public information?
"Contracting information" means the following information maintained by a city or sent
between a city and a vendor, contractor, potential vendor, or potential contractor:
12 Id. § 553.375.
13 Id. § 552.376.
14 Id. § 552.321(c).
15 Id. § 552.022(a).
176 Id. § 552.022(a)(1).
"' Id. § 552.022(a)(17).
"$ Id. § 552.022(a)(18).
32
• Information in a voucher or contract relating to the receipt or expenditure of
public funds by a city;
• Solicitation or bid documents relating to a contract with a city;
• Communications sent between a city and a vendor, contractor, potential
vendor or potential contractor during the solicitation, evaluation, or
negotiation of a contract;
• Documents, including bid tabulations, showing the criteria by which a
governmental body evaluates each vendor, contractor, potential vendor, or
potential contractor responding to a solicitation and, if applicable, an
explanation of why the vendor or contractor was selected; and
• Communications and other information sent between a city and a vendor or
contractor related to the performance of a final contract with the city or work
perFormed on behalf of the city.19
70. Is a discretionary exception considered "other law" for the purpose of
withholding public information?
Discretionary exceptions are designed to protect the interests of the city and are not
considered "other law" for purposes of section 552.022 of the Government Code. Public
information can only be withheld if it is "made confidential under [the Act] or other law."�ao
However, sections 552.104 (Information Related to Competition or Bidding) and 552.133
(Public Power Utility Competitive Matters) are two exceptions to this general rule.'$'
71. Is there "other law" which may be relied upon to withhold information
presumed to be public under section 552.022 of the Government
Code?
The Texas Supreme Court has concluded the term "other law" as it is used in section
552.022 of the Government Code includes the Texas Rules of Civil Procedure and Texas
Rules of Evidence.182 Accordingly, the attorney-client privilege and work-product doctrine
could be considered "other law" for the purpose of withholding public information.'s3
19 Id. § 552.003(1-a).
iso Id. § 552.022(a).
's' Id. §§ 552.104(b); .133(c).
182 In re City of Georgetown, 53 S.W.3d 328, 332 (Tex. 2001); Tex. AtYy Gen. ORD-676 (2002).
's3 Id.; See also Paxton v. City of Dallas, 509 S.W.3d 247, 262, 271 (Tex. 2017).
33
B. General Issues Regarding Confidential Records
72. Is there a laundry list of items that are confidential under the Act and
other state laws?
At this time, there does not appear to be an entity that publishes a single, comprehensive
list of all the types of information that are confidential under state law. A governmental
body should consult closely with its attorney and/or public information coordinator
regarding records that state or federal law specifically require or allow to be withheld from
the public.
73. Can staff promise confidentiality for certain records that are provided
to the city?
A promise of confidentiality from staff or a related promise within a governmental contract
generally does not give the city the right to withhold certain information from public
disclosure. Such promises are only enforceable if a state statute specifically allows the
city to guarantee the confidentiality of the information.�a4
74. Can a city substitute a new document or produce a redacted copy of a
record in response to a public information request?
The city is required to make copies of the actual records that exist. If authorized by law,
the city can cross through or otherwise redact the confidential information. However, a
city may not substitute a new document in which only the non-confidential information is
presented, unless the requestor consents to the substitution.�s5
C. Information about Public Officials/Employees
75. Can a governmental body disclose a public official or public
employee's home address, home phone number, emergency contact
information, social security number, or family information?
A public official or public employee may request in writing that the city not reveal his/her
home address, home phone number, emergency contact information, social security
number, or information about family members. In fact, a city is required to ask each
employee or official whether they want such information to be treated as confidential. This
inquiry must be made within 14 days of the employee being hired, appointed, elected or
ending service with the city.186 If the employee indicates in writing a preference for such
confidentiality, the city cannot release the personal information.'$'
�sa Tex. AtYy Gen. Op. Nos. H-258 (1974), JM-672 (1987); Tex. AtYy Gen. ORD-455 (1987).
185 Tex. Att'y Gen. ORD-633 (1995), ORD-606 (1992).
186 Tex. Gov't Code § 552.024(a)-(b).
'$' Id. §§ 552.024(c), .117.
34
Although the city is required to make this inquiry at the start or end of the employee's
employment with the city, the ultimate duty to make a written request for confidentiality
rests with the employee. If the city receives a request for the employee's information and
no confidentiality request has been filed by the employee, it is too late for the city to ask
the employee whether such confidentiality is preferred. In such a case, the city would
have to release the personal information to the requestor.�$$
It is important to note that an elected public officer's personal information is excepted from
disclosure whether or not the officer affirmatively elects to have his or her information kept
confidential.189 Moreover, a peace officer, including a current or honorably retired peace
officer, is not required to file a written request to keep his/her personal information
confidential.190 As such, an elected public officer's and a peace officer's home address,
home phone number, emergency contact information, social security number, and any
information about family members are automatically confidential.19� Additionally, the
home address, home phone number, emergency contact information, social security
number, and any information about family members relating to a peace officer killed in
the line of duty will remain confidential after his death. The section also covers certain
other state employees whose duties involve law enforcement.192
76. Can a city withhold a public official or public employee's home
address, home phone number, emergency contact information, social
security number, or family information without requesting an attorney
general ruling?
A city may withhold a public official or public employee's home address, home phone
number, emergency contact information, social security number, or family information
without requesting an attorney general's ruling.193 If a city withholds the public employee's
information, the city must provide the requestor, on a form prescribed by the attorney
general, with:
1) a description of the information redacted or withheld;
2) the citation to section 552.024 of the Government Code; and
3) instructions regarding how the requestor may seek an attorney general
ruling regarding whether the withheld information is excepted from
disclosure.194
'$$ Id. § 552.024(d).
189 Id. § 552.117(a)(17).
190 Id. § 552.117(a)(2), (4).
19' Id. §§ 552.117(a), .1175. See id. § 552.1175(b) (also protects date of birth).
192 Id. § 552.117(a)(4).
193 Id. § 552.024(c)(2).
194 Id. § 552.024(c-2).
35
The requestor has the ability to ask for an attorney general's ruling regarding whether the
withheld information is excepted from disclosure.195 The attorney general's office has
established procedures and deadlines for receiving information necessary to decide the
ruling and briefs from the requestor, the city, and any other interested party.196 Like any
other request for an attorney general ruling, the attorney general has 45 business days
to render a ruling.
77. Are personal notes kept by an official subject to the Act?
Personal notes pertaining to official business that are made by an official are generally
subject to the Act. A city should consider the following factors if it receives a request for
such information: (1) who prepared the notes; (2) who possesses or controls the
document; (3) who has access to it; (4) the nature of its contents; (4) whether the
document is used in conducting the business of the city; and (5) whether public funds
were expended in creating or maintaining the document.197
D. Personnellnformation
78. What information within a public employee's personnel file is
considered public information?
The vast majority of information within a public employee's personnel file is considered
public information and accessible to the public. For example, information about a public
employee's job performance, dismissal, demotion, promotion, resignation, and salary
information is generally considered open.198 Similarly, job-related test scores of public
employees or applicants for public employment are generally treated as public
information,199 as are letters of recommendation, and opinions and recommendations
concerning other routine personnel matters.200 However, attorney general rulings have
required information about an employee's withholding on a federal tax form be withheld,
as well as information about an employee's beneficiary under a city life insurance
program.201 A city may refuse to reveal certain information under common law privacy
through Section 552.101 of the Government Code. To make such a determination, the
city should consider:
195 Id. § 552.024(c-1).
196 See 1 Tex. Admin. Code §§ 63.11 —63.16.
197 See, e.g., Tex. AtYy Gen. ORD-626 (1994) (handwritten notes taken during D.P.S. promotion board
oral interviews are subject to Act), ORD-635 (1995) (public official's or employee's appointment
calendar may be subject to Act).
198 Tex. Gov't Code § 552.022(a)(2). See a/so Tex. AtYy Gen. ORD-405 (1983), ORD-444 (1986).
199 Tex. Att'y Gen. ORD-441 (1986).
zoo Tex. Att'y Gen. ORD-615 (1993).
201 Tex. Att'y Gen. ORD-600 (1992).
36
1) whether the information contains highly intimate or embarrassing facts
about the person; and
2) whether there is any legitimate public interest in the release of or access to
this information.2°2
Under the above two part-test, a court has held that a governmental body did not have to
release the names and statements of victims and witnesses alleging sexual
harassment.203 The court found that the information at issue was intimate or
embarrassing and that the public had no legitimate interest in the release of that
information.
79. Can a city disclose the dates of birth of public employees?
The dates of birth of public employees are excepted from disclosure under section
552.102(a).204 However, only those public employee's birth dates that are contained in
records maintained by the city in a personnel context are protected. Also, this exception
applies to former, as well as, current public employees.205 However, it does not apply to
applicants for employment,206 nor to private employees or private individuals.
80. Do employees have a special right of access to information contained
in their own personnel file?
Most information within an employee's personnel file can be accessed by the involved
employee or the employee's designated representative.207 However, it is possible for a
city to withhold the employee's personnel information from the employee under some
other exception. For example, a city may deny an employee information in the employee's
personnel file if the information relates to issues that are currently under civil or criminal
litigation.208
2°2 See Industrial Foundation of the South v. Texas Industrial Accident Board, 540 S.W.2d 668(Tex. 1976),
cert denied, 430 U.S. 931 (1977); Hubert v. Harte-Hanks Texas Newspapers, Inc., 652 S.W.2d 546,
550 (Tex. App.—Austin 1983, writ ref'd n.r.e.).
zos See Morales v. Ellen, 840 S.W.2d 519 (Tex. App.-EI Paso 1992, no writ).
2°4 See Tex. Comptroller of Pub. Accounts v. Attorney Gen. of Tex., 354 S.W.3d 336 (Tex. 2010).
zoa Tex. AtYy Gen. Op. No. JM-229 at 2 (1984).
zos Tex. AtYy Gen. ORD-455 at 8 (1987).
207 Tex. Gov't Code § 552.023(a). See Tex. AtYy Gen. ORD-288 (1981).
208 Tex.AtYy Gen. ORD-288 (1981). (The Attorney General generally does not allow a governmental body
to withhold information pursuant to the litigation exception if the opposing party has had previous access
to the information. Thus, if a governmental body is engaged in litigation with its own employee, the
litigation exception generally would not protect any information in the employee's personnel file to which
the employee had previously had access.)
37
81. Are the personnel files of police officers and/or firefighters in a city
that has adopted civil service treated differently under the Act?
Section 143.089 of the Local Government Code prohibits a city's civil service fire or police
department from releasing information from the department's personnel file (the "g" file).
Instead, the department is required to refer someone who requests information from the
"g" file to the city's director of civil service, who maintains the civil service file.209 The civil
service file does not contain information about complaints against civil service police
officers or firefighters if no departmental disciplinary action was taken or if the disciplinary
action was determined to have been taken without just cause.210 However, if there is
disciplinary action taken against a police officer or firefighter, then all investigatory records
relating to the investigation and disciplinary action, including background documents such
as complaints, witness statements, and documents of like nature from individuals who
were not in a supervisory capacity are required to be placed in the civil service file.21
Note that a law enforcement agency hiring a police officer is entitled to view the contents
of the officer's "g" file.2�2
82. Are there certain work schedules or time sheets considered
confidential under the Act?
The work schedules or time sheets of a firefighter, volunteer firefighter, or certain
emergency medical services personnel213 are confidential and excepted from public
disclosure.2'4
E. General Exception to Withholding Information
83. Can a city withhold social security numbers without requesting an
attorney general's ruling?
A city can withhold the social security number of a living person without requesting an
attorney general ruling.215 A city must release the requestor's social security number to
the requestor or an authorized representative of the requestor.2�6
209 Tex. Loc. Gov't Code § 143.089(g).
z�o Id. § 143.089(c). See also City of San Antonio v. San Antonio Express-News, 47 S.W.3d 556 (Tex.
App.—San Antonio 2000, pet. denied); City of San Antonio v. Tex. Attorney General, 851 S.W.2d 946,
949 (Tex. App.—Austin 1993, writ denied); Tex. Att'y Gen. ORD-642 (1996).
21 Tex. Loc. Gov't Code § 143.089(a)(2). See a/so Abbott v. City of Corpus Christi, 109 S.W.3d 113, 122
(Tex. App.—Austin 2003, no pet.).
2'2 Tex. Loc. Gov't Code § 143.089(h);Tex. Occ. Code § 1701.454 (providing requirements for law
enforcement agency to hire persons licensed under chapter 1701).
2'3 See Tex. Health & Safety Code § 773.003. (Definition of"emergency medical services personnel".)
2'4 Tex. Gov't Code § 552.159.
2'S Tex. Gov't Code § 552.147(b).
z'6 See id. § 552.023.
38
84. Can a city withhold the dates of birth of inembers of the public?
A city can withhold the dates of birth of inembers of the public.21 Dates of birth of
members of the public are protected by common-law privacy pursuant to section 552.101
of the Government Code.
85. Are e-mail addresses protected from disclosure under the Act?
A city cannot release the e-mail address of a member of the public that is provided for the
purpose of communicating electronically with the city.218 The member of the public can
allow his/her e-mail address to be disclosed if the member of the public affirmatively
consents to its release. Under certain circumstances, an e-mail address is public if the
city is provided with the e-mail address:
1) by a person who has a contractual relationship with the city;
2) by a vendor who seeks a contract with the city;
3) during the bidding process;
4) on a letterhead, coversheet, printed document or other document made
available to the public; or
5) for the purpose of providing public comment on or receiving notices related
to an application for a license as defined by section 2001.003(2) of the
Government Code or receiving orders or decisions from a city.219
86. What information is protected from disclosure under the exception for
intra-agency and inter-agency memoranda or letters?
The Act allows a city, in limited circumstances, to withhold certain information that is
contained in an inter-agency or intra-agency memoranda or letter.220 This exception has
been held to only apply to internal staff communications consisting of advice,
recommendations, or opinions that reflect the policymaking process.221 This exception
does not apply to purely factual information that could be severed from the opinion
portions of the document. Additionally, this exception does not protect routine memoranda
or letters on administrative and personnel matters, unless those matters involve policy
21 Paxton v. City of Dallas, No. 03-13-00546-CV, 2015 WL 3394061, at *3 (Tex. App.—Austin, May 22,
2015, pet. denied) (memo op.).
218 Tex. Gov't Code § 552.137.
219 Id. § 552.137(c).
zz° Id. § 552.111.
zz' City of Garland V. Dallas Morning News, 22 S.W.3d 351, 360 (Tex. 2000); Lett v. Klein Indep. Sch.
Dist., 917 S.W.2d 455, 456 (Tex. App.—Houston [14t'' Dist.] 1996, writ denied); Tex. Dep't of Pub.
Safety v. Gilbreath, 842 S.W.2d 408, 412-13 (Tex. App.—Austin 1992, no writ); Tex. AtYy Gen. ORD-
615 (1993). See also Tex. Att'y Gen. ORD-631 (1995) (report addressing systematic discrimination
against minorities and the educational mission of the university in question was not open to public).
39
issues of a broad scope.222 For example, the evaluation of an individual employee would
probably not be protected from disclosure under this exception.223 On the other hand, a
university report addressing systematic discrimination against minorities has been found
to be protected by this exception.224 It should be noted that information created by outside
consultants acting on the city's behalf may in certain cases be covered by this
exception.225
87. Can a city release copies of certified agendas or recording of closed
meetings (executive sessions)?
A certified agenda is a written document that summarizes each of the issues that were
discussed at a closed meeting or the minutes of the closed meeting. The Open Meeting
Act requires a governmental body have a certified agenda or recording of its closed
meetings.226 The certified agenda or recording of the closed meeting is considered
confidential227 and may not be released except under order of a court.228 Therefore, a
certified agenda or recording of a closed meeting cannot be obtained through a PIA
request. Actually, the unlawful release of a certified agenda or recording of a closed
meeting is a class B misdemeanor.229 Moreover, person who releases a certified agenda
or recording of a closed meeting may be liable to a person injured or damaged by the
disclosure for:
(1) actual damages, including damages for personal injury or damage, lost wages,
defamation, or mental or other emotional distress;
(2) reasonable attorney fees and court costs; and
(3) at the discretion of the jury or judge, as the case may be, exemplary damages.23o
Governmental bodies can withhold the certified agenda or recording of a closed meeting
without asking for an attorney general's ruling.231 However, the certified agenda or
recording of a closed meeting can be reviewed by members of the governmental body
who attended the closed meeting.232 Also, elected members that were absent from the
222 Tex. AtYy Gen. ORD-631 at 3 (1995); City of Garland V. Dallas Morning News, 22 S.W.3d 351, 360
(Tex. 2000).
223 Tex. Att'y Gen. ORD-615 (1993).
224 Tex. AtYy Gen ORD-631 (1995).
zzs Id.
226 Tex. Gov't Code § 551.103.
22' Tex. AtYy Gen. ORD-495 (1988).
22$ Tex. Gov't Code § 551.104.
229 Id. § 551.146(a)(1).
zso �d. § 551.146(a)(2).
23' Tex. Att'y Gen. ORD-684 (2009).
232 Tex. Att'y Gen. Op. No. JC-120 (1999), DM-227 (1993).
40
closed meeting can review the certified agenda or recording.233 But, a member of
governmental body cannot have a copy or make a copy of the certified agenda or
recording whether they were present for or absent from the closed meeting.234
Additionally, a governmental body may not allow a member to review the certified agenda
or recording of a closed meeting once the member has left the office.235 The governmental
body may adopt procedures for reviewing the certified agenda or recording, but it cannot
absolutely prohibit the review by a member of the governmental body.
F. Law Enforcement Information
88. What information within the records of a law enforcement entity may
be withheld?
Section 552.108 of the Government Code contains what is generally referred to as the
"law enforcement exception". This exception allows the governmental body to withhold
four types of information:
1) Information that, if released, would affect investigations or
prosecutions: Information that is held by a law enforcement agency or
prosecutor that, if disclosed, would interfere with the law enforcement
agency or prosecutor's ability to detect, investigate or prosecute a crime;
2) Information about certain prosecutions: Information that deals with the
prosecution of crimes that did not result in a conviction or a deferred
adjudication;
3) Threats against peace officers: Information that deals with threats against
peace officers collected or disseminated under section 411.048 of the
Government Code; or
4) Attorney work-product: Information that the attorney of the governmental
body prepared for use in criminal litigation or information reflecting the
mental impressions or legal reasoning of the attorney regarding such
litigation.236
It is important to note that the law enforcement exception does not except from disclosure
basic information about an arrested person or basic information within a criminal citation
or police offense report.237 Information that has been held to be open includes:
z33 Tex. AtYy Gen. Op. No. JC-120 (1999).
234 Id.; Tex. Att'y Gen. LO-98-033 (1998).
z35 Tex. AtYy Gen. Op. No. JC-120 (1999).
z36 Tex. Gov't Code § 552.108(a).
23' Id. § 552.108(c); See also Tex. AtYy Gen. ORD-127 (1976); Houston Chronicle Publ'g Co. v. City of
Houston, 531 S.W.2d 177 (Tex. Civ. App.—Houston [14th Dist.] 1975), writ ref'd n.r.e. per curiam, 536
S.W.2d 559 (Tex. 1976).
41
1) The name, age, address, race, sex, occupation, alias, Social
Security number, police department identification number, and
physical condition of an arrested person;
2) The date and time of the arrest;
3) The place of the arrest;
4) The offense charged and the court in which it is filed;
5) The details of the arrest;
6) Booking information;
7) The notation of any release or transfer;
8) The location of the crime;
9) The identification and description of the complainant;
10) The premises involved;
11) The time of occurrence of the crime;
12) The property involved, if any;
13) The vehicle involved, if any;
14) A description of the weather;
15) A detailed description of the offense; and
16) The names of the arresting and investigating officers.23$
Section 552.108 only applies to criminal investigations and prosecutions. Section 552.108
is inapplicable when no criminal investigation or prosecution results from an
administrative investigation of a police officer's alleged misconduct.239
It is also important to note that the law enforcement exception may apply to departments
other than the police department if those departments are, by law, charged with the
detection, investigation, or prosecution of crime. For example, the attorney general has
determined that the arson investigation unit of a fire department may cite the law
enforcement exception to protect some of its records.24o
23$ Tex. AtYy Gen. ORD-127 at 3-5 (1976).
239 Mora/es v. Ellen, 840 S.W.2d 519 (Tex. Civ. App. — EI Paso 1992, writ denied) (Gov't Code § 552.108
not applicable where no criminal investigation or prosecution of police officer resulted from investigation
of allegation of sexual harassment); Tex. Att'y Gen. ORD-350 (1982) (predecessor provision of Gov't
Code § 552.108 not applicable to IAD investigation file when no criminal charge against officer results
from investigation of complaint against police officer).
24° Tex. Att'y Gen. ORD-127 (1976).
42
89. Can a city request a previous determination for records under the "law
enforcement exception"?
Yes. The attorney general announced at the 2015 Open Government Conference a new
previous determination program whereby the attorney general's office would issue a
section 552.108(a,(1) Previous Determination ("108 PD"), which once granted, would
allow a governmental body to withhold some law enforcement records related to pending
criminal cases without needing to request a ruling from the attorney general, so long as
the governmental body complied with the specific requirements of the 108 PD program,
including the requirement that at least basic information be released within five business
days of receiving the request. Pursuant to the 108 PD program, records may be withheld
under section 552.108(a)(1) in the following circumstances:
1. The city makes a good faith determination that the information at issue relates
to the detection, investigation, or prosecution of crime;
2. The release of such information would interFere with the detection, investigation
or prosecution of crime;
3. The city will release at least the basic information from the information at issue
(it may release more);
4. The city will release such information within five business days of receiving the
request;
5. The city will provide the requestor with the required notice form promulgated by
the attorney general, which describes the requestor's rights and the types of
information withheld; and
6. The city has not previously received a request for the same information from the
same requestor after the governmental body has provided the requestor with the
information described above.
A city may request the 108 PD by seeking a ruling from the attorney general's office in
response to an open records request. The city should request the 108 PD in conjunction
with the kind of file to which the city will apply the 108 PD. For example, the city should
request the 108 PD in relation to a file that
1. pertains to law enforcement records related to an open criminal case;
2. the release of the information would interfere with the detection, investigation,
or prosecution of crime;
3. portions of the basic information are not confidential (e.g., the name of a sexual
assault victim who is also a complainant); and
43
4. the information is not otherwise confidential in its entirety pursuant to other
statutes (e.g., juvenile records subject to section 58.008 of the Family Code, or
child abuse records subject to section 261.201 of the Family Code.)
Even if a city has been granted a previous determination of this type, the city may still
request an open records decision on any records. When in doubt, the city should consult
with the city attorney or seek a ruling from the attorney general's office. Misapplication of
the 108 PD may result in the presumption that the information at issue is public.
Additionally, misuse of the 108 PD may result in the attorney general's office revoking the
108 PD from the city.
Additional information regarding the 108 PD program can be obtained from the attorney
general's office or here.
90. Can motor vehicle accident report information be disclosed under the
Act?
The disclosure of motor vehicle accident reports, also known as ST-3, CRB-3 or CR-3
forms, is governed by the Transportation Code.241 In general, motor vehicle accident
reports are privileged and for the confidential use of the Department of Public Safety
(DPS), an agency of the United States, the state of Texas, or a Texas local government
that uses the information for accident prevention purposes.242 However, certain people
and entities can obtain an unredacted copy of a motor vehicle accident report. With a
written request and payment of any required fee, the following requestors can obtain the
unredacted report:
1) DPS;
2) An agency of the United States, state of Texas, or a local government of
Texas that uses the information for accident prevention purposes;
3) Law enforcement agency that employs the peace officer who investigated
the accident and sent to DPS, including an agent of the law enforcement
agency authorized by contract to obtain the information;
4) The court in which a case involving a person involved in the accident is
pending if the report is subpoenaed; or
5) any person directly concerned in the accident or having a proper interest
therein, including:
a) any person involved in the accident;
b) the authorized representative of any person involved in the accident;
24' Tex. Transp. Code § 550.065.
242 Id. § 550.065(b).
44
c) a driver involved in the accident;
d) an employer, parent, or legal guardian of a driver involved in the
accident;
e) the owner of a vehicle or property damaged in the accident;
f) a person who has established financial responsibility for a vehicle
involved in the accident in a manner described by section 601.051 of the
Transportation Code; including a policyholder of a motor vehicle liability
insurance policy covering the vehicle;
g) an insurance company that issued an insurance policy covering a
vehicle involved in the accident;
h) an insurance company that issued a policy covering any person involved
in the accident;
i) a person under contract to provide claims or underwriting information to
a person described above in f, g, or h;
j) a radio or television station that holds a license issued by the Federal
Communication Commission;
k) a newspaper that is:
i) a free newspaper of general circulation or qualified under section
2051.044 of the Government Code to publish legal notices;
ii) published at least once a week; and
iii) available and of interest to the general public in connection with the
dissemination of news; or
I) any person who may sue because of death resulting from the
accident.243
Any person, with a written request and payment of the required fee, can receive a
redacted version of the motor vehicle accident report.244 The following information must
be withheld in the redacted version of the accident report:
1) personal information as defined by section 730.003 of the
Transportation Code245;
243 Id. §§ 550.065(b), (c).
244 Id. § 550.065(c-1).
245 Id. § 730.003(6) ("Personal information" means information that identifies a person, including an
individual's photograph or computerized image, social security number, driver identification number,
name, address, but not the zip code,telephone number, and medical or disability information. The term
does not include:
45
2) the first, middle, and last name of any person listed in an accident
report, including a vehicle driver, occupant, owner, or lessee, a
bicyclist, a pedestrian, or a property owner;
3) the number of any driver's license, commercial driver's license, or
personal identification certificate issued to any person listed in an
accident report;
4) the date of birth, other than the year, of any person listed in an
accident report;
5) the address, other than zip code, and telephone number of any
person listed in an accident report;
6) the license plate number of any vehicle listed in an accident report;
7) the name of any insurance company listed as a provider of financial
responsibility for a vehicle listed in an accident report;
8) the number of any insurance policy issued by an insurance company
listed as a provider of financial responsibility;
9) the date the peace officer who investigated the accident was notified
of the accident;
10) the date the investigating peace officer arrived at the accident site;
11) the badge number or identification number of the investigating
offi ce r;
12) the date on which any person who died as a result of the accident
died;
13) the date of any commercial motor vehicle report; and
14) the place where any person injured or killed in an accident was taken
and the person or entity that provided the transportation.246
91. Can a city release a body worn camera recording?
Chapter 1701 of the Occupations Code provides the procedures a requestor must follow
when seeking a body worn camera recording. A member of the public is required to
(A) information on vehicle accidents, driving or equipment-related violations, or driver's license or
registration status; or
(B) information contained in an accident report prepared under:
(i) Chapter 550; or
(ii) former Section 601.004 before September 1, 2017.)
zas Id. § 550.065(f).
46
provide the following information when submitting a written request to a law enforcement
agency for information recorded by a body worn camera:
1) The date and approximate time of the recording;
2) The specific location where the recording occurred; and
3) The name of one or more persons known to be a subject of the recording.24'
Failure to provide this information does not preclude a requestor from requesting the
same information again.248 However, even if the requestor provides the proper
information to obtain the body worn camera recording, chapter 1701 provides for the
confidentiality of the recordings under certain circumstances.
A body worn camera recording is confidential if it was not required to be made under a
law or policy adopted by the appropriate law enforcement agency and does not relate to
a law enforcement purpose.249 Also, any recording that documents the use of deadly force
or related to an administrative or criminal investigation of an officer is considered
confidential and remains confidential until all criminal matters are finally adjudicated and
all administrative investigations are complete.250 However, a law enforcement agency
may choose to release such information if doing so furthers a law enforcement
purpose.251 Before releasing a body worn camera recording that was made in a private
place or in connection with a fine-only misdemeanor, the law enforcement agency must
receive authorization from the person who is the subject of the recording, or if the person
is deceased, from the person's authorized representative.252 A city may continue to raise
section 552.108 (law enforcement exception) or other applicable exception to disclosure
or law for body-worn camera recordings.253
Also, for body worn cameras, the ten and 15 business day deadlines associated with
requesting a ruling from the attorney general are extended to 20 and t25 business days,
respectively.254 Additionally, a city that receives a "voluminous request" for body worn
camera recording is considered to have complied with the request if it provides the
information not later than the 21St business day after it receives the request.255
A "voluminous request" is one that includes:
24' Tex. Occup. Code § 1701.661(a).
24$ Id. § 1701.661(b).
249 Id. § 1701.661(h).
zso �d. § 1701.660(a).
25' Id. § 1701.660(b)
252 Id. § 1701.661(f).
z53 Id. § 1701.661(e).
zea Id. § 1701.662.
z55 Id. § 1701.663.
47
(1) a request for body worn camera recordings from more than five separate
incidents;
(2) more than five separate requests for body worn camera recordings from the
same person in a 24-hour period, regardless of the number of incidents included
in each request; or
(3) a request or multiple requests from the same person in a 24-hour period for
body worn camera recordings that, taken together, constitute more than five total
hours of video footage.
92. Is certain crime victim information confidential?
Certain crime victim information is confidential and excepted from disclosure if the
information identifies an individual as a victim of: (1) human trafficking, sexual abuse of a
young child or disabled individual, indecency with a child, including sexual performance
by a child, sexual assault, including aggravated sexual assault, compelling prostitution;
(2) an offense that is part of the same criminal episode; or (3) a victim of any criminal
offense, if the victim was younger than 18 years of age when any element of the offense
was committed.256
Information may be disclosed: (1) to any victim identified by the information, or to the
parent or guardian of a victim identified by the information who was younger than 18 years
of age when the offense was committed; (2)to a law enforcement agency for investigative
purposes; or (3) in accordance with a court order requiring the disclosure.25'
G. Lawsuit or Other Legal Information
93. What type of information is excepted from disclosure under the
attorney/client privilege?
Section 552.107(1) of the Government Code protects information coming within the
attorney-client privilege. When asserting the attorney-client privilege, a city has the
burden of providing the necessary facts to demonstrate the elements of the privilege in
order to withhold the information at issue.258 The elements are as follows:
1) A city must demonstrate that the information constitutes or documents a
communication.259
2) The communication must have been made "for the purpose of facilitating
the rendition of professional legal services" to the client governmental
z56 Tex. Gov't Code § 552.1315(a).
25� Id. § 552.1315(b).
25$ Tex. Att'y Gen. ORD-676 at 6-11 (2002).
259 Id. at 7.
48
body.260 The privilege does not apply when an attorney or representative is
involved in some capacity other than that of providing or facilitating
professional legal services to the client Clt�/.261 Governmental attorneys
often act in capacities other than that of professional legal counsel, such as
administrators, investigators or managers. Thus, the mere fact that a
communication involves an attorney for the government does not
demonstrate this element.
3) The privilege applies only to communications between or among clients,
client representatives, lawyers and lawyer representatives.262 Thus, a city
must inform this office of the identities and capacities of the individuals to
whom each communication at issue has been made.
4) The attorney client privilege applies only to a confidential communication,263
meaning it was "not intended to be disclosed to third persons other than
those to whom disclosure is made in furtherance of the rendition of
professional legal services to the client or those reasonably necessary for
the transmission of the communication."264
Whether a communication meets this definition depends on the intent of the parties
involved at the time the information was communicated.265 Moreover, because the client
may elect to waive the privilege at any time, a city must explain that the confidentiality of
a communication has been maintained. Section 552.107(1) generally excepts an entire
communication that is demonstrated to be protected by the attorney client privilege unless
otherwise waived by the governmental body.266 Also, if a city fails to timely seek an open
records letter ruling to withhold information subject to the attorney-client privilege, the
privilege is not waived and constitutes a compelling reason to withhold information under
section 552.302 of the Government Code.26'
zso Id.; See Tex. R. Evid. 503(b)(1).
z6' Tex.AtYy Gen. ORD-676 at 7 (2002). See In re Texas Farmers Ins. Exch., 990 S.W.2d 337, 340 (Tex.
App. —Texarkana 1999, orig. proceeding) (attorney client privilege does not apply if attorney acting in
a capacity other than that of attorney).
262 Tex. Att'y Gen. ORD-676 at 8 (2002). See Tex. R. Evid. 503(b)(1)(A), (B), (C), (D), (E).
z63 Tex. Att'y Gen. ORD-676 at 10 (2002). See Tex. R. Evid. 503(b)(1).
264 Tex. Att'y Gen. ORD-676 at 10 (2002). See Tex. R. Evid. 503(a)(5).
zss Tex. Att'y Gen. ORD-676 at 10 (2002). See Osborne v. Johnson, 954 S.W.2d 180, 184 (Tex. App.—
Waco 1997, no writ).
z66 See Huie v. DeShazo, 922 S.W.2d 920, 923 (Tex. 1996) (privilege extends to entire communication,
including facts contained therein).
26' Paxton v. City of Dallas, 509 S.W.3d 247, 262, 271 (Tex. 2017).
49
94. When is information that relates to pending or anticipated litigation
protected from disclosure?
Under Section 552.103 of the Government Code, a city may withhold information about
pending or reasonably anticipated civil or criminal litigation. The litigation must be pending
or reasonably anticipated as of the date the PIA request is received by the city.268 The
city, its officials, or its staff must be a party to such litigation.269
Whether litigation is reasonably anticipated is a question that involves both factual and
legal issues.270 There must be concrete evidence that litigation is likely. It must be more
than mere conjecture. The city must identify the issues that are involved in the litigation
and explain how the information to be withheld relates to those issues. The governmental
body should provide a copy of the relevant pleadings if the case has been filed.
Information that falls under the litigation exception generally can be withheld until the
litigation has concluded or is no longer anticipated.271 Criminal litigation is considered
concluded once the statute of limitations has expired or when the defendant has
exhausted all appellate and post-conviction remedies in state and federal court.272 State
law does not specifically define when civil litigation is considered to be concluded.
Generally, civil litigation is considered to be concluded when all right of appeal has been
exhausted and/or a final judgment has been entered. However, generally if the parties to
civil litigation have inspected the records under discovery or through other means, the
litigation exception would no longer apply.
95. When can a city withhold attorney work product?
Section 552.111 encompasses the attorney work product privilege found in rule 192.5 of
the Texas Rules of Civil Procedure.273 Rule 192.5 defines work product as:
1) material prepared or mental impressions developed in anticipation of
litigation or for trial by or for a party or a party's representatives, including
the party's attorneys, consultants, sureties, indemnitors, insurers,
employees, or agents; or
2) a communication made in anticipation of litigation orfortrial between a party
and the party's representatives or among a party's representatives,
26$ Tex. Gov't Code § 552.103(c).
269 Id. § 552.103(a).
270 See University of Texas Law School v. Texas Legal Foundation, 958 S.W.2d 479 (Tex. App.—Austin
1997, no pet.).
27 Tex. AtYy Gen. ORD-647 (1996).
2'2 Tex. Gov't Code § 552.103(b).
2'3 City of Garland v. Dallas Morning News, 22 S.W.3d 351, 360 (Tex. 2000); Tex. AtYy Gen. ORD-677 at
4-8 (2002).
50
including the party's attorneys, consultants, sureties, indemnitors, insurers,
employees or agents.2'4
For a city to use this exception, the city body bears the burden of demonstrating that the
information was created or developed for trial or in anticipation of litigation by or for a
party or a party's representative.275 To show that the information was made or developed
in anticipation of litigation, the city has to prove that:
a) a reasonable person would have concluded from the totality of the
circumstances surrounding the investigation that there was a substantial
chance that litigation would ensue; and
b) the party resisting discovery believed in good faith that there was a
substantial chance that litigation would ensue and [created or obtained the
information] for the purpose of preparing for such litigation.2�6
A "substantial chance" of litigation does not mean a statistical probability, but rather "that
litigation is more than merely an abstract possibility or unwarranted fear."27
Also, the city has to prove that the materials or mental impressions must have been
prepared or developed by or for a party or party's representatives, as well as, the
communication was between a party and the party's representatives.278 Therefore, the
city must identify the parties and potential parties to the litigation, the person that prepared
the information, and any individual with whom the information was shared in orderto claim
the work product privilege.279
H. Government-Operated Utility Information
96. Can a city-operated utility disclose customers' personal information?
Personal information in a customer's account record, or any information relating to the
volume or units of utility usage or the amounts billed to or collected from the individual for
utility usage, may not be disclosed by a city-operated utility unless the customer elects to
make the information public or certain exceptions to this prohibition of disclosure apply.280
Also excluded from public disclosure is information: (1) that reveals whether an account
is delinquent or eligible for disconnection; and (2) collected as part of an advanced
2'4 Tex. R. Civ. P. 192.5(a).
2'S Id.; Tex. Att'y Gen. ORD-677 at 6-8 (2002).
2'6 Nat/ Tank Co. v. Brotherton, 851 S.W.2d 193, 207 (Tex. 1993).
27 Id. at 204; Tex. AtYy Gen. ORD-677 at 7 (2002).
278 Tex. R. Civ. P. 192.5(a); Tex. AtYy Gen. ORD-677 at 7-8 (2002).
279 Tex. AtYy Gen. ORD-677 at 8 (2002).
280 Tex. Util. Code § 182.052(a). (The 87t" Texas Legislature passed H.B. 872. essentially reversing the
prior law's requirements. Before H.B. 872, utility customers had to fill out a form to request their
information remain confidential. Failure to do so made the customer's information public. Now, a
customer's information is protected unless the customer opts to make it public).
51
metering system.281 A city-operated utility would include a city-entity that, for
compensation, provides water, wastewater, sewer, gas, garbage, electricity, or drainage
service.282 Personal information is defined to include a customer's address, telephone
number, and social security number.283 The city-operated utility must include, with a bill
sent to each customer, or post on the utility's Internet website, a notice of a customer's
right to request disclosure of his or her personal information and a form284 by which the
customer may request disclosure by marking an appropriate box on the form and
returning it to the utility.285 A customer may rescind a request for disclosure by providing
the city-operated utility a written request to withhold the customer's personal information
beginning on the date the utility receives the request.286 This prohibition of disclosure
does not affect the ability of the utility to release such information to other governmental
agencies for official purposes, to consumer reporting agencies, or to another entity
providing utility service.287
Although the utility has a duty to notify customers of their right to disclose such
information, the ultimate duty to request disclosure remains with the customer. If the utility
customer does not make such a written request, the utility may not disclose the personal
information within the utility records. If a member of the public requests access to this
personal information, and the customer has not given the utility permission to disclose his
or her information, the utility will be able to withhold the customer's personal information
without asking for an open records ruling.288 When in doubt, the city may submit a request
for a ruling to the attorney general's office.
97. What information about a public power utility289 is confidential?
Section 552.133 of the Government Code excepts from disclosure a public power utility's
information related to a competitive matter. The exception defines "competitive matters"
as a utility-related matter that is related to the public power utility's competitive activity.290
In order to be "utility-related,", the matter must relate to the following six enumerated
categories of information:
281 Tex. Gov't Code § 552.1331(b).
282 Tex. Util. Code § 182.051(3).
2s3 Id. § 182.051(4).
2s4 The League's legal department prepared an example form for customers to request disclosure of their
records. This is just an example, and each city should have its city attorney review the form prior to its
use.
2s5 Tex. Util. Code § 182.052(c).
zss Id. § 182.052(d).
287 Id. § 182.054.
288 Id. § 182.052(e).
289 Tex. Gov't Code § 552.133(a).
290 Id. § 552.133(a-1).
52
1) generation unit specific and portfolio fixed and variable costs, including
forecasts of those costs, capital improvement plans for generation units,
and generation unit operating characteristics and outage scheduling;
2) bidding and pricing information for purchased power, generation and fuel,
and Electric Reliability Council of Texas bids, prices, offers, and related
services and strategies;
3) effective fuel and purchased power agreements and fuel transportation
arrangements and contracts;
4) risk management information, contracts, and strategies, including fuel
hedging and storage;
5) plans, studies, proposals, and analyses for system improvements,
additions, or sales, other than transmission and distribution system
improvements inside the service area for which the public power utility is
the sole certificated retail provider; and
6) customer billing, contract, and usage information, electric power pricing
information, system load characteristics, and electric power marketing
analyses and strategies.291
Also, there is a list of sixteen categories of information that may not be deemed
competitive matters and therefore cannot be withheld under this exception.292 Information
or records of a city-operated utility that operates a chilled water program are subject to
disclosure under the Act if the information or records are reasonably related to:
(1) a city-operated utility's rate review process;
(2) the method a city-operated utility uses to set rates for retail electric service;
or
(3) the method a city-operated utility uses to set rates for a chilled water program
defined as: (A) a program to produce chilled water at a central plant and pipe that
water to buildings for air conditioning, including a district cooling system or chilled
water service; or (B) any other program designed to used chilled water to provide
air conditioning, reduce peak electric demand, or shift electric load.293
Additionally, a city may disclose information pertaining to a city-owned power utility to a
city-appointed citizen advisory board without waiving its right thereafter to assert an
291 Id. § 552.133(a-1)(1).
292 Id. § 552.133(a-1)(2).
293 Id. § 552.133(b-1); Tex. Util. Code § 11.03(3-a).
53
exception under the Act in response to a future public information request for this
information.294
l. Purchasing/Procurement Information
98. What information must be disclosed if there is a public information
request regarding a competitive bid?
Section 552.104 of the Government Code allows a city to withhold information that is
submitted in response to a competitive bid if disclosure of the information would give
advantage to a competitor or bidder.295 This exception can only be asserted by the city.
This exception applies when the city demonstrates that release of the information would
harm its interests by providing an advantage to a competitor or bidder in a particular
ongoing competitive situation or in a particular competitive situation where the city
establishes the situation at issue is set to reoccur or there is a specific and demonstrable
intent to enter into the competitive situation again in the future. Even if the information
falls within one of the categories of information listed in section 552.022(a) of the
Government Code, this exception allows the city to withhold that information under this
exception.296
However, any expenditure for a parade, concert, or other types of entertainment events
paid for in whole or in part with public funds is prohibited from being withheld under this
exception.297 A city or other entity cannot include a provision in a contract that would
prohibit disclosure of these expenditures. Any contract provision that does prevent
disclosure of these expenditures is void.298
99. What information is protected under the exception for trade secrets or
the exception for commercial or financial information that would give
an advantage to competitors?
Section 552.110 of the Government Code provides that certain information within bids
and other documents may be protected under the exception for trade secrets or the
exception for commercial or financial information that would give an advantage to
competitors. First, information may be withheld if it is demonstrated based on specific
factual evidence that the information is a trade secret.299 The term "trade secret" includes
all forms and types of information, including business, scientific, technical, economic, or
engineering information, and any formula, design, prototype, pattern, plan, compilation,
program device, program, code, device, method, technique, process, procedure, financial
294 Tex. AtYy Gen. ORD-666 (2000).
295 Tex. Gov't Code § 552.104(a).
296 Id. § 552.104(b).
297 Id. § 552.104(c).
29$ Id.
299 Id. § 552.110(b).
54
data, or list of actual or potential customers or suppliers, whether tangible or intangible
and whether or however stored, compiled, or memorialized physically, electronically,
graphically, photographically, or in writing if:
• the owner of the trade secret has taken reasonable measures under the
circumstances to keep the information secret; and
• the information derives independent economic value, actual or potential,
from not being generally known to, and not being readily ascertainable
through proper means by another person who can obtain economic value
from the disclosure or use of the information.3oo
Second, commercial or financial information may be withheld if it is demonstrated, based
on specific factual evidence, that disclosure would cause substantial competitive harm to
the person from whom that information was obtained.3o�
Note that certain contracting information may not be withheld under this section302 (See
Question 100 for information on contracting information). Also, the Act requires a city to
inform third parties when their proprietary information may be subject to this exception.3o3
The city must make a good faith attempt to notify the third party of the request for an open
records letter ruling by sending a notice statement on a form promulgated by the attorney
general's office and a copy of the PIA request to the third party within a reasonable time
not later than the 10t" day after the date the city received the PIA request.3o4 Also, the city
may decline to release the requested information for the purpose of requesting an open
records letter ruling from the attorney general's office.3o5
100. What information is protected under the exception for proprietary
information submitted to a city?
Information submitted to a city by a vendor, contractor, potential vendor, or potential
contractor in response to a request for bids, proposals, or qualifications is excepted from
disclosure under the Act if the vendor, contractor, potential vendor, potential contractor
that the information related to demonstrates based on specific factual evidence that
disclosure of the information would:
1. reveal an individual approach to:
a. work;
soo �d. § 552.110(a).
3oi Id. § 552.110(c).
302 See id. § 552.0222.
303 Id. § 552.305(d).
soa Id. § 552.305(d)(2).
305 Id. § 552.305(a).
55
b. organizational structure;
c. staffing;
d. internal operations;
e. processes; or
f. discounts, pricing methodology, pricing per kilowatt hour, cost data,
or other pricing information that will be used in future solicitation or
bid documents; and
2. give advantage to a competitor.3o6
However, this exception does not apply to: (1) information in a voucher or contract relating
to the receipt or expenditure of public funds by a city; or (2) communications and other
information sent between a city and a vendor or contractor related to the performance of
a final contract with the city or work perFormed in behalf of the city.307 Also, this exception
does not apply to certain contracting information.308 [See Question 100 for information on
contracting information.]
This exception can only be asserted by a vendor, contractor, potential vendor, or potential
contractor.309 The PIA requires a city to inform third parties when their proprietary
information may be subject to this exception.310 The city must make a good faith attempt
to notify the third party of the request for an open records letter ruling by sending a notice
statement on a form promulgated by the attorney general's office and a copy of the PIA
request to the third party within a reasonable time not later than the 10th day after the date
the city received the PIA request. The city must decline to release information to the extent
necessary to allow a vendor, contractor, potential vendor, or potential contractor to assert
the exception to disclosure.3��
101. Which type of contracting information may not be withheld as a trade
secret and certain commercial or financial information (section
552.110 of the Government Code) or proprietary information (section
552.1101 of the Government Code)?
Sections 552.110 and 552.1101 do not apply to the following types of contracting
information:
306 Id. § 552.1101(a).
30� Id. § 552.1101(b).
sos �d. 552.1101(a); see id. § 552.0222.
309 Id. § 552.1101(c).
3'o See id. § 552.305(d).
311 Id. § 552.1101(c); see id. § 552.305(a).
56
1. A state agency's contract for goods and services from a private vendor
excluding any information that is confidential under law; excepted by an
attorney general's open record decision; and an individual's social security
number;
2. A major contract of a state agency posted on the Legislative Budget Board's
website excluding information that is not subject to disclosure under the Act;
3. The following contract or offer terms or their functional equivalent:
a. Any term describing the overall or total price a city will or could
potentially pay, including overall or total value, maximum liability, and
final price;
b. A description of the items or services to be delivered with the total
price for each if a total price is identified for the item or service in the
contract;
c. The delivery and service deadlines;
d. The remedies for breach of contract;
e. The identity of all the parties to the contract;
f. The identity of all subcontractors in a contract;
g. The affiliate overall or total pricing for a vendor, contractor, potential
vendor, or potential contractor;
h. The execution dates;
i. Effective dates; and
j. The contract duration terms, including any extension options; or
4. Information indicating whether a vendor, contractor, potential vendor, or
potential contractor perFormed its duties under a contract, including
information regarding:
a. A breach of contract;
b. A contract variance or exception;
c. A remedial action;
d. An amendment to a contract;
e. Any assessed or paid liquidated damages;
f. A key measures report;
g. A progress report; and
57
h. A final payment checklist.3�2
102. What information regarding the acquisition of real estate or personal
property by a city may be withheld?
Section 552.105 of the Government Code provides a city with limited authority to withhold
information that relates to the city's acquisition of real estate or personal property.3'3
Specifically, this exception is designed to protect a city's planning and negotiating position
with respect to particular transactions.314 The authority to withhold this information
generally ends once the city acquires the involved property.315 However, this exception is
not limited solely to transactions not yet finalized. The attorney general's office has
concluded that information about specific parcels of land obtained in advance of other
parcels to be acquired for the same project could be withheld where release of the
information would harm the city's negotiating position with respect to the remaining
parcels.316 As long as the city makes a good faith determination that the release of
information would damage its negotiating position with respect to the acquisition of
property, the attorney general will generally accept the determination, unless the records
or other information show the contrary as a matter of law.31
Also, this exception has equal application to information pertaining to a lease of real or
personal property.318 Similarly, the information about the lease is considered public once
the city enters into the lease agreement. It should be noted that if the information is
considered public under section 552.022, the governmental body cannot withhold it under
this exception.
J. Economic Development Information
103. Is information related to economic development negotiations is
public?
Section 552.131 of the Government Code allows a city to withhold certain information
related to economic development negotiations between a city and a business that the city
is seeking to have locate, stay or expand within or near the territory of the city. Under this
provision, the city may withhold trade secrets of the business prospect that are related to
economic development negotiations.319 Similarly, a city may withhold certain commercial
and financial information about the business prospect that was acquired during economic
3'2 Id. § 552.0222(b). See id. §§ 322.020(c)—(d); 2261.253(a), (e).
313 �d. § 552.105. See Tex. Att'y Gen. ORD-222 (1979)
314 Tex. AtYy Gen. ORD-564 (1982); ORD-310 (1982).
315 Tex. AtYy Gen. ORD-348 (1982).
316 Tex. AtYy Gen. ORD-564 at 2 (1982).
317 �d.
318 Tex. Att'y Gen. ORD-348 (1982).
319 Tex. Gov't Code. § 552.131(a)(1).
58
development negotiations if release of the information would result in substantial
competitive harm to the business prospect.320 The test for which information may be
withheld under this section is the same as the test for trade secrets under section 552.110
of the Government Code.
Additionally, until an agreement is entered into with the business prospect, the city may
withhold financial or other incentive information being offered to the business prospect by
the city or another person.321 Such financial or other incentive information that is withheld
under this provision is releasable after an agreement is executed with the business
prospect.322
104. May an economic development entity withhold information related to
economic development negotiations under section 552.131 of the
Government Code?
An economic development entity whose mission or purpose is to develop and promote
the economic growth of a state agency or political subdivision, including a city, with which
the entity contracts may assert Section 552.131 with respect to information that is in the
entity's custody or control.323 Like a city, the economic development entity must make a
good faith attempt to notify any third party of the request for an open records letter ruling
by sending a notice statement on a form promulgated by the attorney general's office and
a copy of the PIA request to the third party within a reasonable time, but not later than the
10t" day after the date the economic development entity receives the PIA request.32a
K. Health Information
105. What is "protected health information"?
Protected health information is any information that reflects that an individual received
health care from a covered entity as defined by Section 181.001(b)(2) of the Health &
Safety Code.325 Examples of covered entities include hospitals and medical centers.
A more specific definition of "protected health information" is individually identifiable
health information that is transmitted or maintained in electronic media or any other form
or medium.326
szo �d. § 552.131(a)(2).
32' Id. § 552.131(b).
322 Id. § 552.131(c).
3z3 Id. § 552.131(b-1).
324 See id. § 552.305(d).
3z5 Id. § 552.002(d); Tex. Health & Safety Code § 181.006(1).
3z6 Id. § 181.001(a). See 45 C.F.R §160.103. (Chapter 181 of the Health and Safety Code borrows
definitions from the Health Insurance Portability and Accountability Act and Privacy Standards (HIPAA)
59
106. Is protected health information considered public information under
the PIA?
Protected health information is not considered public information and is not subject to
disclosure under the PIA.32'
107. Is information provided by an out-of-state health care provider
protected from disclosure under the PIA?
Information provided to a city by an out-of-state health care provider in connection with
a quality management, peer review, or best practice program that the out-of-state health
care provider pays for is considered confidential and excepted from disclosure under the
PIA.32$
108. Is information regarding communicable diseases protected from
disclosure under the PIA?
Protected health information does not include information that: (1) identifies the name or
location of a facility in which residents have been diagnosed with a communicable
disease; or (2) the number of residents who have been diagnosed with a communicable
disease in a facility.329 Facility is defined as a licensed nursing facility, continuing care
facility, and an assisted living facility.33o Unless made confidential under other law, certain
information regarding communicable diseases in specific facilities is not confidential and
is subject to disclosure under the Act.33�
L. Transit Authority or Department Held Information
109. Is information held by a transit authority or department protected from
disclosure under the PIA?
Personal identifying information collected by a transit authority or department is
confidential and not subject to disclosure under the Act, including a person's:
(1) name, address, e-mail address, and phone number;
(2) account number, password, payment transaction activity, toll or charge
record, or credit, debit, or other payment card number;
for terms not defined by this chapter. This Chapter borrows the HIPAA definitions of"protected health
information" and "individually identifiable health information".)
32' Tex. Gov't Code § 552.002(d). See also Tex. Health &Safety Code § 181.006(2).
32$ Tex. Gov't Code § 552.162.
329 Tex. Health & Safety Code § 181.060(b).
33o Id. § 181.060(a)(2).
331 �d. § 181.060(c).
60
(3) trip data, including the time, date, origin, and destination of a trip, and
demographic information collected when the person purchases a ticket or
schedules a trip; and
(4) other personal information, including financial information.332
Notwithstanding the foregoing, information identified in (3) above may be disclosed to a
governmental agency or institution of higher education by a transit authority if the
requestor confirms in writing that the use of the information will be strictly limited to use
in research or in producing statistical reports, but only if the information is not published,
redisclosed, sold, or used to contact any individual.333
V. Ability to Recover Costs for Providing Copies of Public
Information
110. What is the general ability of a city to charge for documents?
The Act allows a city to set a charge for providing copies of public information.33a
However, a city may not charge more than 25 percent above the charges set by the
attorney general's office.335 The attorney general's office has set a charge of 10 cents per
page for making simple photocopies or printouts. If a city's actual cost for producing
copies of public information exceeds the attorney general's office charges by more than
25 percent, the city may apply to the attorney general's office for permission to charge
more.336 In no case may the charge exceed the actual cost of producing the requested
copies.33'
111. When can a city recover labor charges for a public information
request?
Labor to Produce Paper Copies: A city may recover labor charges in response to a
public information request for paper copies in three circumstances:
1) if the responsive records will result in over 50 pages of paper copies;
2) if the records to be copied are located in more than two separate buildings
or in a remote storage facility;338 or
33z Tex. Transp. Code §§451.061(f); 452.061(e); 453.104(b); 460.109(e).
333 Id. §§451.061(g); 452.061(f); 453.104(c); 460.109(f).
334 Tex. Gov't Code § 552.262. See generally id. §§ 552.261 - .275.
33s See generally 1 Tex. Admin. Code §§ 70.1-.13. (cost rules promulgated by the attorney general's
office).
336 Tex. Gov't Code § 552.262(c).
337 Id. § 552.262(a).
33s Id. § 552.261(a).
61
3) if the city provides access to paper documents that meet certain
specifications.339
Presently, the attorney general's office allows a maximum labor charge of$15 per hour.34o
If the city assesses a charge for labor, the requestor may require the city to provide a
statement of the amount of time that was needed to prepare the requested copies. This
statement must be signed by the officer for public information or the agent of that officer
with the signer's name clearly typed below the signature. The city is not permitted to
charge for providing this statement.3a'
Labor to Produce Copies from Electronic Records: Charges for copies of records that
are stored electronically may include reasonable costs of materials, labor, and overhead
if the records result in more than 50 pages.3a2
If the city assesses a charge for labor, the requestor may require the governmental body
provide a statement of the amount of time that was needed to prepare the requested
copies. This statement must be signed by the officer for public information or the agent of
that officer with the signer's name clearly typed below the signature. The city is not
permitted to charge for providing this statement.3a3
A city can recover labor charges for providing access to electronic records if providing
such access requires programming or manipulation of data.344 In such a case, the city
must provide a special written notice to the requestor as provided under the Act.345
Additionally, the city must obey the rules of the attorney general's office in determining
how much to charge for the labor.346
112. Can a city charge for the labor cost to retrieve materials from a remote
location?
A city may charge for the labor cost of retrieving records that are located in two or more
separate buildings that are not connected to each other or that are located in a remote
storage facility.347 Buildings are considered to be "separate" if they are not connected by
a covered or open sidewalk, or by an elevated or underground walkway.348 The charge
339 Id. § 552.271(c)- (d).
sao 1 Tex. Admin. Code § 70.3(d)(1).
341 Tex. Gov't Code § 552.261(b).
342 Id. § 552.261(a).
343 �d. § 552.261(b).
344 Id. § 552.231.
345 'd.
346 �d. § 552.262(b). See generally 1 Tex. Admin. Code §§ 70.1-.13 (cost rules promulgated by the
attorney general's office).
34� Tex. Gov't Code § 552.261(a)(1)-(2).
sas Id. § 552.261(c).
62
for labor can be recovered in such a situation even if the requestor seeks fewer than 50
pages of copies.349
113. When and how much may a city charge for overhead when handling a
public information request?
A city may impose a charge for overhead whenever a personnel (labor) charge is
applicable to a PIA request. Any overhead charge cannot exceed 20 percent of the
personnel charge.35o
114. Can a city recover costs for any modifications to its computer program
that are necessary to respond to a public information request?
A city may charge a requestor for the cost of any programming or manipulation of data
that is necessary to respond to a PIA request.351 Presently, the attorney general's office
allows a maximum programming charge of$28.50 per hour.352 Unlike most other charges
for public information, this charge may be imposed even if the requestor only wants
access to the requested information and does not request any copies.353 However, before
a city may impose such a charge, it must provide the requestor with certain written
information in advance, including a statement of the estimated charges.354
115. Can a city require a requestor pay the costs for producing the records
prior to the city mailing out the requested information?
If a requestor asks the city to mail the information, the city can send the information by
first class mail and can require that the requestor pay in advance for postage, along with
other permitted charges related to producing the information.355 A city is not required to
provide public information by mail until the requestor pays all applicable charges.
116. Can a city refer a requestor to the city's website if the public
information being requested is available on the city's website?
A city complies with the Act when it refers a requestor to the city's website if the
information being requested is available on the city's website.356 The city will have to refer
the requestor to the exact Internet location or uniform resource locator (URL) address on
its website. The information has to be accessible to the public and the requested
information must be identifiable and readily accessible. However, if the requestor prefers
349 Id. § 552.261(a).
350 1 Tex. Admin. Code § 70.3(e)(3).
351 Tex. Gov't Code § 552.231.
35z 1 Tex. Admin. Code § 70.3(c)(1).
353 Tex. Gov't Code § 552.272(a).
354 Id. See also id. § 552.231.
355 Id. § 552.221(b)(2).
356 Id. § 552.221(b-1).
63
to receive the requested information in a manner other than access through the URL, the
city must supply the information in the manner requested. Also, if the city provides by e-
mail an Internet location or URL address for requested information, the e-mail must
contain a statement in a conspicuous font clearly indicating that the requestor may
nonetheless access the requested information by inspection or duplication or by receipt
through U.S. mail.35�
117. What duty does a city have to inform a requestor of the estimated
charges for copies of or access to public information?
A city is required to provide detailed information to the requestor if the charges for a public
information request are likely to exceed $40.358 If the charges will likely exceed $40, the
city must provide the requestor with a written statement that contains:
1) an itemized estimate of the expected cost;359
2) inform the requestor about contacting the city about an alternative method
for supplying the requested records if an alternative method exists and it
would be less costly;360
3) inform the requestor that he or she has ten business days to provide the
city with a written response stating whether:
a. the charges are accepted,
b. the request is modified, or
c. a complaint has been lodged with the Attorney General's office
alleging overcharges for providing the copies;361 and
4) notify the requestor that failure to respond to the statement within ten
business days results in the automatic withdrawal of the public information
request.36z
If the city finds that the costs will exceed more than 20 percent of the original estimate,
the city must provide the requestor with an updated itemized statement.363 The requestor
again has ten business days to provide the city with a written response to the updated
statement, or the request will be considered to be withdrawn.
3s' Id. § 552.221(b-2).
sss �d. § 552.2615.
3s9 Id. § 552.2615(a).
360 'd
361 Id. § 552.2615(a)- (b).
36z Id. § 552.2615(a)(2), (b).
363 Id. § 552.2615(c).
64
If the actual charges are more than $40, a city may only charge the amount estimated in
the latest itemized statement that was provided to the requestor.364 However, if the city
did not provide the requestor with an updated itemized statement, the city is limited to
charging no more than 20 percent more than the amount of the original itemized
statement.365
118. Can a city require a monetary deposit or bond in order to comply with
a public information request?
A city can require a deposit or bond to comply with a public information request if the city
provides the requestor with an appropriate estimated itemized statement.366 If such a
statement is provided, a city that has 16 or more full-time employees may require a
deposit or bond if the estimated charge for producing copies of the requested records
exceeds $100.367 A city with fewer than 16 full-time employees may require a deposit if
the estimated charges for producing copies of information are more than $50.368 If the
requestor modifies the request, then the modified request is considered a separate
request.369 This separate modified request is considered received on the date the city
receives the written modified request. If the requestor does not make a deposit by the
10t" business day after the date the deposit is required, then the public information request
is considered withdrawn.3�o
119. Can a city reduce or waive the cost for making copies of public
information?
A city shall reduce or waive the normal charge for copies of public information if providing
the copies would benefit the public.371 The city may waive a charge for such copies if the
cost of collecting the fee would exceed the amount of the charge.3'2
120. Can a city count multiple public information requests from the same
requestor as a single request for the purpose of calculating cost?
Section 552.261 of the Act allows a city that receives multiple requests from the same
requestor in one calendar day to treat those requests as a single request for the purposes
of calculating COSt.373 However, if a city receives the same request from different
364 Id. § 552.2615(d)(1).
36s Id. § 552.2615(d)(2).
366 �d. § 552.263(a)(1).
367 �d. § 552.263(a)(2)(A).
36s Id. § 552.263(a)(2)(B).
369 �d. § 552.263(e-1).
3�o Id. § 552.263(f).
371 Id. § 552.267(a).
3�2 Id. § 552.267(b).
373 Id. § 552.261(e).
65
individuals on behalf of an organization, it will not be able to combine those requests for
the purpose of calculating cost.
VI. Redundant Requests and Vexatious Requestors
121. What can a city do to deal with redundant or repetitive PIA requests?
If a city receives a redundant or repetitive PIA request from the same requestor for
information that has already been provided, Section 552.232 allows the city to send a
letter to the requestor explaining: (1) that the information was already provided, (2) when
that information was provided, and (3) that no new information has been generated by
the city since the last request.3'4
122. What is a vexatious requestor?
A vexatious requestor is a person who abuses the Act by sending frequent and/or
voluminous public information requests to a city, especially small governmental bodies,
to disrupt the operations of the city's business.
123. How can a city deal with vexatious requestors who ask for voluminous
amounts of information?
Section 552.275 allows a city to establish a reasonable monthly or annual time limit on
the amount of personnel time spent to produce a PIA request for inspection or to prepare
copies for a requestor.375 For cities, this would be done by ordinance. Here are the
specifics:
1) If the city establishes an annual time limit, the limit may not be less than
36 hours for a requestor during a 12-month period starting at the
beginning of the city's fiscal year.3'6
2) If the city establishes a monthly time limit, the limit may not be less than
15 hours per requestor per month.37
3) Every time a requestor submits a public information request, the city
must keep track of the amount of time spent to compile the information
for the request. (This means for every requestor, not just the alleged
vexatious requestor.)
4) When responsive information is sent, the city is required to send a letter
to the requestor informing him of the amount of personnel time spent on
374 Id. § 552.232.
375 Id. § 552.275(a).
376 Id. § 552.275(b).
3" Id.
66
the request and how much personnel time has cumulatively been spent
on his requests.378
5) Once the requestor has surpassed the established time limit, the city
can impose certain costs on the requestor and provide a written cost
estimate for any public information request received thereafter.379
6) The written cost estimate must be sent to the requestor on or before the
10t" day after the date on which the public information was requested.
7) If the city needs more time to prepare the written cost estimate, the city
must provide a letter to the requestor explaining it needs additional time
to provide the written cost estimate.3ao
8) After sending the additional time letter, the city must send the written
cost estimate as soon as possible, but either on or before the 10t" day
after the city provided the additional time letter.
9) A requestor must pay the amount in the city's written cost estimate
before the city will process the request if the city has sent a written cost
estimate and the requestor has exceed the monthly or annual time
limit.3s�
10) If the requestor fails or refuses to pay the amount in the cost estimate,
the request is considered withdrawn.382
Also, if the requestor has made previous PIA requests in which the city: (1) has located
and compiled documents in response to those requests; (2) sent written cost estimates
that remain unpaid; and (3) the requests have not be withdrawn on the date the requestor
submits a new request, the city is not required to locate, compile, produce or provide
copies of documents or prepare a written cost estimate until the date the requestor pays
each unpaid cost estimate in connection with any previous requests or the previous
requests are withdrawn.3a3
124. Are any requestors exempted from Section 552.275?
Yes. The law does not apply if a requestor is an individual who, for a substantial portion
of the individual's livelihood or for substantial financial gain, gathers, compiles, prepares,
collects, photographs, records, writes, edits, reports, investigates, processes, or
publishes news or information for and is seeking the information for:
3's Id. § 552.275(d).
379 Id. § 552.275(e).
sso �d. § 552.275(f).
3s� Id. § 552.275(g).
3$2 Id. § 552.275(h).
3s3 Id. § 552.275(e-1).
67
1) dissemination by a news medium384 or communication service provider3a5
including:
a. an individual who supervises or assists in gathering, preparing, and
disseminating the news or information; or
b. an individual who is or was a journalist, scholar, or researcher
employed by an institution of higher education at the time the person
made the request for information; or
2) creation or maintenance of an abstract plant (i.e., title records).3a6
Also, elected officials of the United States, Texas, or a political subdivision of Texas, and
representatives of a publicly-funded legal service organization that is a 501(c)(3) exempt
organization are exempted from section 552.275.387
VII. Enforcement of the Public Information Act
125. May a requestor sue a city for failure to comply with the Act?
A requestor may bring a declaratory judgment or injunctive relief action against a city for
violations of the Act. The requestor may file a complaint against a city with the local county
or district attorney.388 The complaint must meet the following requirements:
1) be in writing and signed by the complainant;
2) state the name of the city that allegedly committed the violation, as
accurately as can be done by the complainant;
3) state the time and place of the alleged commission of the violation, as
definitely as can be done by the complainant; and
4) describe the violation, in general terms.389
Before the 31St day after receiving the complaint, the local prosecuting attorney must
determine if a violation has been committed, decide whether to take action against the
city, and notify the person who filed the complaint of that decision.390
If the local prosecutor declines to proceed with an action against a city, the complainant
can file a complaint with the attorney general before the 31 St day after the date the
384 Id. § 552.275(m)(2) (definition of"news medium").
sss �d. § 552.275(m)(1) (definition of"communication service provider").
3s6 Id. § 552.275(j).
3s' Id. § 552.275(k) - (I).
388 Id. § 552.3215(e).
389 �d.
390 Id. § 552.3215(g).
68
complaint is returned to the complainant by the local prosecuting attorney.391 Also, if the
local prosecutor does not bring any action on or after the 90t" day after the date the
complaint is filed, the complainant can file a complaint with the attorney general. The
attorney general must determine if a violation has been committed, decide whether to
take action against the city, and notify the person who filed the complaint of that decision.
The attorney general's office must notify the complainant of its determination before the
31St day after receiving the complaint.392
If either the local prosecuting attorney or the attorney general decides to bring a lawsuit
against a city, the city must be notified prior to the filing of the lawsuit.393 The city has
three days to remedy the problem.
126. What civil remedies can be brought against a city for failure to comply
with the Act?
If a city refuses to release public information or refuses to request an attorney general
ruling, either the requestor or the attorney general may bring a lawsuit to force the release
of the records in question.394 Even if the attorney general has determined that the city
may withhold the requested information, the requestor may still file a lawsuit against the
city to seek disclosure of the requested information.395 Under certain circumstances, a
third party may file litigation to prevent the release of records that implicate that person's
privacy or proprietary interests.396
In a writ of mandamus397, declaratory judgment or injunctive relief398 lawsuit, a plaintiff
that substantially prevails in their suit is entitled to an award of attorney fees and costs399
However, a court may not assess cost and attorney fees against a city if the court finds
that the city acted in reasonable reliance on:
1) a judgment or an order of a court applicable to the city;
2) the published opinion of an appellate court; or
3) a written decision or opinion of the attorney general.400
391 Id. § 552.3215(i).
392 �d.
393 �d. § 552.3215(j).
394 Id. § 552.321.
39s Texas Department of Public Safety v. Gilbreath, 842 S.W.2d 408 (Tex. App. —Austin 1992, no writ).
396 See, e.g., Mora/es v. Ellen, 840 S.W. 2d 519 (Tex. App. — EI Paso 1992, writ denied). See also Tex.
Gov't Code. § 552.325.
397 See Tex. Gov't Code § 552.321.
398 See id. § 552.3215.
399 Id. § 552.323(a).
aoo Id.
69
In a lawsuit by a city seeking relief from compliance with an attorney general ruling, a
court may not order the losing side to pay litigation costs and attorneys' fees, unless the
court finds the action or defense of the action was groundless in fact or law.4o'
Additionally, a requestor who feels he or she has been overcharged for copies of public
information may file a complaint with the attorney general's office.402 The attorney
general's office may require the city pay the requestor the amount of any overcharge. If
the attorney general's office finds that the overcharge was due to bad faith on the part of
the city, the requestor who is overcharged may recover up to three times the amount of
the overcharge from the city.4o3
127. What are the criminal penalties for noncompliance within the Act?
There are three provisions of the Act that have criminal penalties if violated:
Failure to Give Access to Public Information.4o4 A person responsible for releasing
public information commits a crime if he or she fails to give access to or fails to permit
copying of public information as required by the Act. This violation is a misdemeanor
punishable by a fine of up to $1,000, a six-month jail term, or both. Also, the Act states
that this violation constitutes official misconduct. Thus, a public official may be subject to
removal from office for such an offense. However, there are affirmative defenses to this
violation.4o5 The affirmative defenses are:
1) Reasonable belief that public access to information not required and relied
on a court order, court opinion, or ruling by the attorney general's office;406
2) A ruling from the attorney general's office has been sought and no decision
has been issued;4o'
3) A suit filed in Travis County district court challenging ruling by the attorney
general's office and suit is pending;408 or
4) Officer's agent reasonably relied upon written instruction from the officer of
public information.4o9
Release of Confidential Information,410 A person commits a crime if he or she
distributes information considered confidential under the Act. This violation is a
ao� Id. § 552.323(b). See id. § 552.324. (Suit by governmental body).
aoz Id. § 552.269.
aos �d. § 552.269(b).
aoa �d. § 552.353.
aos �d. § 552.353(b)-(d).
aos �d. § 552.353(b)(1).
ao� �d. § 552.353(b)(2).
aos Id. § 552.353(b)(3); (c).
aos Id. § 552.353(d)
a�o Id. § 552.352.
70
misdemeanor punishable by a fine of up to $1,000, a six-month jail term, or both. This
violation also constitutes official misconduct.
Illegal Destruction or Alteration of Public Information.411 A person commits a crime
if that person willfully destroys, mutilates, or alters public information or removes such
information without permission. This offense is a misdemeanor and is punishable by a
fine between $25 and $4,000, three days to three months of jail time, or both.
It is important to note that there are provisions of Texas law outside of the Act that
criminalize tampering with a governmental record which may constitute a felony.4'2
VIII. Additional Information on the Public Information Act
128. How long must a city retain various types of records?
All governmental bodies must follow a record retention schedule that requires
preservation of records for a certain amount of time.413 The Local Government Records
Act (LGRA) is codified in Chapters 201 through 205 of the Local Government Code. The
LGRA provides that, on or before June 1, 1990, the governing body of each local
government should have designated a records management officer.a'a The LGRA further
provides that, by January 1, 1991, the governing body should have established a records
management program.415 On or before January 4, 1999, all cities were required to
prepare a records control schedule and file with the Director of the Texas State Library
and Archives Commission (TSLAC) a written certification of compliance that the local
government has adopted records control schedules that comply with the minimum
requirements established on records retention schedule issued by TSLAC.4'6 q
governmental body may not destroy records prior to the time set for the destruction of
those records in the governmental body's retention schedule.4�'
TSLAC has promulgated model records retention schedules, which are available on the
TSLAC's website. For more information concerning record retention, including the Local
Government Record Act, and how to comply, contact the State and Local Records
Management Division of the Texas State Library and Archives Commission either at its
website: https://www.tsl.texas.qov/slrm, by phone at (512) 463-7610, or by email at
slrminfo ,tsl.texas.gov.
41 Id. § 552.351.
4'2 See, e.g., Tex. Pen. Code. § 37.10.
4'3 See Tex. Loc. Gov't Code, subtitle C (Chap. 201 et seq.) (Local Government Record Act); Tex. Gov't
Code §§441.180 - .205 (state agency record retention).
414 Tex. Loc. Gov't Code § 203.025(a).
415 Id. § 203.026(a).
416 Id. § 203.041(a).
417 Id. § 202.001.
71
129. Are all elected or appointed governmental officials required to take PIA
training?
Elected and appointed officials must have a minimum of one hour but no more than two
hours of training.418 Newly elected or appointed officials have 90 days from the date they
take the oath of office or otherwise assume their duties, if not required to take an oath, to
complete the required training. If the city has designated a public information coordinator,
then the officials can opt out of taking the training provided that they designate their public
information coordinator to receive the training in their place. The public information
coordinator must be the person who is primarily responsible for the processing of open
records requests for the governmental body. The official or public information coordinator
who completes the required PIA training should receive a certificate of completion. The
city shall maintain the certificates and make them available for public inspection upon
request.
130. Where can a city get more information about the Public Information
Act?
The Office of the Attorney General produces a Public Information Act Handbook, an in-
depth publication about the Act and its interpretation through attorney general rulings and
court cases. That publication can be found on the attorney general's website. Also, the
Open Records Division of the Office of the Attorney General sponsors an Open Record
Hotline where public officials and concerned citizens can get answers to basic questions
about the Act and an Open Records Cost Hotline where staff can answer questions about
charges relating to the Act. The phone number for the Open Government Hotline is (512)
478-OPEN (6736) or (877) OPEN-TEX (673-6839) and for the Open Government Cost
Hotline is (512) 475-2497 or (888) OR-COSTS (672-6787).
418 Tex. Gov't Code § 552.012.
72
Acknowledgments
This handbook has come about through the efforts of many attorneys over the years,
Zindia Thomas originally prepared much of the material in this handbook. The more
recent updates have been provided by Will Trevino.
73
HOW TO BE AN EFFECTIVE
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offense if the mem ber:
( 1) knowi ng ly engages i n at least one com m u n ication
a mong a series of com m u n ications that each occu r
outside of a meeti ng a uthorized by th is cha pter a nd
that concern a n issue with i n the j u risd iction of the
govern menta I body i n wh ich the mem bers engag i ng
in the individual communications constitute fewer
tha n a q uoru m of inem bers but the mem bers
engag i ng i n the series of com m u n ications constitute a
q uoru m of inem bers; a nd
(2) knew at the ti me the mem ber engaged i n the
communication that the series of communications :
(A) involved or would involve a quorum; and
(B) wou Id constitute a del i beration once a q uoru m
of inembers engaged in the series of
communications.
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• ��A overn menta I bod m ust ive th
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be in a meetin �
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• Entitled to attend and t ey may recor e
• Public comment on any items on the agend
• If a public comment is permitted on items n t ,
the governing body ma not discuss topics not posted, except '
either provide facts or t e existing oli
future agen a. �
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1. TI11S l�i�� 5tllt 1S �i r�5tllt Ot �i 111t1111C1���llln'�S C��C1510ri t0 C��Il�' �i ZO111I1a �i����I1Ccit1011
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Master Plan and his�orical pr�ctices. The indi��iduall`' ri�lll�Ci COtiI1C11i11�I11b�rS �"iOl�it�C� tll�` T��RS
Open Meetin�s Act in an effort to orchestrate the denial of Pl�intift�s zonin� applic�tion. As a
result of the T��ti�n's deni�I Pl�i�ltiff s land h�s been redtued in value by o�'�r �-�0 I1111I1Oil.
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a minimum during the nor �
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• Upon ,
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duplication, or both [ .
• The Town must eithe
the req uest or req uest a ru I i AG '
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Information that is written, produced, collected, assemble
maintained under a law or ordinance or in connection wit
.
, �
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�z� for a overn menta I bod � o
9
a. owns the informatio
b. has a right of access ,
�. spends or contri butes pu bl ic money for rpose o
writing, producin o
the information;
�3� by an individual offic
the officer's or employee's official capacity and the �
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rac � ca arn � n
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i nformation that m ust be released
if th �
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p p
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overn menta I bod or the officer's a ent.
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• Provide the i nformation to the town secreta ry �
later than the 10th da after it was re
.
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Town Cou nci I or a n o ie
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• Destruction of u bl ic i nformatio � Class
m isdemea nor — u to 4 000 fi n
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months � � , �
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• Distri bu ion o con i ia i n
� to 1 �
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• Ref u sa I to i
m isdemea nor — u to 1 � or 6
. .
. .
.
■ ■
on � c s � sc osu re a emen
• Re u i res that ma ors cou nci I mem be
a y ,
. . . .
c�t ma na ers a nd � n other c� •
y g ,
officia ls m ust fi I � ' 'cts ' I
statement" with 7
becomin aware of ' f ow n
. .
g
.
� . A city officia l or fa m i ly mem ber ha�
employment or business relationshi :
resu Its i n taxa ble i ncome with a per
has contracted with the city or with
the city is consideri n, � � e
2. A city official or fam
accepts one or more g ifts with a n agg regate
va I ue of $ 100 i n the preced i ng 12 months
from a person who cond ucts busi ness or i
. . . . . .
be� �ty.
.
■
on � c o n eres
• Officia ls sha I I not use thei r osition t
p
. . . .
sol �c�t or acce t em lo ment
p p Y
or busi ness entit tha - �
y
. . .
or ift or th i n of va I ue n or
g g
busi ness � � � � t�
.
■
a u or on � c o n eres
TEX . LOCAL GOVT. CO D 171 . 00
. . . . . ;
roh � b�ts a loca I u bl �c off� c� a I fro
p p
knowi n I a rtici ati n i n a vote
gy p p g
decision on a matte volvi n a busi nes
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entit i n wh i ia l h sta ntia l
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i nterest if it I le that
y
a n action on the matter wou Id confer a n
ec n m ic enefit n the si ness entit
.
.
■
a u or on � c o n eres
• Cha pter 171 Loca I Gov rm m �
1) Substantial inter .
Busi ness enti , �
Rea I Pro er �
p
2) Special econom�c e e . . own op
the notice a re
.
• Pena ty � C a .
• a fi ne not to exceed $4,000 . 0
• confine � � �
year; o
• h in n n in m
.
a ter - ena o e
■ Offer, confer, or agree to confer any ' ene
■ Solicit acce t or a t an �
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. .
(
.
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S ! . .
,
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: Are m rivate e- ma i Is a nd tex
yp
. . . .
sub i •
.
A : Yes � e ema � s � ex s rel e
,
. .
from a riv u
p
accou nt. The on I factor he er
y
t h e e- m a i I a n d texts � �
.
. .
.
�
�
Q • Wou Id com m u n icati ng with a nothe
' . .
Cou nc� I mem ber a bout a pu bl �c mat :
ma i I, text or teleph � �
Open Meeti ngs A
A : Possi bly ! Havi ng e cas
a nd attorney genera n ion that i erprets
the Open Meeti ngs Ac � � er
that I m ust g ive bei ng va iv wyer
. . . . .
. .
.
. �
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�
Q • What is the most appropriate way e
' . .
a Cou nc� I mem ber that br� ngs u p a :
d iscussion at a � w t �
not posted on t d
A : Fi rst, th is shou Id ppen a d
training and the . it does,
cha i rperson shou Id si m ply state
matter is not on the age
.
. �
� � • • . • _ _ � - �� ' _
• � - . � � �� - - � �
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�
� Ca n meeti n s be ca ncel led if it �
. g
, ;
kn ow n a
.
A : Yes ost a no �c ca nce at�o
, p
h oweve r � �
a I .
.
■
mmuni
, �
.
.
.
■ ■ ■
icia mmuni
• Govern ment officia ls a re entitled � �
immunity from suit arising from pe .
. . . . . . .
of their ( 1 ) discretionary duties � n (2) good f
as long as they are � � � h
. .
• u �c o �c�a s are �a e persona y on en,
i n the exercise of the powers conferred u pon
them, they have acted wi I Ifu I I � � or
. .
. .
.
�
.
�aa . � poo6 �(�a��n�i�a�d
� s� s��1 •auop uaaq s�� �� aa��� u��� � �a� s�(�nn� � 'op
o � u a o�( �z
.
, . .� . . no�( ���nn �no 6u i pu i� u�oa�
�� daa� � �inn si�1 �a�uo �� os �u iop do�s '�(auao���
: ��inn sa �
a u� o u nno � n o an �� o nno
.
■
ow o r� ve o u r ow n o rn e
,
raz con .
3. Tel I the newspa per a nd TV what you have done, a n
why, before you tell the town attorney. For exampl .
you could tell a TV report at, ��I fired the chief '
po I i ce beca u se eve
.
attorney. Rather, send h i m the agenda rig efore
the meeti ng . It is a Iways i nteresti ng to observe what
ha ppens when the attorney lea rns for the fi rst ti me at
the meeti n a bout some le o
.
■
ow o r� ve o u r ow n o rn e
,
raz , con .
5. Dema nd the town attorney's o � �
pu bl ic meeti ngs. If he suggest�a :
cou rse of action is i a l, do it a nywa
Then, he can h ini n te a � n
him in cour
6. Sla nt the facts. most
every lega I q uestion depend � r y u pon
its factua I basis, concea I or n e �he facts
to com pel the t �v
a n swe r ' '
.
■
ow o r� ve o u r ow n o rn e
,
raz , con .
7 . Answer le a I uestions ou r . �
g q y
alwa s makes for an interestin :
y
situation a rtic at �c
, p
meeti n s . The att
g
either u bl icl � ut to 0
p Y Y
boss - ou r err ma ke it
y
ou do not know what ou a re ta I ki n
y y g
a bout or he m ust kee u iet a nd
, pa
a I low a decision to be made on the
basis of an i I al �on . '
. ,
.
■ ■
i s or ein n
. . . .
ec � ve u � c � c� a
j. Service — a Iways pa rtici pate with servi�
those people you dea I ith day i n a nd '
.
Provide service h u m bl � p e
work I i ke it's the last
vacation ; th i n k how m uch you 'I I get don
every day. Always � �
i n eve ryt h i n g yo u
z, lnteg�ity — have i nteg ri y i n a at y .
Persona I ly a nd profe � I
and ' '
.
■ '
� scon .
,
3. Optimism — be an optimist. Ha
Positive Mental Attitude; Dispositio :
cont � � � de wou Id yo
rathe you have?
you th i n k is what y � '
short � �
4. Pre I
preparer. Fail to plan, an a �
.
■ '
� scon .
,
s. Listen - o u I e a r n f ro m I i ste n i n .
y
one lea rns from ta I ' n '
6. Ba/ance — have ba r e .
ou 're out of ki Iter e ou e oi
Y , Y g
to be out of ki Iter a a nd �ice ve�sa.
Strive to find the balance and '
ha ier a nd more rod uctive .
pp p
With ba la nce � �
.
■ '
� scon .
,
�. Humor — keep your sense of hu
your ability to laugh at not only th '
.
a rou nd you, but f. �ife ca n
d readfu I u nderta thout la ug h
s. Courage — have ge as a ave
the cou rage to ma e ha rd t)
decision . Have the coura ou
think is right, even i r
.
■ '
� scon .
,
9. Pe�seve�ance - N EVER u i .
q
Motivation ' to a I I c :
�o. Teamwo� ' n s
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Presented by:
Janet Bubert
janet.bubert@uwlaw.com
Underwood Law Firm
1008 Macon Street, Suite 101
Fort Worth,Texas 76102
CHARTER SCHOOL TRAINING FOR GOVERNING BOARD MEMBERS
L OVERVIEW
A. Open-enrollment charter schools are part of the public school system of Texas.
Tex. Educ. Code § 12.105.
B. Purposes
1. Improve student learning;
2. Increase the choice of learning opportunities within the public school
system;
3. Create professional opportunities to attract new teachers to the public
school system;
4. Establish a new form of accountability for public schools; and
5. Encourage different and innovative learningmethods.
Tex. Educ. Code§ 12.001.
C. Classes of charters available
1. Home-rule school district charter
2. Campus or campus program charter
3. Open-enrollment charter
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4. College or university charter
Tex. Educ. Code §12.002.
D. Laws Applicable to Charter Schools
l. Charter schools are subject to the federal and state laws and rules
governing public schools; however, they are subject to the provisions
of the Texas Education Code and the corresponding rules in the Texas
Administrative Code only to the extent that the statutes and rules
specifically provide.
2. Laws which state that they apply to a "school district" or "political
subdivision" do not apply to a charter school unless expressly applied to
charter schools.
3. Texas Education Code
a. Laws are to ensure that charter holders are fiscally and
academically accountable.
b. Laws should not be applied in such a way to unduly regulate the
instructional methods or pedagogical innovations of charter
schools.
c. Texas Education Code provisions that apply to charter schools
include:
Tex. Educ. Code §§ 12.104, 12.156(a).
(1) Education statutes that establish a criminal offense,
which includes:
(a) Education Code Chapter 22 provisions relating to
unlawful inquiries into religious affiliation;
(b) Education Code Chapter 31 provisions relating to
textbook rebates;
(c) Education Code Chapter 44 provisions relating to
offenses for attempting to defraud the State on any
forms submitted under Chapter 42; a board
member's vote to approve any expenditure in excess
of items appropriated or adopted under the budget;
offenses for attempting to circumvent purchasing
requirements, ifapplicable;
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(2) The Public Education Information Management
System (PEIMS) reporting requirements;
(3) Background checks far criminal history records;
(4) Reading instruments, accelerated instruction programs,
intensive programs of instruction and assessments required
under Education Code Chapter 28;
(5) High school graduation requirements;
(6) Special education, bilingual, and pre-kindergarten
programs under Education Code Chapter 29;
(7) Extracurricular requirements;
(8) Prohibition of restraints and seclusion as discipline
management techniques under Education Code Chapter
37;
(9) Health and safety requirements such as immunizations,
dyslexia screening, reporting of child abuse, tobacco and
alcohol prohibitions, and implementation of coordinated
health programs under Education Code Chapter 38;
(10) Public school accountability provisions under Education
Code Chapter 39;
(11) Education Code Chapter 42 funding formulas;
(12) Education Code Chapter 45 regarding restrictions on use
of public funds and requirements for depository contracts;
(13) Education Code § 37.007(e) regarding expulsion of a
student who brings a firearm to school;
(14) Requirement under Education Code § 21.006 to report an
educator's misconduct;
(15) Right of a school employee to report a crime, as provided by
Education Code § 37.148;
(16) Bullying prevention policies and procedures under
Education Code § 37.0832;
(17) Right of a school under Education Code § 37.0052 to place
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a student who has engaged in certain bullying behavior in a
disciplinary alternative education program or to expel the
student;
(18) Right under Education Code § 37.0151 to report to local
law enforcement certain conduct constituting assault or
harassment;
(19) A parent's right to information regarding the provision of
assistance for learning difficulties to the parent's child as
provided by Education Code §§ 26.004(b)(11) and
26.0081(c) and (d);
(20) Establishment of residency under Education Code § 25.001;
(21) School safety requirements under certain provisions of
Education Code Chapter 37;
(22) Early childhood literacy and mathematics proficiency plans
under Education Code § 11.185;
(23) College, career, and military readiness plans under
Education Code § 11.186;
(24) Parental options to retain a student under Education Code §
28.02124; and
(25) Fee assessments in accordance with Education Code §
11.158.
4. Texas Administrative Code (TAC) - Texas Education Agency's
Commissioner's rules implementing the charter school statutes are
included in Title 19, Chapter 100.
5. Texas GovernmentCode
a. Governing bodies are considered to be governmental bodies for
purposes of Government Code Chapters 551 (Texas Open
Meetings Act) and 552 (Texas Public Information Act).
b. Any requirement in Government Code Chapter 551 or 552 that
applies to a school district, the board of trustees of a school
district, or public school students applies to an open-enrollment
charter school, the governing body of a charter holder, the
governingbody of an open-enrollment charter school, or students
attending an open-enrollment charter school. Tex. Educ. Code §
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12.1051.
6. Texas Local Government Code
Charter schools are subject to the certain provisions of Chapter 271, the
Public Property Finance Act.
7. Constitutional provisions applicable to charter schools
a. Programs must be non-sectarian
(1) State dollars or State property cannot be used to benefit any
religious organization (Texas Constitution).
(2) Charter schools cannot violate the First Amendment
Establishment Clause (Federal Constitution).
b. Public funds (Texas Constitution)
(1) Public funds cannot be given as extra compensation to
public officers or employees after service has been
rendered.
(2) Charter schools cannot make a gift of public funds or lend
credit with public funds (with certain eXceptions).
II. CHARTER SCHOOL GOVERNANCE
A. Definitions
1. Charter holder -- the entity to which a charter is granted.
2. Governing body of a charter holder -- the board of directors, board of
trustees, or other governing body of a charter holder.
3. Governing body of an open-enrollment charter school -- the board of
directors, board of trustees, or other governing body of an open-
enrollment charter school, including the governing body of a charter
holder if that body also acts as the governing body of the open-
enrollment charter school.
4. Officer of an open-enrollment charter school -- the principal, director,
or other chief operating officer of an open-enrollment charter school; an
assistant principal or assistant director of an open-enrollment charter
school; or a person charged with managing the finances of an open-
enrollment charter school.
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Tex. Educ. Code § 12.1012.
B. Responsibilities of the governing body
1. Management, operation, and accountability of the school regardless of
any delegation. Tex. Educ. Code § 12.121.
2. Primary responsibility for implementing the public school program
authorized by the school's charter. 19 TAC § 100.1101.
3. Primary responsibility for ensuring the performance of the students
enrolled in accordance with the Texas Education Code. 19 TAC §
100.1101.
4. Oversee the management of the school by acting as a body corporate at
meetings posted and conducted in accordance with the Texas Open
Meetings Act.
a. Individual board member acting without authority from the board
could be personally responsible.
b. Board must act as a body corporate. 19 TAC § 100.1101.
c. Adopt policies for the school including, but not limited to, those
relating to financial matters, employment practices, property use,
academic guidelines, selection of instructional materials, student
discipline, child abuse, and other required reporting obligations.
C. Restrictions on serving as a member of the governing body
1. Criminal background check is required. 19 TAC § 100.1151.
2. A person may not serve as a board member if he or she has been:
a. Convicted of a felony;
b. Convicted of a misdemeanor involving moral turpitude (e.g.,
theft, fraud);
c. Convicted of an offense for which a student must be expelled
(e.g., sexual assault; indecency with a child; certain offenses on
or off campus at a school-related activity such as drugs,
possession of firearm or other prohibited weapon) under Tex.
Educ. Code § 37.007(a);
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d. Convicted of an offense listed in the Code of Criminal Procedure
§ 62.01(5), which is a reportable offense under the sex offenders
registration program.
Tex. Educ. Code § 12.120.
D. Conflicts of Interest
1. Board members and charter school officers must comply with Texas
Local Government Code Chapter 171 regarding impermissible conflicts
of interest. Tex. Educ. Code § 12.1054; 19 TAC § 100.ll 31.
2. General Provisions
a. A board member of the charter holder or governing body of the
charter school is considered to be a "local public official" for
purposes of Tex. Loc. Gov't Code Chapter 171. Tex. Educ. Code
§ 12.1054; 19 TAC § 100.1132.
b. Board members or charter officers are considered to have a conflict
if a relative within the third degree of consanguinity or affinity has
such a conflict. Tex. Educ. Code 12.1054; 19 TAC § 100.1132(d).
3. A conflict of interest exists i£
a. The board member or charter officer has a substantial interest in
a business entity or in real property in which the charter school
has some involvement orinterest.
b. The board member receives compensation or remuneration from
the charter holder or school (e.g., may not be a board member and
employee) unless an exception applies.
4. If a conflict exists:
a. Board member or officer must file an affidavit and refrain from
voting on matters affecting personal interest.
b. Board must take a separate vote on any budget item specifically
dedicated to a contract with a business entity in which a board
member has a substantial interest.
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5. Abstention from voting is excused if both of the following requirements
are met:
a. Board member files an affidavit as required.
b. A majority of the members of the board have a similar interest
on the same official action and all file the required affidavits.
E. Nepotism
l. Charter schools are subject to the nepotism laws in Texas Government
Code Chapter 573. Tex. Educ. Code § 12.1055.
2. General Provisions
a. A public official is prohibited from hiring, selecting, appointing,
confirming the appointment, or voting for the hiring, selection,
appointment or confirmation of the appointment of an individual
to a charter position that is either directly or indirectly
compensated by public funds who is within the third degree of
consanguinity (blood relation) or second degree of affinity
(marriage) to the public official. Tex. Gov't Code § 573.002; 19
TAC §§ 100.ll 12(b), 100.1 ll 3(e) and 100.1114.
b. Two individuals are related by consanguinity if one is a
descendent of the other or they share a common ancestor. An
adopted child is to be considered the child of the adoptive parent
for purposes of the nepotism statute.
c. A public official is defined as a member of the governing body
of the charter holder, a member of the governing body of the
school, or an officer of the school. 19 TAC § 100.1112.
d. An officer of the school is defined as the chief executive officer,
central administration officer, campus administration officer,
business manager, principal, director, other chief operation
officer, an assistant principal, assistant director, or person
charged with managing the finances of the schooL Tex. Educ.
Code § 12.101; 19 TAC § 100.1011(16).
3. The charter school officer responsible for hiring charter school personnel is
a public official for purposes of the nepotism prohibition with respect to a
decision made under that authority; and each member of the governing
board of the charter school remains subject to the nepotism prohibition with
respect to all charter employees. Tex. Educ. Code § 12.1055.
4. Exceptions to nepotism prohibitions:
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a. Prohibitions do not apply to situations involving continuous
employment under the following circumstances:
The related person was continuously employed for at least 30
days to one year (depending on the position of the public
official) before the public official took office:
(1) 30 days if the individual is a charter schoolofficer;
(2) 6 months if the individual is a member of the governing
body of the charter school;
(3) 1 year if the individual is a member of the governing
board of the charter holder.
b. Government Code prohibitions do not apply to bus drivers in
sparsely populated counties or to substitute teachers.
5. Consequences of Non-Compliance
a. An individual who violates the nepotism prohibitions must be
removed from his or her position.
b. The removal must comply with the charter holder's
organizational documents, board policy, and applicable law.
c. The Attorney General may bring suit for removal or the
Commissioner of Education may remove the individual.
d. The individual who violates the nepotism prohibitions may be
subject to criminal sanctions.
e. The charter holder's failure to remove the individual is a material
charter violation.
F. Delegation ofDuties
1. The governing body is responsible for the management, operation, and
accountability of the school and retains the ultimate authority and
responsibility for the school even if it delegates certain tasks. Tex. Educ.
Code § 12.121; 19 TAC § 100.1101.
2. Method for Delegating
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a. Charter application-a charter applicant may specify in its charter
application the powers or duties that the governing body will
delegate or may delegate to an officer. Tex. Educ. Code § 12.111;
19 TAC §§ 100.1033 and 100.1101.
b. Delegation amendment- a governing body may delegate powers
and duties through an amendment adopted in accordance with
applicable law. 19 TAC §§ 100.1101, 100.1033.
3. Non-delegable Duties. A charter holder governing body may not
delegate the following duties absent a specific written exception setting
forth good cause why the function cannot be carried out by the charter
holder governing body and approved by the Commissioner of
Education:
a. Final authority to hear or decide employee grievances, citizen
complaints, or parental concerns;
b. Final authority to adopt or amend the budget of the charter holder
ar school, or to autharize expenditures or obligations of state
funds or the use of public property;
c. Final authority to approve audit reports under Texas Education
Code § 44.008(d);
d. Final authority to direct the disposition or safekeeping of public
records, except the board may delegate this function to someone
subject to the board's right of immediate access to, control over,
and possession of such records;
e. Final authority to adopt policies governing school operations;
£ Initial or final authority to select,employ,direct,evaluate,renew,
non-renew, terminate, or set compensation for the
superintendent/chief executive officer. 19 TAC § 100.1033.
G. Training
1. Each member of the governing body of a charter holder or the governing
body of a charter school must complete a training course consisting of
12 instructional hours unless an exemption applies.
2. The training must include modules on the following: school law, school
finance,health and safety issues, state accountability requirements, open
meeting requirements under state law, and public records.
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3. Following completion of the required training, additional annual training is
required as described in the TEA charter regulations.
19 TAC § 100.1102.
H. Liability
1. Charter schools,members of the governing bodies of charter holders and
charter schools, and charter school employees and volunteers are
immune from liability to the same extent that a school district and its
board members, employees and volunteers are immune in matters
relating to the operation of the charter school.
2. An open-enrollment charter school is a governmental unit as defined by
Texas Civil Practice and Remedies Code Section 101.001 and is subject
to liability only as provided by Civil Practice and Remedies Code
Chapter 101, and only in the manner that liability is provided by that
chapter for a school district.
Tex. Educ. Code § 12.1056.
I. Chief Executive Officer(CEO)
1. Relationship with the Board
a. CEO is the person directly responsible to the governing body of
the charter holder for supervising one or more central
administration officers, campus administration officers, andlor
business managers. 19 TAC § 100.1001(17).
b. Regardless of title, the person is considered the CEO if he or she
functions as the chief administrative officer of the charter holder
and serves as the chief administrative officer of the school.
c. The charter holder governing body must adopt a job description
for the CEO.
2. Responsibilities the CEO may not delegate, absent a delegation
amendment approved by the Commissioner include:
a. Organization of charter school's central administration;
b. Approval of reports or data submissions required bylaw;
c. Selection of school's employees or officers.
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19 TAC § 100.1033.
III. SCHOOL STRUCTURE
A. Admissions Policy
1. Total enrollment may not exceed the maximum number of students
identified in the school's charter. 19 TAC § 100.1207(d).
2. Schools must require students to complete and submit an application for
enrollment. Tex. Educ. Code § 12.117.
3. School must establish a reasonable deadline for application submission.
4. Non-discrimination Policy
a. A charter school must have an admission policy that prohibits
discrimination on the basis of sex; national origin; ethnicity;
religion; disability; academic, artistic, or athletic ability; or the
district a child would otherwise attend.
b. A charter school may have a policy that permits exclusion of a
student who has a documented history of a criminal offense, a
juvenile court adjudication, ar discipline problems under Texas
Education Code Chapter 37, Subchapter A.
5. Admissions
a. If a charter school receives more acceptable applications than it
has available positions, the charter school must fill the available
positions by lottery. Tex. Educ. Code § 12.117; 20 U.S.C. §
7225d.
b. A charter school may adopt an admissions policy that exempts
certain categories of students from the lottery as allowed by
federal law.
c. An open-enrollment charter school that specializes in one or
mare performing arts may require an applicant to audition for
admission to the school. Tex. Educ. Code § 12.1171.
6. Notice of Expulsion
When a student is expelled from a charter school,the charter holder must
notify the school district in which the student resides within three (3)
business days of any such action. 19 TAC § 100.1211
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B. Geographic Boundaries
1. A charter school may establish a primary and secondary boundary.
2. Students residing outside the primary geographic boundary stated in the
charter shall not be admitted until all eligible applicants within the
geographic boundaries who have submitted a timely application have been
given the opportunity for admission. 19 TAC § 100.1207(�.
3. The school may admit students who reside in the secondary boundary
in accordance with the terms of its charter. 19 TAC § 100.1207(�.
4. A charter school must file an application for amendment with TEA to
change its geographic boundaries.
C. School Personnel
1. Qualifications of Teachers
a. A person employed as a principal or a teacher by an open-
enrollment charter school must hold a baccalaureate degree. Tex.
Educ. Code § 12.129.
b. Bilingual and Special Education Teachers must be appropriately
certified in their respective areas according to state standards.
c. The charter school is required to give written notice of the
qualifications of each teacher it employs to the parent or
guardian of each student enrolled in the school. Tex. Educ.
Code § 12.130.
2. Criminal History Background Checks
a. A person may not be employed by or serve as a teacher,
librarian, educational aide, administrator, or counselor for an
open- enrollment charter school unless:
(1) the person has been approved by TEA following a
review of the person's national criminal history record
information as provided by Education Code 22.0832;
and
(2) the school has confirmed that the person is not included in
the registry under Education Code Section 22.092.
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Tex. Educ. Code § 12.1059.
b. An entity contracting with an open-enrollment charter school
must obtain the national criminal history record information for
any employee, offered employment after January 1, 2008, that
has or will have continuing duties related to the contracted
services and has or will have direct contact with students.
c. An open-enrollment charter school must obtain criminal history
record information for employees not subject to a national
criminal history record information review.
(1) This requirement applies to an employee of the charter
school or an employee of a shared services
arrangement if the employee's duties are performed on
school property or at another location where students
are regularly present.
(2) The charter school may obtain the criminal history
information from DPS, a law enforcement agency, or a
private entity that is a consumer reporting agency
governed by the Fair Credit Reporting Act. Tex.
Educ. Code § 22.083.
d. An open-enrollment charter school must also obtain criminal
history record information for any person serving as a student
teacher or a school volunteer. The charter school may obtain
the criminal history information from DPS, a law enforcement
agency, or a private entity that is a consumer reporting agency
governed by the Fair Credit Reporting Act.
(1) Although the school is authorized to obtain criminal
history record information on all volunteers, the
following categories of individuals may be exempted
from this requirement by board policy:
(a) parent, guardian or grandparent of an enrolled
student;
(b) volunteers accompanied by a school employee
while on campus;
(c) volunteers for a single event.
(2) The school may require the student teacher or volunteer
to pay any costs related to obtaining criminal history
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information.
Tex. Educ. Code § 22.0835.
e. A charter school may not employ a person who:
(1) has been convicted of a felony offense under Title 5,
Texas Penal Code;or an offense requiring registration as
a sex offender; and
(2) at the time the offense occurred, the victim was under age
18 or enrolled in public school.
(3) The employment prohibition does not apply if the
employee or applicant committed a Title 5 offense and the
date of the offense is more than 30 years before the
effective date of this requirement or the date employment
will begin, and the person satisfied all requirements of the
conviction order.
Tex. Educ. Code § 22.085.
£ A charter school employee who is discharged for failure to disclose
a conviction of a felony or misdemeanor involving moral turpitude
to either TEA or the charter school is considered to have been
discharged for misconduct under the Texas Labor Code. Tex. Educ.
Code § 22.085.
3. Teacher Retirement System(TRS)
A charter school employee who qualifies for membership in TRS must
be covered under the TRS to the same extent as a school district
employee. Tex. Educ. Code § 12.1057; Tex. Gov't Code Chs. 821-24.
D. FinancialOperations
1. Funding
a. Charter schools are entitled to funding from the State Foundation
School Program. 19 TAC § 100.1041.
b. A charter may not charge tuition or fees except in accordance
with statutory authority which includes,but is not limited to,fees
for the following:
(1) Membership dues for student organizations/clubs (if
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Underwood Law Firm May 18, 2022
membership is voluntary);
(2) Authorized voluntary student health and accidentinsurance;
(3) Personal athletic equipment for physical education;
(4) Parlcing fees.
Tex. Educ. Code § 11.158; 19 TAC § 100.1041(c).
c. Charter school funds received from the State are considered public
funds for all purposes under State law.
2. Budget and Expenditures
a. The board has the final authority for adopting or amending the
budget.
(1) TEA recommends a cooperative approach between the
chief administrative officer and the board in formulating
the budget.
(2) The budget must be prepared in accordance with GAAP
19 TAC § 100.1047(b)
b. The board has the final authority for authorizing an expenditure
or obligation of State funds or the use of public property. 19 TAC
§ 100.1133(c)(6).
(1) The school cannot expend funds except in accordance with
the adopted budget (Fin. Acc't Sys Resource Guide).
(2) A board member commits a criminal offense if he or she
votes to approve any expenditure in excess of items
appropriated or adopted under the budget. Tex. Educ.
Code §§ 12.104, 44.052(c).
(3) The board may amend the budget or adopt a supplementary
emergency budget to cover unforeseen expenditures (Fin.
Acc't Sys Resource Guide 2.6.1).
c. The board may adopt other policies relating to the budgetary
process and expenditures that are not inconsistent with the law or
Texas Education Agency procedures.
E. Ownership of Property
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1. Public property includes any interest in real estate or personal property
acquired, improved, or maintained with State funds. 19 TAC §§
100.1063(a), 100.1065(b).
2. Public property is held in trust by the charter holder for the benefit of the
students.
3. The school may only use its public property for a purpose for which a
school district may use its property and only to implement a program
described in its charter and consistent with the Texas Education Code. §
Iz.loz. i9 Tac § l00.1063���.
IV. CHARTER CONTRACTS
A. Charter contract incorporates all information provided in the charter
application
B. Amendments
1. All amendments must be in writing and must be approved by the
Commissioner in writing. 19 TAC § 100.1033(a).
2. An amendment includes any change to the terms of an open-enrollment
charter, including the following: maximum enrollment, grade levels,
geographic boundaries, approved campus(es), approved sites, relocation of
campus, charter holder name, charter school name, charter campus name,
charter holder governance, articles of incorporation, corporate bylaws,
management company, admission policy, or the educational program of the
school.
3. The amendment must be approved by the Commissioner before
implementation.
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T�WI� aF WESTLAKE
RES�LL'TI�1� NQ. 22-03
A [tESULUTI�N UF THE TOWN CDUNCIL AMENOI1vG ANU AU��'TING THE
CDU1�iCIL'S GQVERNANCE ANU ETHICS PQLICI' ❑DC[]MENT.
WHEREAS, the Town Council tinds tkiat ethical, transparent. and effecti�e ga�ernance
are a foundati��i� of the daily aperations of our organix.atin�i; and.
WHEREAS, the �Tnwn Cauncil has revie���ed, discussed, and appro�ed the proposed
u�date to the �urrent �,tf�ics pnlicy �bein� renamed the Governance & Et�ics Poliey; and
WHEREAS, tlle Town Council finds that it is important to publish said palicies and
procedures ta help g��ide the work and i�iteraction of tk�e Council: and
WHEREAS, the Town �nuntii finds that the passage ot this Resfllutinn is in the best
interest of tfle citi7ens�f Westlake.
N�W, THEREFDRE, BE IT RESDLVF❑ FiY THE T()WN CDUI�ICIL DF THE TC3WN
UF WESTLAKE,TEXAS:
SCCTIL3ItiI 1: �[�hat, all matters stated i�} tl�e Recitals I�ereinaho�e are faund to be true and
correct ar�d are irtcarporated herein by reterence as i��opied in tEieir entirety.
SECTI�N 2: If�ariy portion Uf[f�is Resolutinn s11a11, for any reason, he declared in�alid
by any �ourt of com�etent jurisdiction. such i:ivalidity sllall not affect tfie remaining provisions
1lerenf and the C'ouncil hereby �etermines that it would ha�e adopted this Res��lutinn without the
invalid pro�ision.
Resulutian 22-i1:
Page 1 nf 15
SECTIQN �t: That t11is resalution sl�all become effective from and after its date of
passage.
PASSED ANll APPRUVEI] �N THIS lgth DAY UF JANUARY 2d22.
�
r� � �� �
Laur Wheat. Mayar
ATTEST:
� ���
Todd aod,Town Secretan� Ama�lda DeGa�1. Town Manager
APPRQVED AS T� FORM:
��.,,�..� ��
L. Stantnn Lowry_ Towi� Attorney
°� W�Sr'�
��� ��
� : ��..� '_ �
6 �'ti
r���,�
Resolution 22-Q3
t'age 2 c�f 15
T H E T � W N U F
W ESTLA � E
oisri�cr�vE ev oEs�cN
Tov�n �ouncil Member
�Board of Trustee�
��V�rnan�e & Ethics Polic
Y
Adopted 07�'?8120D$
Re�ised l2!1312Q2p
Resolution 2Z�p3
Page 3 of l5
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We Will Never hrirrg disgrRce to t1�rs, nur Towrr, hy Rny rrct of dislzo►resty or
cowcrrrtice; we will frglrt fnr nur ideal� rrrrd sRcred things of the Tow►r, 6otlz
alone and with mirMy; We wil! rrever brrng clisgrrrce tu this, {�ur Town, by arry
act of dishonesty or cowrrrrlice; rve will figJrt for� uur rrlerrls rrrrrl srrcred tJring� of
tlre T'owrr, bnth Rlorre rrnd with marry; we wit! revere arrd obey t{re Tawrr's lrrws
Rnc!dr� aur hest to rncite rr like respec� arrd revere►rce in tlrnse rrbout us; we wrll
strive unc•easingly tn rJurcken the pu6lic's serrse af civic duty; rrnd thus in crll
1he wrrys ►�e wi!!�trive tn transmit this Towrr not o�aly nut less bu1�rerrter, 6etter
rrnd mure 6erruti_ful thrr►� rf wrrs trRrrsmitted t�j us.
The Ephebic Qrrth wRs t1�Rt trrherr by tlie you►zg merr of
fl�e rrncient Atlrerrs when they hec•rr►rre
of trge to �rssume tlre resr�onsihrlity of cifizer�ship
We all haue the respo�si6rCity ta prr�tect the r►rtegri�jv
of our goverrrirr�proress rrnd therefure,
haue read and agreed to these guidelrrres.
Eiesolutian 22-U3
Pagr 4 of l5
Table af Contents
Section I: Go�ernance RelatiQns & Ethics Palicy .............................4
A. Mayo�IPresident's Responsibilities ......................................6
B. CauncillBoard of Trustee Member's Responsibilitie� .........6
C. MayorlPresid�nt & �ouncillBoar•d Member
Code ❑f�onduct ..................................................................7
D. Baard and Staff Relatians ....................................................7
Se�tion II: Council-Manager Form of Go�ernment...........................8
Secti�n I1I: Agenda Procedures ........................................................9
Sec�ion IV: Council Media Re�ations ................................................ �Z
Itcsaluli�n 22-a3
Page5nF15
5ectiv� I - Go��ernance Relati�ns Yolic�
The Westiake Ta�vr-i C�i�nci l is the ga�ernin� bady for tl�e '1'n��-i� ot VI�'estlake and aisn serves as the
Btiard af'"I'rustees �'or Westlake A�adem�: thc:relr�re, thcy mu�t bear tl�e initial responsibility fos-the
inte�rity ❑f go�•ernance. As the 'Cnwn al� VVestE.ike a���i7s. operates, and holds the chat-ter far thc
schoal, thc title of Council Me��ibcr will also apply to their rale as a �n�•erning l�oard f'or our
ac:ademic ser�•'s�es dep�rtment t WeStla�� �lcademy). �I'hus. Tnwn Cc�uticil Member is synonti°mnus
with Board ❑t Trustee Member a:id Mavc�r is sviinnvmous ■�ith Presid�nt c�t�V4'estiake Academ.�•.
Serr��in� the com:nunity� is a �,r�at tionor anc� sh«Lild help htiild the public trust in nur la�ca�l
�a��ernment. The Cnu�icil is respansible f«r its cn��i professional deG�elflpment and educatinn [bath
as a bociy aild as indi�•iduals). 1L5 04V17 C�15L'k�}I111E, arid its o���l pet•for�tiance. "rhe de��elopment and
adherence ta tl�is �oli�y is designed ta ensure effecti�e and eft3cient ga�ernance as it is tlie
toundatinn nf�ur surress.
'��f1is policy will address MaynrlPresident aiid C��i�z�cillf3aard reiations, Caui�cillE3o�ird and Staff
r4latio��s, the Co�incil-Manager Parm of C�a�•eri�il�e:ni and Co�inci11F3aard and mcdi� relatiotls. F3y
adoptin� these guidelines. we ackno�vle��e «ur respnn�i�ilit�� tn each other, to c�ur professinnal
5tatt, and t❑ the puhlic that we all serve. The Councit ��ill gn�•ern bot11 municipal and academic
sei��i�es in a ma��ner associated with a connnitir�e��t to the J�rese�•ation ❑f the ��a�ues a�}d inte�rity
at�-epresentative ]c�tal go��ernment and democracG�. a3�d a dedication ta the promatian a#-eFti�iei�t
and eff'eGti�e �or:ernin�, 'fhe t�llo��i��� �tatem�nts ��il[ s�rG�e as a guide and ack�z«�v�ed�e t}7e
commitment beisz� mad� in thi5 scr�•i�e t❑ the c:�7»l��iunit�•:
1. 'I'he Cnuncil has as 41i�f� priorities t�1e �a�itiTival imprc��erncnt of the memher's professional
ahility and the prosnotion «1� an atmasphere con���i�i�c ta the fair exchan�e ot' ideas and
pali�ics amang members.
�. "I'hc. Co�incil �r�ill l'T7L�L'c3Vt71' TQ I{�e]7 [IlL' Ci7Tl71l�i1i111�' 11�fOt'C]l�� ❑Cl T]lLl1]1C1�,7alIaC�Ci�i71y d�'Fclli'5;
encvurage commu�licatic�Ei between t13z �-esidents and the Cauncil; strir.e Inr strang workir�g
rclatiniishi�s atnnn� neighhnri�i� muni�i�alities and elec:ted ntficsa[s,
�. In its �o�ernance role, the Cot3ncil ���ill �nntinti� te� he dedicated to triendlv and courteous
relatit�nships with Staff, c�tl�er CounLil �zte«tbers, azld the �ublic. .ind seek to impror.�e th�
quality and ir�ia�e af�puhlic ser�ice.
4. The Cauncil will also stri��e l❑ I'�Cp�11iZe ]t5 T�:Sj]ClllSl�7illtl' CC� flliLlr���112�311pTk5 YSy aC�dl'e5S1Il�'
tl�e interrelatcdness a�� the social. �ultural, and }}hysica� characteristi�s ��t' t�le ties ot` thc
communiry wl�en mskin� prrli�ies.
�. As1d ti�lally. each Cc�u3icil member��ill make a cnn�mitirsent tn imprt»e the ytiaiit�� nf 3ife for
the i��di�idual an�the community,a�td to hc d�.dicateci t�3 the faithful ste4v��rdship�I'the publsc
tnsst.
S#atgment of�'ur�gse
Iti t}rder t� ensure lhe proper disclzar�e c�Fduties f't�r tkie impra��emc.nt of�democratic ntunicipal
a:}d schaal �o��enlance, V►�'estlake CouncillBaar� Members shou[d display }�ehavie�r that
demoilsti�ates inclepe�ide�l[, impai-tiai t•e�ie4v at"al l n�atters addressed bv tlleel� and be dul�•
responsible to tlie residetits nf�Westlake and [❑ each ntlier in tl�eir relatinnships.
ltcvnlution 2?-Q3
Page G a F I 5
�ode of Cthics
The ofti�e ❑f elected of'ficsals is oi�e af trust atld ser�ice tt� the residents af the 'i��zw�i of Westlake
and WestEake Academy. This pasitian creates a special respai�sibility for the WeStlake
CouncillBoard Memher. Ii� r�spanse to tliis, the VVestiake C'nuncillBoard is expected to �avern
this To�vn in a matiner assaciated with a eommitment tc�t�ie preser�ation crfthe�aiues and integrity
of' repr�sentati�e lacal �p�•ernr��ent and lu�al detnocracy and a dedication to the pramvtian ❑�'
ef�cient and effeCti�e go�ernin�. To furtlier t}iese q�1�GGL1V�5, �ertain ethi�al priiiciples s�a11
go�ern the �ondu�t of e�ery �ou�lcillBaard Member, wh❑ shall:
1. Be de�icated to the hi�hest ideals ofl�onor and inte�rity i�1 all public and ptrsnnal relationships
ir� order tl�at the metnber n�a}= merit thc i��.spect and ca��fidence af�the residcnts nf Westlake;
and.
2. fte�a�nize that tl�e chicf f'unction of ln�al �o��er�lment at alI times is ta 5er�•e the best int�rests
nf alI of the pevple; ai�d.
3. Be dedicated t« public ser�•ice by bei�l� cooperativ4 and constructive, and h� makin� thc he�t
and n7t�st etticient iese of a�•ailable resourres; arsd.
4. Reti•ain from an}� activitr• as-action tfiat may hitlder ont's ability tc� hc ohjectiG•e aa�c� impartial
nn any matter co�niiag bef��re t�ie board. I]n �7c�t seek nc�r acc:ept �ifts or spe�ial [avors: �eli��e
tEiat pers«�zal �ai�1 by tise flf� �ontide�itial irift}rti�ation ttr �nisuse ot� p�ib�ic itmds ar tii�le is
dishnnist: and.
3. Reca�nize that ��ublic ai�d palitical policy de�isin�ls,based on estahlished r�•alues,are ultimat�ly
the respo��sibilitti of�the ��a�•d: aiid,
6. Condu�;t business in apen, �r�•ell puk�iiriced me�tin�s in arder tc� he directly acc�u3itable ta the
residerlts nf Westlake. lt is re�agniced t�iat certain e�ceptior�s are made h�� the State for
executi�'� 5C551C}115; hnweu�er, �ny actit�t7 as a resLill nt�that type nf mc�:titlt �G�il1 be ha��dled
latei-in o}3en sessir3��.
A. MAY�RIPRF51UF1vT'S RF,SPOhSIBILITIF.ti
�[-he MayarlPresident lias tlze important responsiiaility of presidin� at n�cetin�s, issuing
praclamatians,and�eneraZfy serves as the�o��ernmentaI head ofTaw�n CauncillZ3nard ofTrustees.
�ne of� the major duti�s af the pasitian. is t❑ work with the ather Cr�u�lcillBoard Members ta
identafy, prioriti��. and allacate fundin� fnr the needs of hath municipal and academic ser�tce
areas and work r.�•it�i staff`to set the sirate�ic a�itGomes afthe c�rganization.
The Ma�nr alsa represents the Towi� in ceremanial e��ents, makes presentatians an hehaifof tlie
r��unicipality and should erpeGt t❑ �iue inter�iews to the mc:dia{w�en n�ressary}. p�-eside at
graduatian each year, help produ�e �ideas for tl�e «r�anizatinn and participatc in business
discussions�vitlt all stak�;holders. Additional it�formatinn is listed h�lnw:
lZesoltition 22-[]3
Page 7 Qf l5
l. T'he MayorlPresident shall be the ��residin� ��fticer at all mcctings. �rhz Mayor Pra-tem
shal l pr�side izl hislher absencc.
2. E�cept as pr���ided for b�• 5tate la��• pertainin� tt� ��otin� on �oun�iIl�3nard ir�at�ei•s, the
Mayc��-IPrestde:it sl�all ha��e a �rric�: in all matters before tf�e C'auil�illBt�ard.
3. The MayarlI'resident shall preser��e order and deco�-um and shall require CouncillBaard
mcmhers en�aged in debate tn limit discussi�n to the c�uestia�i under consideratio�i.
�. The Mayor IPresident is the s�okespersan for the CnuncillBnard an a�� matters u�lless
absent, at r.�hictz ci:ne hislh�r� desi�ziee will assu�zle the role.
S. �l�he May�rlPresidetit wi11 enenur�ge all Councillat�ar�j n�embers to particip�i� iT�
CauncillSoard discussian�aiid �i�e ca�h membe:-an c�pportunity to speak befar� any
�nember can speak again c�n tlle sam�: s�ibject.
6. 7�he Mayar IPresident �na�� li�zlit e��ch speaker to tliree to ti�e (�) �ninutes tn ensure an
efticicnt use of tim�. �[�he N7ayorlPrGsident is res�o�}siblc for kee��in� the rneeti���s orderly
hy recognizing each member f'c�r discussion, limiting speakin� time, encnuragin� del�ate
arnang inembzrs asld keepi�lg disc:ussin�� li��litid ta tfie a�enda item heii�� Gonsidered.
7. 51�nuld a canf7ict arise amnn�; Councill I3c}ard mcmbers. the MaynrlPre�ident wil] ser�e as
the rnediatar.
B. C�UNCILIBDARD DF TRC]ST�rS M�:Mf3�R RESP�NS1f3IL1TIi;5
C'ouncillBaard of Trusiee memhers ser��e in a le�,tslati�re role for the arganizatian. They ha�e the
impartant rale af approvi:l� pnlicy direction, setting the �trate�ic directian for both inunicipat and
academiL ser�fices thraugh tlle establish�nent of�the r��isionlmis5ianl�alues and �ollaboratin� �°ith
staff to de��elop autcame ❑bjecti�es, and measuring the ef'fecti�•eness aF the service deli�ery
methods for the mtinicipality.
Unless restric�ed by state law, each CouncillBaard member may�ote (or abstain} ❑3i agenda items
that require appro��al at meeti�lgs. Members also ser�e as the authori�ing body that may 1e�y taxes,
assess and c�arge fees, sell bQnds to finance projects and functioils af the municipality, and
appra�es the budget tor bath municipa� and a�ademic serG�i�es.
C. MAvo�zlPxEsiuFN'C AI\❑ Cf_fCINCI[�IBDAitU MLMI3ER CdUE DF CQNDLiCT
❑uring the Councilll3oard meetiii�s, mertlbers shall preser�•e a�'der and dec�rtim, shall n�t interrupt
ar delay praceedings, and shall not refuse tn n�ey t�l� nrders af the Mayarl�rzsident or the rul�s of'
ihe Coun�illBt�ard. Cou�ycillF3nard members s�lall demnnstrate respect and courtesy to eactl �ther,
to praf'essianal Staff: and to mem�+ers �t� t�ze public appearin� belare th� Ct�u�ici[IBoard.
Coun�illBt�ard members shall refrain From rude and dero�atary ct�iz�ments and shall not belittle
Rcsalutipn?2-�3
Fage8of'15
Staff inembers, ❑ther f3�ard rr�en��ers,or mei�ibet�s«f the public. They sht�uld not use their pasiti�n
t❑ secure special privsie�es and sh�uld a�°aid situations that couid Gause any person to belie�e that
they may ha�e brought �ias or partiality t� a question or issue before the Councillgna:�d.
Membei•s of the Co�ncillBnard wi�l not condo�zc any unet�lica[ or illegal acti�ity. All memhers �f
the Cau:icillBnard agree tn uphold the ir�tent of this policy a�id ta �o��ern t�eir actians accordin�Iy.
D. B�AR❑ Ai13❑ S'TAFF RELAT1nN5
No singie relatianship is as impvrtant as that of the CouncillBaard and their Town Manager
ISuperintendent in effecti�ely �o��ei-��ing tlle Town af WestlakelWestlake A�ademy. It is For this
reas�n that the CouncillBaard and To��n Managcr ISuperintendent must understan� tl�eir
respe�tive rales in That pracess. 't"he Town ManagerlSuperii�tesldesit is the primary link between
the CauncitlF3oard and th� professional Staff. T�ie Cc7uncil's113oard's relationship with the Staff
shall be through the Tawn Managerl5�}�erintc»d�nt.
�. In order t� ensure proper presentation af a�c:nda items by Staff: questians arising fro�n
CouncillF3aai�d members after recei��in� their informatinn pa�ket sh�uld be, «hene�er
pc�ssihle, presented ta the Town Mana�er ISu��erizitendent for Staft�onsideratinn priar ta
the meeting. This allows the Staff�time ia a�3dress the me���ber's co��cern and pra�ide all
m�mbe�•s witl� tiie additinnal iitf'c�rmati�n.
?. The Town Mana�er ISu�}erintenc�ent shall desi�nate the apprc�priate 5taft member to
address each agenda ite�n and s�lall s�e that eac�l presentati�n is prepared and presented in
order to infarm and edu�ate the CnuncillBt�a�-d ❑n the issues which require action. The
presentation should be professianal, timely, an� allow far discussian of�options far
reso[�ing Che issue. The Staff iner�lber iiia�:iti� the prescntatioii shall eit�ler make it clear
that n❑ action is required nr present th� specific options Fnr�our�cillBoard cnnsideration.
3. T'he Tawn Maiiager 15uperintender�t is directly responsible for pro�idin�, itif'ormatinn to
all the Cc�tincillBnard concerning any inc�Liiries by a specific goard men�ber. If the To�vn
Manager ar hislher Staft s time is bein� dvminated or misdirected �v a Cc�t�ncil/I3na��ti
rneiziber, it is hislher res��tznsibilit�� t« inlarm the MayorlPreside��t.
4. Tl�e To�vn Ma�za�erlSuperin�cr��ie�it ��•iIJ be held res��ansi�le for the pt�nfessio��al and
ethiral behavi�►r afhimselilherself and tfie discipline ni'hislher Sta1f. The Tawn
Mai�a�erlSuperintendent i5 alsa respt�nsihle f«r seeir�� that hislher Staff'recei�es the
educatinn necessan• to address t€le issues iacing municipal gavernment.
5. Any conf7icts arisin� between the Tt�wn 5tatt'and the Cnu�tcil�'Bnarc� ��ill be ac�dresse� by
th� MayorlPresident and the Ta��n Mana�er!Superintend�nt.
f. A(� Staf�fltiember5 shal[ shnw° each otlter_ each C'autlr���'I3o.ird membei-. aT�d tlze public
respect and cflurtes�• at all times. They are a�so respo�ssiblc i'�r makin� t�hjectiue,
pE•afessianal presentations ta e�isure pt�bliG ct�ntidence in t}-re pra�ess.
Resc�lulion 22-{}3
Pag�9 af 1�
7. The Town Ma��aber ISu}�erinter�den�, after an el��tion, will make sure that the Staff'�as
prepased i�fon7zation needed fnr the orientatinn c�f�ne�� C��LincillBoard memhers ar�d
inf'orm ther�l a1�any Texas Municipal Lea�uel"I�exas Charter Scl�oo] cnnfere:ices and
seminars available.
8. TEZe TQwn Manager ISuperintendent will alsn he respc�nsi6le for n�eetin� �rersonally with
new members and infar�nin� them a6out �C'a��nlA�ademti� facilities and proccdures.
9. "rhe Town Mana�erl Su�crintendent is respo;lsible far the nri�ntatian af all i�ew
Counci11E3oar�i mernbers af'tcr an electit�n. Th� orientation sha�� incl�i�ie meetin�
pro�ed�ires, Staft and �nedia rcIations, c��rrent ag�nda items a��d leadersl�ip trai�iing
}�ro�rams.
SECTIQN II —�QLTNCIL-MANAGER FQRM (7F GaVE�tNMFNT
The Caurici[-Manager Farm of go�ern�ilent (or tawn mana�er plan} is similar, in many respe�ts,
ta that af a pri�•ate �nrporatian, i�i which the sto�kholders c�e�t a haard af dire�tars which then
hires a president tn run the con�pany. Usider thc city� mana�ei- plan, the �oters �lect a city coun�il
which, in turn. hires a town mana�et't❑ a��ninist�r tl�e town's day-to-day operations.
Under 31tiis c�ntiguratioii, the �auncil ser�•es as the le�islati��e bndy: sets ��nlicy, appra�•es the
budget, sets t]ie tax rate, and the extent a�id �ast ai-municipal ai�d academic ser�i�es. In s�iort, tl�e
caunci] is the final at�thority nn tlie polic}° de�isians tl�at determine the scape a��d functions ❑fthe
ti���•�� �n�,er»�Zie�li.
Tl�e ma�•nr aF1d �auncilrnembers €�a�e i�a admiriistrati�e duties �i�ider the Cc�uncil-Mana�er forn�
�f gfl��ernment. �I'k�ese respo�isibiiities are uestcd in the town �nana�er,who is responsihle For hirit�g
statf, directing and managin� tltie progran�s af tk�e to��n in ac�ordai�ce with ardinan�es, CUIES, atid
regulatians ada}�ted hy° the cauncil.
Tl�e typi�al tQwn ma�iager in T'exas is ap�ointed far an indetii�ite tcrm atld is subject to dismissal
by the coiincil at any� time except as othen�vise prahihited by law. He or she is desi�nated as the
chief executi�e and adn�inistrati��e t�fficer af the town and is ac�ountable tn tl�e co�incil for the
�raper conduct afall municipa] operatioi�s.
T}ti� manag�r has th� unilatez-al aut7larity to hire, discipiii�e, and fire tlle departr�zer�t heads under
th� towti manager's direclian. tn our nrganizatinn, the tawn attart�ey atid muFlicipal jud�e, ar�
dire�tly hircd andlor supervised by the coun�il rathei� than the tawn mana�er. Altlsot:gh the
maaia�er's role r��aries from �ne city to annther, the priFilary fe�nctinn is to implement tl�e policies
esta�lished by the cnuticiI and ensur�t}Ze c�ty is aperated in an economical and responsihle manner.
5pecitic duties of the manager may i�1�Itide tl�e fnita��ing:
1. Enfarcin� all town ordinances, rules, and re�ulations.
2. Super�ising �11 municipal and acaderrsic employees and programs.
3. Preparing and executiai� the tnwn's annua[ hud�ets for mu�licip�l a:id academic ser�ices
�CSO�LIil6n��-a3
Page 1[}af I 5
�. Ma�lagin�the tow�z's funds and preparing piriodic reports that advise the council and the
public ❑f the tnwi�'s fi��aiicial pnsitian,
S. Fro�iding inforsnatian to the council to tacilitate its ahility t❑ make informed decisions in
the hest i:lterests of the town.
G. Preparsn� council and baard meetin� a�endas and auending all su�h meetin�s ta ser�e as
a resource t❑ the cauncil and the publiG.
7. Idet�tif�ing needs ❑f'the comniwiity and re�ammending metho�c�Io�y 6y �vhi�h the
cnuncil may respond tfl thase needs.
SFCTIf}N III—A[;ENI]A ["iL1IDF.LINES ANU Plt(fCEUL�RES
The Open M�etings Act (the "Act"} was adn�zted tn llelp facilitate the �ubli�s a��ess to
ga�ernmcntal meetin�s and decisian-makiti� processes. '`It require� mcetings ❑f�over�imental
b�dics ta be ❑pzn t�t�e public, �iberally cflnstrued isl fa�•or nf op�n gn�ernment.'' [exeerpte�i from
the �ti'4���._t_ixasaitn�-�ie�;��n�ral„��c��� we�5ite} Thz Att prohibits thc �Torh�n Cotin�illSaard of�
`I�n�sCees, hoards, and ��mmissions iram taking actic�ii on or en�a�in� in any discussi�n regardin�
an item nat listed an the agenda. 1'liere will be a se:ciiott Far apen citi7en comments d�iring eac��
age�sda; howe��r, the Cc�uncill8oard Memhcrs are nnt allflwed to enga�e or interact on the topi�
with the perscrn speakin� during t�iis partinri nf'the i��eeting.
(�e�urum af Eiected [)fficials: 7'�ie A�t detines "qunrum''as a majarity af the �averning body for
both tl�e Town Cauncil a�ld [he Board of Trustees. For examplc,three mei��bers of the f i�e-member
CounrillBnard co�lst�tutes a qunrum for hearin� bc�tfi municipal and academic il�atters. Except in
certain circumstances, che presence of the MayarlF'resident is not i�lcluded in the `count' fc�r a
quQrum.
A resident who 1�as been ele�ted to serve as a mernher nf a�a�ernin�, �+ody b�t ��•hase eiectsr�n has
nc�t been �ertified [or the c�ath of oftice adn�inistered} is nat yzt a mzmber ot the gn���rning bady.
Thus. a m�eting bet�veei� two ne��°ly elected persnns ��hn ha�e not yet taken tlie «ath of aftice and
twa ser�ring CouncillB[7"I� metrrbers is nat s�ibject t�� tlie A�t be�ause nn �tEor�iin is present. Ic is
als� important to itiate, that a board membcr may not dele�ate his on c�r atitharity tc� deliher�tte or
�ote ta annther p�rsan, ahsent eapress statut�ry atittiarity to da so.
Re�ular meetings of t��e Town Cou���i11BQard at' Trustees are held an the secand an�i fourth
Manday oi�each montl� [petldin� any �ontli�ts r.��ith holiday scheduling}. The meetings will be�in
at the ti�ne pasted an eacti respecti�e agenda and 1T�a}� chan�e based an t�e number af items pla�ed
�n t}le ag�nda for disGussions durin� eacll sessinn. �I'he lacation w�li a15o be posted far each
meetiiig Fn order to allaw the p�ihlic to attend and participate in the ]ac�l �n�ernment pracess.
Cansent A�enda items
"C'he coi�sent agenda includes items af a routii�e nature a��d ■vi2l generaliy be apprc���ed �r��itl� ane
n�Qtivn. CouncillBoard Meinhers may ask a qu�stian re�ardin� a cansent a�enda itzm, speak in
flppositinn to the recommcnded actic�n, re�uest that their vnte sha�v oppasition tn an item, ar may
remave an ite�l fr�m the cvnsent agenda a�1d ha�e it considered as a separate item. Any itetn sU
remo�ed Fram th� �an5ent a�enda shall be cansider�d after other it�ms on the cansent partior� af
the a�enda liave be4n heard and ��nt�d nn.
Reso iution'2-Q3
Aage f 1 nf l�
Executi►�e Se3si�fn
Exe�uti�e 5essinns are clnsed meetings and are permitted for the discussion af'the following items
that legitimately� fall ��ithin the exceptioris as stated in thc Texas npen Meetin�s Act:
• Cransultatiori with the T�wn Attnrney ta seek ad�ice ab�ut pendiii�or �o�ltemplated
liti�atian, settlement ofFer, or otlier �nattcr as perrnitted;
• Delibe�-atio�is regarding the purchase, leasc, exchange ❑r��alue ot'real praperty;
• Deliberatians re�arding persani�el niatters; nr
• Deliberations regarding ecanomic de�elopment negotiatians.
Future_A renda Item Requests. Any CouncillBoard �nember may request an agezida item he
considered for discussion at a f'uture meetin�.
a. rn� �aunci11I3aard m�mb�r makin� tlie re�uest will �ontact Ehe Tflwn
ManagerlSuperintendent, in writin�, with a d�scription af the requested item and i�e ar she
will list it on an agenda as a"Future A�enda Item" for�onsiderativn hy the entire Caurt�il.
The item wiIl then be �iaced fln future agencia ��•ithin 3� days of tl�e initiaf reques�.
b. At the ager�da meeting w}�ere the item will be considered for a future discussion, the
requestin� Cntii1ci11Sc�ard rnem�er sf1a1� pra�idc the follo��•in� infnrn�atian ta the Council:
i. a�1 explanatio�� oi�ttle item being considered:
ii. the items relationship ta t11e strategic prioritieslabjecti�Tes of the ❑rganication;
iii. the question(s} the Cau��c:il member wc�u[d like ta ha�e answered by Staff.
c. IFthe requesti�ig Causlcil Member recei�es a second atter the braad�r disctission, the Town
Mana�erl5uperintendent will �face the item on a f�iti�re agenda warks�iop for preliminary
discussiflns �y Council. Tl�e Cnuncil should �oi�sider the tt}llowing in pro�iding directian
ta Staffon the item:
i. the necessary Staf'f time: it will take t❑ researclz and prepare the item far the initial
C�15CUSSIQil {the Town Mana�erlSuperintendent w��! prc��id� an estiinate to
Gauncil};
ii. t�ie priority aFthe item in relatio�� to nther projects currently in pracess, and;
iii, the Council slial� thei� prn�ide 5tatt'with an estimatcd manth for completian.
Re L1C5t5 f�r Administrati�=e In ui . A Co�incillBoard tt7eITl�]�r 171�y I'eL�il�Sl tl7r�� �h� TflWII
Maiia�erlSt�pei�ir3tendeni in��estigate a specific tc�pir or subject and repart staff`s respnnse andlnr
#indings back to the entire Co�ncil by brief cmail. Administrats�e inquiries are strictly intended
for items that are af interest tn the CouncillBnard as a whol�, wiI[ reqLiire only brief st�ff time (lcss
than �0 mir� ❑f researcli) to in�estigate and res��nd, and in the CounLil's view does�iot in�rit time
or discussian at a Council meeting,
If the request will take mnre than a brief' amount at time ta researc� and respond, t�ie Town
ManagerlSuperintendent «�ill infarnl t�ie Cou�1�i1 by �mail and the renuesti�ig Council Member
will theri have the optinn to sul�mit the request as a FL�ture A�enda Item for consideration by� the
Kcsolulion 2?-03
Page i 2 oi'l�
larger go�eri�iiig board.
a. At the agenda meeting where the item wiil be con5idered for a future discussiati, the
requestin� Council Member shall prn�ide the followin� informatinn to the �auncil:
i�. an e�planation of the item being cansidered;
�. the items relationship ta the strate�ic prioritieslobjecti�es oFthe �rgani�ati�n;
�i, the question(s} the Counrii member would like to ha�e answered hy Staff:
A�enda Renorts. Rep�rts are prepared by staff and �lared an the appropriate Cc�u3�ci1 a�e��da for
inioril7atianal purposes and will be accepted as presented, There will be no presentatio�l for these
items or separate discussio:l unless a Council Member requests that a repart be rcmo�ed and
discussed separate!}•.
A�enda ['rep_aration �� Council. Eacl� Causicil M�m�er is res�neisib�e F��r I�eing prtpared to
attend thc; meetin�s and discuss tlie a�esic�a �i�d is cncauraged [a attend at �east one Texas
Municipal Lea�,ue or Te�as Lharter 5choal sponsored Go��ference each year in arder to stay
informed on issues facing nlunicipalities anc� rF�arter sc€lnflls. Ii is the resp�nsibility oF
Cotmci11F3oard �nembers tn be inf'orm�d abnut acti�7�� ��l:en by thz Cntir�cillBnard in tlieir absence.
Cach indir��idual CntmcillBoau•d member is i-�sponsibfe iar s�hedulizlg a discussion with the Tawn
ManagerlSuperinte��dent, or �iislher rep:-esentati�c. ta recei��e ari update on infcfrmation that ��as
discussed at any missed meetin�, Whe��e�•er pnssib[e, this update �hnuld accur prior ta the next
regufarly scheduled Cauncil meeting in order tca ensure ea�h CotFncil Member i5 rec�i�ing timefy
iniormation and ei��,aged in tlie prncess of�a�ernar�ce tai•the cc�m��ltmity.
General 17u�es of Qrder
1. W�ien addressirl� ari agenda item, th� C:auncillgnard member shall tirst be reco�nized by
tlie MayorlPresi�e�it, contine Eiii�tself'herself'to the �uestit�n �ir}der debate, a��7id �-eterei3ce
to pers�tialities, and retraizl fro�il i�n��ug�7i�i� the ii�te�rity ot• mative� ❑f any othei�
Councillaoard mc=nher nr Staff inen�her in hislher ar�un�ent or�ote.
2. In the aUsence af a ruling by the MayarlPresident an any pi-ncedural malt�r, a
Councilli3oar� inember may ma��e to change the nrder of husitiess or make any other
pracedural decision deemer� appropriate. `�'fle attirmati�•e �•nte af a �najc�rity nf the
CouncillBnard i��enlbers present a��d �•oti�i� shall �e necessa«� to appro�e the m�tion.
3. Any CoLmcillBnard zne��ihcr may appeal to the CaunciVBnard as a whoEe fi-o�n a rt�lin� by
th4 MayarlPresident. If�che appea[ is 5econded, thz pers«n makin� the ap}�eal �7�ay make a
brief statement and the MayQrlPresident n�ay Lxplain hislher pQsitian,but nn other member
may spea�: or� the motir�n. 'I�he MayorlPresident r.r•ill tlzen p�t the rulin� ta a �ote.
�. A�ly Coui�cillBflard me��ber may ask ttie MayorlPi•esidci�t tn enf'��-ce the ruFes estahlished
by th� goard. 51ar�ufd the May°ni•IPresident fail ta dG� so. a majorit�� �ote flf tt�e
CoLin�illBc�ard inembers present shall reqtiire hizzllher to �c� so.
Resolution 22-�3
Pa�e l 3 af l�
�. Wf1er� a Councill�3nard ��iemE�er is ap}3c�inte� to ser�•e as liaisa�l t❑ an at'tiliate �oard, the
Coi�nciIlgaard member is respUnsi�Fe fnr kecpin�all CouncillBaard �nember� intiar�l�cd of
si�;�iificarit a�ti�ities.
6. As 3nueh as practiGablc.. Cc��ii�cillF3oard a�endas, particularly ��arkshap meetin�s, shnuld
be c�ntered�n tlie Caiiiicil'sIF3c�ard's strategir plar�s and rel�ted policr•matters. Ta achie��e
that end, the Town Managerl5uperintende�it �i�i�i hislher 5tat�t�4�i11 ���o�•�; to faiilitate that
focus.
5ectiot� [V - Coun�iill3nard and Mer3ia Relatior�s
Sincc the democi•atic f'orm of�overnmezit i5 c��lly successful r.vilen thc citizens are kept ini�rmed
and educated abnut the issues facin�their�nunicipality, it is im�era[i�•c t�e media pl��y an important
rale in t��e council-manager-media relatians. It is thrau�h aii infun7ied public that pro�ress is
iszsured and gaod �o�ernment remains sensiti�•e t� its cnnstituents. These �uideli�ies are desi��l�d
tn help er�sure fair relatiailships ��ith print, ra�iin. and tcie�risian rep�}rters. �I�lie CaunciI and the
Tawr� Managerl S�iperi�ltende�zt reco��lize t��at t€ie news media pra�•ides an impnrtant li»k hetween
the Cn�inri�IBoard and the puhlic. It is desire tn establish a professianal �var�:i��� rel�tio��ship ta
help n7aintain a wei! infonil�d a�id educated citi�eni-v.
i. Uurin� the canduct oF c}fticial business, th� news media shall a��upy places desi�naEed for
them or the �enera] puhlic.
2. �11 repartei•s r�r�ill ha��e access to an agenda and will be furnished support mat�:ria! nzecfed fnr
claa-iti��ttiozl if requested.
3. In ordcr ta preser�e the dec�rrtim ai�d pratessionaiism nf C;nunciflSaard meetin�s, the media
are requ�st�d t�7 rcfrain irom can�°ersi�l� pri�atef� �vith oth�r peaple in the audiencc and ta
cnnduct any iilter�ie«� ��ith th� pul3lic outside the meetin� roam «•hilc the CnuncillE3oard is
in sessian.
4. �in�e eacil �a�•e�•ninent hady candLicts business dif'ferer�tl��, it is requested tl�at all reporters
new tQ Bc�ard meetin�s r�-ieet�vitl� the'I�fl��n Managcrl5uperintcndent, Mayarl�reside�lt, nr the
designated media relatians representati��e prior tn �:o�erin� their first meeting to be infarmed
of'the paliries and praCed�ires to help Foster a �rafessit���al �varki�ig relationslitp bet��een tEie
media reporter and the �I'o��l,
�. On administrative matters, the �I'o���n Man��erlSuperintenc�ent is tl�e 5]7UIiCS�7�t'S017, unless
helst�e tias a�point�d a media rela[ic�ns persc�n t�3 present stafl'infan3iatioal nn the a�e�lda,
6. The MayarlPresident,or hislher desi�,nee, is ihe prin�;ir�°spc�kespersan For the TownlAcademy
❑n matters regardin� �alicy decisia�i5 �r any Council i��font�atit�n pertainin� to issues an the
agenda. In order ta ensure Fair treatment oi�a�1 issue, any clarific:atioiis requested by t�ie inedia
on the 155U� 5�7OL1]C� �1� addressed afrer ttie nlcetsng. W]len ❑ppersing }}ositio��s ha�•e beei�
debated, regarc�Eesti af�thc nutcanze, the public is better ini=ormed �het�all sides ha�e adequ�tc
cavera�e by the 3licdia. This lets the ��ublir �nn��° tllat tl�e iten� was seriausl� debated and
R�sniution?Z-(]3
1'age 1�a F 15
d}7L1�I75 C�l5Cll55�Ci �7��OI'E a ��ote was taken and liel}�5 build c�nliden�.e i�l the deinoca'atic
process.
7. T�le Tawn af Westlake CoUncillBaard is made up of #ive �5) Caimcil Members and a
MayorlFresident, each elected by the res"sdents at Westlake. In respect to each Cauncil
Member and hislher constitu�nts, �iislt�er views as presented an an isstie before the Caua�cil
should pro�ide eyuitable repres�r�tation frc�m all members. Even t11�u�h Cou:lcil Mem�ers
may eYpt-ess differin� ideas, equitable represeiltation helps pz-omote unity af� pur�ose by
allawin� the publir tn be informed af each member's pasitian durin� hislher term af�oftice
and not only durisig an electiQn campai�n.
Resolutifln 22-03
Pa�;e l5 vf 15
TOWN OF WESTLAKE
RESOLUTION NO. 15-27
A RESOLUTION OF THE TOWN COUNCIL OF THE TOWN OF WESTLAKE,
TEXAS, AMENDING THE POLICY REGARDING BOARD MEETING PROCEDURES.
WHEREAS, the Town Council adopted a policy regarding Board Meeting Procedures
on July 28, 2008; and,
WHEREAS, the Town Council desires amend the policy changing the name from
Board of Alderman to Town Council; and,
WHEREAS, the Town Council desires to add language to the policy by adding a section
to meeting agendas named"Items of Cominunity Interested"; and,
WHEREAS, the Town Council finds that the passage of this Resolution is in the best
interest of the citizens of Westlake.
NOW, THEREFORE, BE IT RESOLVED BY THE TOWN COUNCIL OF THE TOWN
OF WESTLAKE, TEXAS:
SECTION 1: That, all matters stated in the Recitals hereinabove are found to be true
and correct and are incorporated herein by reference as if copied in their entirety.
SECTION 2: That the Town of Westlake Town Council does hereby approves the
policy regarding Board Meeting Procedures, attached as Exhibit "A".
SECTION 3: If any portion of this Resolution shall, for any reason, be declared invalid
by any court of competent jurisdiction, such invalidity shall not affect the remaining provisions
hereof and the Council hereby determines that it would have adopted this Resolution without the
invalid provision.
Resolution I 5-27
Page I of 2
SECTION 4: That this resolution shall become effective from and after its date of
passage.
PASSED AND APPROVED ON THIS 21St DAY OF SEPTEMBER, 2015.
����-�'�- ° ' �
Lauia L. Wheat, Mayor
ATTEST:
�� � � � �.,�-.--- _
T_�� �.��.�.�.�.� '��_����' ���A� ��� �",
Kelly�dwar��Town Secretary Thomas E. rym �r, T wn Mah�
�.�
APPROVED AS TC,�.-�'ORM:
,�' f � �'
,. � � ',
f , ,
,, -- _ �.-
��..
L:-� tanton Lowr , own Attorney
Resolution 15-27
Page 2 of 2
�";f,-��-+�,
� f eSt � e
� �
� �
� POLICY ON COUNCIL MEETING PROCEDURES
�� .
��`'
Approved by the Town Council
Resolution 15-27 on 09/21/15
Upon adoption of this policy by the Town Council, the following rules and order of
business will be adhered to.
MEETINGS
Regular Meetings will be held on the second and fourth Monday of each month. Special
meetings shall be called, upon request of the Mayor or a majority of the members of the
Town Council as prescribed by the Texas Local Government Code Sec. 22.038. Should
the Town Manager identify a need for a special meeting, he or she shall consult with the
Mayor to schedule said meeting. All meetings shall be subject to the provisions of the
Texas Open Meetings Act, V.T.C.A., Government Code, Ch. 551, Open Meetings, as
amended.
Work Sessions may be scheduled prior to the regular meetings on the second and fourth
Monday of the month, as necessary. The time is subject to change at the discretion of the
Town Council or the Town Manager. Periodic Work sessions will also be scheduled to
provide the Town Council with time to discuss short term and long term goals. The
general public can, of course, attend such meetings, but may not participate in the
proceedings unless invited to do so by the Mayor.
Executive Sessions are an exception to the general rule that all meetings are open to the
public. Executive Session may be held on the second and fourth Monday of each month.
A special meeting can be called by the Mayor and the Town Manager. The Open
Meetings Act allows closed meetings in a few specific instances where privacy serves the
public interest — i.e. to discuss real estate, economic development, personnel matters.
The Council must keep a record of the meeting and it shall be certified by the Mayor to
assure that all matters discussed in executive session were properly recorded.
AGENDA
Agendas are prepared and posted for every meeting of the governmental body.
The Mayor, working in conjunction with the Town Manager, will exercise their
professional judgment in determining what items of business should come before the
Council. Any member of the Town staff wishing to have an item placed on the agenda
shall consult with the Town Manager's office and then submit the item to the Town
Secretary.
Staff will post agenda packets on the internet for all Regular Meetings and Work Sessions
no later than the Friday afternoon preceding the week of scheduled meetings. This
should afford ample time for all Council members to inquire into the nature of each
matter to be discussed or to personally investigate the matter so as to be better informed
before a Council meeting.
Policy on Council Meeting Procedures Page 1
The Town Secretary's office, in conjunction with the Town Attorney, assumes the
responsibility for compliance with the Open Meetings Act.
Pledge of Allegiance
First item on the regular Council agenda shall be to recite the Pledge of Allegiances.
Consent Agenda
All items listed on the consent agenda are considered routine by the Town Council and,
in the instance a Council workshop is held prior to a Council meeting, the Council will
have an opportunity review and ask questions related to the consent agenda items listed.
Consent agenda items will be enacted with one motion. There will be no separate
discussion of items unless a Council Member or citizen so requests, in which event the
item will be removed from the general order of business and considered in its normal
sequence.
Items of Community Interest
Expressions of thanks, congratulations or condolences; information regarding holiday
schedules; honorary recognition of town officials, employees or other citizens; reminders
about upcoming events sponsored by the Town or other entity that are scheduled to be
attended by a town official or town employee.
These procedures shall apply to all meetings of the Town Council. The Mayor shall be
the presiding officer at all meetings of the Town Council. In the event of the absence of
the Mayor and Mayor Pro Tem, the Mayor shall designate the presiding officer. In the
event the Mayor has failed to designate the presiding officer, the Council member with
the most seniority shall serve as presiding officer.
PARLL!�NIENTARY PROCEDURE
In regular and special meetings, the Town Council will utilize reasonable rules of
parliainentary procedure in the conduct of its business. Below are examples (not
mandatory) of reasonable parliamentary procedure in certain types of actions of the Town
Council:
1. MAIN MOTION: A formal proposal to take certain action.
Step l. Addressing the Chair. (Begin the discussion by having a member make
the motion. Motion should be made and seconded. After this, debate can
be conducted. (Ex: "Mayor, I move the following...").
SECOND REQUIRED Yes
DEBATABLE Yes
AMENDABLE Yes
VOTE REQUIRED Majority
Policy on Council Meeting Procedures Page 2
Step 2. Assigning the floor (Mayor recognizes the member)
Step 3. Making a motion.
Step 4. Seconding a motion.
Step 5. Stating the motion (Mayor states the motion)
Step 6. Debating the question. (Mayor allows debate, with maker of motion
speaking first in debate).
Step 7. Putting the question. (Mayor takes the vote after debate is complete).
Step 8. Announcing the result of vote. (Mayor announces the vote, members for
and against).
2. TO TAKE FROM THE TABLE: To enable an assembly to take up and consider
a motion that was postponed temporarily during the same meeting. Maybe used
at a future meeting if the item that was tabled was posted.
SECOND REQUIRED Yes
DEBATABLE No "
AMENDAB LE No
VOTE REQUIRED Majority
3. AMENDING A MOTION Any motion may be amended as follows: "Mayor, I
move that we amend the motion by (adding, striking our, etc. the wards...)." The
amendment must be seconded and then it can be discussed. When discussion
ends, the amendment is voted on first. If the amendment passes, the original
motion is then put to a vote as amended. If the amendment fails, the original
motion is put to a vote.
SECOND REQUIRED Yes
DEBATABLE Yes
AMENDABLE Yes
VOTE REQUIRED Majority
4. TO OFFER A SUBSTITUTE AMENDMENT: Another way to change an
original motion is by use of the Substitute Motion. A substitute motion is an
amendment that changes an entire sentence or paragraph. It must be seconded
and then discussed. It may be amended and differs only from an amendment in
that if the substitute motion passes it does away with the original motion.
SECOND REQUIRED Yes
DEBATABLE Yes
AMENDABLE Yes
VOTE REQUIRED Majority
Policy on Council Meeting Procedures Page 3
5. LAY A MOTION ON THE TABLE: Sometimes the Council may wish to defer
action on a motion. One way to accomplish this is to lay a motion on the table. It
is in order to move that a main motion be laid on the table when discussion on the
main motion has or is about to end. A tabled motion can be brought from the
table during the same meeting but is usually done so at a later meeting when
unfinished business is being considered.
SECOND REQUIRED Yes
DEBATABLE No
AMENDABLE No
VOTE REQUIRED Majority
MOTION TO CLOSE DEBATE (call for question�: To prevent or stop discussion on the
pending question, and to bring the pending question or questions to an immediate vote.
SECOND REQUIRED Yes
DEBATABLE No
AMENDABLE No
VOTE REQUIRED 2/3 of inembers present
6. POINT OF ORDER: Anytime a member feels an incorrect procedure is being
used, he or she can interrupt with a point of order request that requires the Mayor
to determine the correct procedure. The point of order can have no additional
motions applied to the request other than a motion to withdraw.
SECOND REQUIRED No
DEBATABLE No
AMENDABLE No
VOTE REQUIRED Mayor must concede or deny.
RIGHTS IN DEBATE
Robert's Rules of Order says that debate is the discussion regarding a motion that occurs
after the presiding officer has restated the motion and before putting it to a vote.
When a pending question is presented for consideration to the Council, the presiding
officer shall recognize the member who made the motion to speak first and the member
who seconded the motion to speak second. When two or more members wish to speak,
the presiding officer shall name the member who is to speak first. No member of the
Council shall interrupt another while speaking except to make a point of order or to make
a point of personal privilege. No member shall speak more than five minutes on any
amendment to the question except as further provided in this rule.
Policy on Council Meeting Procedures Page 4
No member shall speak more than the time limits provided herein on any subject or
amendment, and such member may use his or her time in any combination, in separate
speech or comments totaling the number of minutes permitted. The Mayor shall not be
obligated to reco�mize any Council member for a second comment on the subject or
amendment until every Council member wishing to speak has been allowed a first
comment.
Council members shall also have the right to yield a portion of time to another member.
Any member deciding to speak more than five minutes on any question or more than five
minutes on any amendment to the question shall be accorded the privilege without
objection upon motion supported by two-thirds of the Council. No member shall be
permitted to interrupt while another member is speaking.
No Council member shall be permitted to indulge in a discussion of personalities, use
language personally offensive, arraign motives of inembers, charge deliberate
misrepresentation, or use language tending to hold a member of the Town Council up to
contempt.
If a member is speaking or otherwise transgressing the rules of the Council, the presiding
officer shall or any Council member may call him or her to order in which case he or she
shall immediately be quiet unless permitted to explain. The Council shall, if appealed to,
decide the case without debate. If the decision is in favor of the member called to order,
he or she shall be at liberty to proceed, but not otherwise.
CONFLICT OF INTEREST
Each Council member should be aware of the conflict of interest regulations, including
State provisions and statutes.
When a Council member has a conflict of interest with an agenda item, he or she should
submit the required affidavit (if required) prior to the beginning of the meeting at which
the agenda item is scheduled. Upon introduction of the agenda item, the Council member
with the conflict of interest should announce that he or she has a conflict of interest and
will not participate in discussion or consideration of the agenda item. It is not necessary
that the Council member leave the meeting room.
Policy on Council Meeting Procedures Page 5
CITIZEN PARTICIPATION
Individuals who wish to address the Town Council on an item posted as a public hearing
shall register with the Town Secretary prior to the Mayor's announcement to open the
public hearing. Registration forms are available in the lobby. The Mayor will opeil the
public hearing and recognize individuals who wish to come forward to speak for or
against the item. The speaker will state their name and address for the record and shall be
allowed three minutes. After a public hearing is closed, there shall be no additional
public comments. If the Council ileeds additional information from the general public,
some limited comments may be allowed at the discretion of the Mayor.
When a large number of participants have indicated an interest in addressing the Council
on a zoning case or another regular agenda item, the Mayor or Mayor Pro Tem may set a
maximum time limit for the proponents and opponents and a time limit for rebuttal, if
necessary.
Individuals who wish to address the Town Council on a consent or regular agenda item
not posted as a public hearing shall register with the Town Secretary prior to the Mayor's
reading of the agenda item. Registration forms are available in the lobby. The Mayor
will recognize individuals who wish to come forward to speak for or against the item.
The speaker will state their name and address for the record and shall be allowed three
minutes.
Policy on Council Meeting Procedures Page 6
��������
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Town of Westlake
Westlake Academ
v
Town Council / Board of Trustees
CITIZEN ADVISORY
BOARD/COMMITTEE/AFFILIATE RELATIONS
AND COMMUNICATIONS POLICY
111��-
_ ___________________________
__. .. _ ___���_______�_______
r I
_ �
CITIZEN ADVISORY BOARD/COMMITTEE/AFFILIATE
RELATIONS AND COMMUNICATIONS POLICY
Contents
I. POLICY PURPOSE. ...................................................................................................................................2
II. POLICY GOALS.........................................................................................................................................2
III. POLICY PARAMETERS ............................................................................................................................. 2
A. Annual Meeting with Board............................................................................................................. 2
B. IRS Tax-Exempt Status Requests...................................................................................................... 3
C. Use of Town and Academy Name, Resources, and Logos...............................................................3
D. Fiduciary/Stewardship Responsibilities and Requirements. ...........................................................3
1
(adopted December 8, 2008)
I. POLICY PURPOSE. To establish a clear framework and process for enhanced
collaborative interaction, communication, and mutual understanding of roles and
responsibilities between the Town Council (TC) and the Board of Trustees (BOT) and
their various citizen advisory boards, commissions, committees, and organizations
affiliated with the Town of Westlake and/or Westlake Academy.
II. POLICY GOALS. The goals of this policy are:
A. Enhanced two-way communication between the TC/BOT and its various advisory
boards, commissions, committees and affiliate organizations (and vice versa).
B. Reaching mutual agreement regarding annual programs of work for these various
citizen advisory boards, commissions, committees, and affiliate organizations to
enhance and assist in the pursuit of the TC's/BOT's strategic priorities.
C. Achieving a common paradigm that all advisory boards, commissions, committees,
and affiliates of the Town of Westlake and Westlake Academy exist to further the
TC/BOT strategic agenda and are under the direct control of BOT/TC or, if they are a
Westlake Academy affiliate, are under the day-to-day direction of the Head of
School.
D. Creating a clear understanding, coordination, and agreement by the TC/BOT and its
citizen advisory boards, commissions, committees, and affiliate organizations as to
each group's role, function, and scope of responsibility in terms of their relationship
to the Town of Westlake and/or Westlake Academy.
E. Establishing a direct link between Westlake Academy, its Head of School, and the
Academy's Senior Management Team as being the first point of contact for
coordinating the activities of Westlake Academy affiliates.
III. POLICY PARAMETERS. To achieve this policy's purpose and goals, the following
parameters are put in place:
A. Annual Meeting with Board.
All TC/BOT advisory boards, committees, commissions, and affiliate organizations shall
meet at least annually with the TC/BOT to:
1.) Report on progress to date in implementing that group's program of work for the
current fiscal year
2.) Review a proposed program of work for the coming fiscal year as well as submit any
budget requests and requested staff resources for this proposed program of work.
Said program of work will be discussed within the context of the organization's
program of work carrying out the TC's/BOA's strategic plan for both the Town and
Westlake Academy. All funding requests should be submitted not later than the July
1St prior to the upcoming fiscal year. Requests received after that time will not be
considered until the following fiscal year.
3.) Review fund raising activities underway or planned to support the current or
proposed plan of work.
2
(adopted December 8, 2008)
4.) The chair of each advisory board, committee, and/or affiliate organization shall
schedule this annual meeting (or more frequent if needed) through the Town
Secretary's office. The TC/BOT may choose to hold these meetings one or two
times per year.
5.) All affiliates of Westlake Academy, prior to meeting with the TC/BOT, will meet with
the Head of School to make sure they their proposed efforts are coordinated through
the Head of School and his/her designates.
B. IRS Tax-Exempt Status Reyuests.
All advisory committees, commissions, boards, and affiliates seeking tax-exempt status
from the Internal Revenue Service 501(c)3 must receive prior approval from the
TC/BOT. When submitting a request to the TC/BOT to apply for this IRS 501(c)3 status,
the organization wishing to apply must be able to demonstrate and illustrate to the
TC/BOT the benefits of this status for achieving TC/BOT strategic priorities as well as
the advantages of this designation not currently afforded by the Town's existing tax-
exempt status. Further, the organization requesting to apply for this 501(c)3 status
must be able to demonstrate to the TC/BOT their organizational capacity to administer
and comply with all IRS regulations related to this status on an on-going basis.
C. Use of Town and Academy Name, Resources, and Logos.
Any advisory board, commission, or committee, as well as affiliate organizations of the
Town or Westlake Academy, that wish to begin using the Town or Academy's name or
logo in their operational efforts must receive prior approval from the TC/BOT. Said
approval can be withdrawn at any time by the TC/BOT. Additionally, any on-going use
of Town facilities, resources, and staff by an advisory committee, commission, board, or
affiliate must be requested through the Town Manager's office and is subject to his/her
approval prior to on-going utilization of those resources. Requests to add organizations
covered by this policy to the Town's insurance policy shall be submitted to the Town
Manager for his prior approval before any insurance coverage is extended. If approved,
the annual cost of this insurance shall be borne by the requesting organization.
Requests to add staff to support any advisory board, commission, committee, or affiliate
shall be made through the Town Manger's office as a part of the annual budget
preparation process and must be approved in advance by the TC/BOT. This request will
include the identification of funding resources to pay for this position, the operational
reporting arrangement for this position, and which payroll/insurance program this
position will fall under.
D. Fiduciary/Stewardship Responsibilities and Requirements.
All advisory boards, commissions, committees, and affiliates that expend funds through
their own bank accounts must first have TC/BOA approval to have separate bank
accounts. All such groups will also submit their financial control procedures to the Town
Manager or his/her designate for review and approval as to providing acceptable internal
control on collection and expenditure of funds from these bank accounts.
3
(adopted December 8, 2008)
Additionally, if this approval for separate bank accounts is authorized by the TC/BOT, a
timely annual audit of this account(s) shall be submitted to the Town Manager or his/her
designate for presentation to the TC/BOT. Said audit may be conducted by an external
CPA auditing firm or may be conducted by the Town's Director of Finance with that
decision being made by the Town Manager depending on staff workload requirements at
the time. Since the Westlake Academy Foundation has IRS 501(c)3 status at the time of
the adoption of this policy, that organization shall, at its cost, utilize the same external
auditor concurrently used to audit Westlake Academy finances. This Westlake Academy
Foundation audit shall be prepared on a timely basis for presentation to the TC/BOT at
the same time that the Academy's audit is presented.
For those advisory boards, commissions, and committees funded by the TC/BOT
through the Town or Academy approved budget, use of approved budgetary allocations
shall be made on transaction by transaction basis. That is, the chair or president of that
organization will identify the vendor they wish to utilize, contact the Town's Director of
Finance, and submit necessary invoices so that the vendor can be paid by the Town for
goods/services rendered to that advisory committee, commission, or board from their
TC/BOT approved budget. Use of approved Town budgeted funds by these
organizations shall be in accordance with State purchasing statutes and Town
purchasing policies.
All by-laws for proposed for citizen advisory boards, commissions, committees, and
organizations affiliated with the Town of Westlake and/or Westlake Academy shall first
be reviewed and approved by the TC/BOT.
4
(adopted December 8, 2008)
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2
acknowledgements
I still remember sitting at my desk one afternoon in late 1998, reading Dr. John Carver's
book, "Boards That Make a Difference," then just out in its second edition. (A hardcover
third edition followed in 2006.) I had never heard of Policy Governanceo (a registered
service mark owned by Carver) before one of my mentors recommended the book, but I
told my wife that evening that if I could work for a board that followed Carver's model, I
would be willing to continue running schools for a living. As it was, though, I was actively
thinking about leaving the profession as I approached the end of my first decade of
experience as a school leader. In 2002, I left it.
W hy?
When I started reading Boards That Make a Difference, I was leading a modestly-sized
Christian school with an enrollment of about 800 pre-K-12 students spread across three
campuses. In some respects, school leadership was easier in those days because the school
did not have a website, email, or social media accounts. I did have a personal cell phone
(the old "brick" style), but most of my staff did not. Still, school leadership was a difficult and
complex task for which, like many school leaders, I had very little in the way of formal training.
Most of what I knew about school leadership at the time had come almost entirely from on-
the-job learning. Then as now, this included learning how to operate with constant
budgetary limitations, regulatory compliance, facilities, instructional design, recruiting,
developing and retaining the most competent faculty and staff you can attract, student
well-being, sports programs, fundraising, stakeholder relations, risk management, and so on.
To round out this list, the thing I found to be the most difficult of all to master was working for,
and with, a board. Regardless of whether a board is composed of five, seven, nine, or
eleven members, over time, I learned that boards tend to speak as individuals rather than
as a collective, co-manage rather than govern, focus on administrivia rather than vital
issues, and have few, if any, rules it is willing to enforce upon itself and its members
individually when it comes their conduct. Over the past 15 years, I've also observed that
few charter school boards take their own development in the art of governance seriously,
so they rarely engage in ongoing learning aimed at improving their performance—a
posture they would never accept from the people employed by the school. (If you doubt
the accuracy of this observation, my guess is you're not familiar with the research on
charter school quality generally, and school closures particularly.)
Fortunately, there are solutions to these problems, one of which is Policy Governance. One
of the reasons I have such confidence in the model is that in October 2006, I was privileged
to become one of about 300 consultants worldwide who are able to say that they were
personally trained in the theory and implementation of Policy Governance by John and his
wife Miriam Carver in their weeklong consultant's academy before they retired. To this day,
I regard it as one of the most profound professional development experiences I have ever
had. Even when I train boards that don't follow Policy Governance, much of John's thinking
on boards underlies the model I created (see the I HOPE model on p. 10). Neither the
workbook I use to teach that model or this workbook would have been possible without Dr.
Carver. To him and Miriam, I owe a debt of gratitude that I cannot repay. The most I can
give back is to pass their model along to you with the most fidelity of which I am capable.
This workbook is intended to help me do just that.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
3
about the author
For most of the past thirty years, I've been in the education profession in one role or
another. I've led schools, taught college, researched charter school boards, written
books, evalvated schools, and advanced my conceptions of good governance. The
seven paragraphs below summarize my credentials & experience.
1. I have been working with charter boards and leaders since 2005. This means I've
been writing, speaking, researching and consulting in the charter sector for roughly half of its 30-year
existence, during which time, I have watched it—and I hope helped it, evolve.
2. I've actually been a school leader and a national non-profit CEO. Prior to being CEO
of the National Charter Schools Institute at Central Michigan University(2005-2009), I had more
than a decade of experience running private schools. In 2015-16, I served as the interim head of
school for York Preparatory Academy, an SC charter school serving 1,500 students in grades K-12.
Since then,the school has been repeatedly recognized for its performance.
3. My books and videos are used widely across the US. The body of my work includes
three books (with a fourth on YPA's turnaround having been commissioned by the school and now
in progress), white papers, magazine articles,podcasts, training videos. I also published the very
first scientific research on charter school boards and closures (2008).
4. My unique combination of graduate credentials (i.e., education and forensic
accounting� enable me to help boards and school leaders develop competence
in school performance, including risk management. Insofar as I know, I am the only
consultant working with charters that holds a PhD in Education and is a Certified Fraud Examiner. I
am also one of about 300 consultants worldwide to have been personally trained by John&Miriam
Carver in the theory and implementation of Policy Governance.
5. Other charter professionals, i.e., authorizers, attorneys, and association leaders,
engage me when they need demonstrated expertise.You can fake expertise with
people who know less than you do but you can't fake it with people who know as much or more
than you do (at least not for very long). See my list of other professionally staffed clients on p. 4.
6. I truly nerd out on topics such as good governance, school performance and risk
management.And it comes through in my presentations, whether remote or in person—at least
that's what people tell me. What can I say? I really do love this stuff and for good reason: I know
that only competent boards and leaders can create great schools for kids. My passion and sense of
humor also help make my seminars enjoyable.
7. I was tauQht the virtue of committin4 to somethinq larqer than oneself by my first
employer: The United States Marine Corps. During seven years of active dury as a young
man, I learned many important life-lessons about character, leadership, and commitment, including
the virtue of committing to something larger than oneself.Although I left the Corps almost thirty-
five years ago (I can't believe it's been that long ago!), I'm still a Marine at heart and I view my
work with charter school boards and leaders as a purpose larger than myself—preserving our
Constitutionally guaranteed freedoms by training and educating future generations.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
4
PA RT 1
�....�. -�.
�
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As in:
1 . WHY thousands of charter school boards have been ineffective since 1992
2. WHY shouldn't our charter school board just do what other boards I serve on do?
3. WHY the conventional model of governance is wrong
4. WHY your board actually exists
5. WHY the "I HOPE" model is better than the conventional model of governance
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 5
WHY Thousands of Charter School Boards
Have Been Ineffective Since 1992
My stationery tagline reveals why I focus most of my efforts on
developing board competence:
BRIAN L. CARPENTER, PHD, CFE • M .
�s �
4 b 1� L�Q I a R D D 4 C�'�O R Q� 0�1�' �E��3�
O�VEl.OPINC� GOJVI��T�t�G� IN GHART�R SGHODL BOARaS + L�A��RS SWG� �� ��
z005 B�GAUS� C�R�AT SGNOOL P�RF�R�NAuG� IS IJ�APOSSIBLE WITHDU'� IT
According to recent research, half of all charter school's cease to exist by
their fifteenth year of operations. This amounts to thousands of schools in the
past three decades. Having been working with charter school boards over
half that time, this data does not surprise me, but it does concern me.
Having personally worked with and/or formally evaluated the boards of several hundred
individual charter schools across the US, as well as having published the first scientific
research on the role of the board in charter school closures, I have observed that
TYPICALLY, charter school board members:
1. received no orientation when they join the board
2. receive little, if any, ongoing training about how to fulfill their responsibilities
3, have not read their school's articles of incorporation, bylaws, or charter
4. are generally unaware of the potential pe�sonal liability involved in serving on a board
5. have a weak understanding of board oversight of financial management
6, have not read the board's policy manual (in schools where such a manual even exists)
7. have not read the contract between the board and the EMO or CMO and often think
that they work for the management company instead of the other way around
8, do not know how much money the school is paying management company
9. do not understand the difference between management and governance
10. rarely focus on how well academic outcomes are being produced
11. have only a vague awareness of the vast number of statutory and regulatory obligations
with which their school must comply to stay in operation
12. serve on boards that churn through a new school leader every 12 to 36 months
13. do not know who the school's authorizer is or when the charter expires
14. believe that the purpose of a financial audit is to detect fraud
15. believe that their primary accountability is to the school's parents and teachers rather
than to the state's citizens
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 6
WHY Shouldn ' t Our Charter School Board
Just Do What Other Boards I Serve on Do?
Governing Charters With Five Differences In Mind
FOUR Similarities:
•boards with fiducia�^y responsibilities which should not be delegated to management
• laws and regulations with which they must comply
• need to make money to stay in business (not for profit vs non-profit)
• are under IRS scrutiny due to decades of board negligence and malfeasance
FIVE Differences: ; , -
1. Charter schools have an lifespan. Like a parking meter which
automatically expires, charters in most states are time-bounded by design. I know of '�
no other non-profit that operates under an inorganic drop-dead date like this. This �������30����.,
o,,���,.,.
often requires charter boards within onlv two to four years of o�enin� to make sure
evervthin,g gets done ri h�t (i.e., a year before renewal evaluations are ty�icallX
conducted on a three or five year charter).
2. Charter agreements create contractually student outcomes and they
usually limit or prohibit some actions that a private school could change anytime it
wants. (Examples: modification of bylaws, changes to curriculum, changes to the
instructional calendar, maximum permitted enrollment, number of sites the school can
operate, etc.). Charter school boards need to focus like a laser on how well the student
outcomes that were agreed to in the charter are being_produced. (Reading the charter is a
good start.)
3. Charter schools are accountable to an . While some non-profits have
parent organizations to whom they are accountable (e.g., Girl Scouts), charter schools operate
under the oversight of a regulatov�y agency called an authorizer (or sponsor).A charter school
board should strive to maintain a�rofessional, res�onsive relationshi� with their authorizer.
(One implication: Do not delegate the authorizer relationship completely to management.)
4. Charter schools are mostly publicly , but may receive a smattering of
philanthropy. When an ordinary not-for-profit receives any tax dollars, this pattern is
usually inverted. This requires heightened fiscal oversight by charter school boards. Charter
school boards should�ractice robust oversight of financial mana em�ent. (More on this later
in this seminar.)
5. Charter schools are still widely in many venues. While ordinary non-
profits enjoy a presumption of goodwill, charter schools, though having existed since 1992,
are still controversial for various reasons (e.g., they may cause a decline in nearby district
funding, etc.). Your board would be wise to practice sound governance with the utmost
transparency so that it can weather extreme scrutiny and unfounded criticisms.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 7
� • � • • • • � •
• ' • ' � �
Some variation of the model shown below is commonly used to explain the
relationship between board management. Although conventionally
accepted and widely practiced by charter school boards, in particular,
IT IS WRONG.
Following the model (intentionally or unintentionally) actually results in a
board co-managing the school rather than governing it. Even more
problematic, when boards follow the model, they believe they are
governing but in reality, they are not. This means that governance
responsibilities—sometimes crucial ones—go undone by the board.
Board
,, .
Cost
.'
Management
Daily Operations vs Strategic or `Big Picture"
The Doozy of All Flawed Assumptions: Governance and management are on the
of the !
They are NOT! And if your board governs as though they are, it will be ineffective.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 8
WHY Your Board Actually Exists
In other words, your board's true purpose is
actually distinct from management
TWO-Part Definition of Charter School Performance PARAMETERs
1.
Accomplishing the student which the school was 2.
chartered to produce, within ALL of the required parameters.
3.
Student outcomes: Something students know, understand, can do 4.
or appreciate as a result of the school and its programs. Outcomes
should never be confused with the programs themselves. Outcome 5'
examples: College-ready, responsible citizen, self-aware, literate. 6.
The Purpose of a Charter School's Manager Relateaverbs
To make the school . (See block A)
Attribution: In the words of Dr. Peter F. Drucker:
"The manager is a servant. His master is the institution he inanages and
his first responsibility must therefore be to it. His first task is to make the
institution, whether business, hospital, school, or university, er orm the
function and make the contribution for the sake of which it exists."
Source:Management.• Tasks, Responsibilities, Practices(p. 343)by Peter F.Drucker
The Purpose of a Charter School's Board Relatea verbs
To the school performs. (See block A)
Attribution: In the words of Dr. John Carver:
"Reduced to its minimum, the pu�pose of governance is to ensure, usually
on behalf of others, that an organization achieves what it should while
avoiding those behaviors and situations that should be avoided."
Source:Boards That Make a Difference(p. 1)by John Carver
In other words, the role of the board is to provide
of management, NOT to be a in it.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 9
Prudential ? What Do You Think?
Editorial: Executive pay at charter school
catches auditor's attention
By Albuquerque Journal Editorial Board
'h�esday,March 28th,2017 at 12:02am
It's doubtful state Auditor Tim Keller is the only person whose jaw dropped after learning the husband-
wife team who head the GREAT Academy charter school here draw salaries totaling $305,652 a year—
an amount stratospherically higher than the $87,000 average other charter school executives in similar
positions receive. (Meanwhile, the siXth- through 12th-grade school pays its instructors an average of
$38,000 per year— 143rd-lowest among 148 school districts statewide.)
In a letter to the president of the school's board of directors last week, Keller said that the
compensation paid to executive director Jasper Matthews and his wife,principal Keisha Matthews,
commands about 30 percent of the academy's annual budget and that they are, by far, the highest-paid
charter school executives in the state. (Their closest cohort is the principal at Albuquerque's Mission
Achievement and Success charter school, who makes $118,112 per year, according to state officials.
That school has nearly double the enrollment of the academy's roughly 200 students.)
Jasper Matthews' annual salary is $163,952, which includes an $11,852 car allowance. He also has a
$24,750 special education consulting contract with the academy—forms of compensation Keller
characterized as "very irregular"but perfectly legal.
While the state Public Education Department gives charters wide latitude over employee pay, the
compensation being lavished on the Matthews family (their daughter also works there) can reasonably
be called exorbitant. No one from the school responded to a Journal reporter's request for comment.
To their credit, the school does well academically,receiving an overall grade of B in the latest round
by PED. But given that only a few charter leaders earn more than $100K a year, the Matthewses'
compensation is troubling—to Keller and taxpayers.
Perhaps the school's board of directors—according to the school's website Dr. Penny Edwards,
Michael Pitts, Jade Rogers, Ron Shorter and Ronnie Wallace—could explain publicly why the
Matthews family receives such remuneration. In lieu of that, a realignment of their compensation to
more closely reflect that of their peers should be in order.
This edito�ial first appeared in the Albuquerque.Iournal. It was written by members of the editorial
board and is unsigned as it represents the opinion of the newspaper rathe�than the writers.
� � • - ` • � - . � . � . - • . � ' - � - � �- �
'' � � �' • � - � �
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 10
Why the " I HOPE" Model is Better than the
Conventional Model of Governance
it clearly identifies the so-called "lanes" consultants are always
recommending boards operate within but rarely defining
Dimensions BOARD's "Lane" � MANAGEMENT's "Lane"
5 Exercise of Authority (HOW) I � I
4 Primary Focus (WHAT) H W � H W
3 Accountability as (WHOM) � O � O
2 Success Indicator (WHEN) P O � P O
1 Purpose (WHY) E ` E
Lead indicators Lag indicators
(inputs) (outcomes)
Six lead indicators I look at when assessing board effectiveness:
1 . The board is actually providing oversight of school management, not -
or abrogating its non-delegable responsibilities to management.
2. The board understands that IT is the "owner" of the charter, not the founder or
management company that operates the school. Both are accountable to the
board, not the other way around.
3. The board prohibits ALL of its from exercising board authority individually.
4. The board's meetings are predominantly focused on assessing how well the school
is performing, not on how will decisions, especially matters concerning
design. (Curriculum, supplements, faculty, PD, & assessments, etc.)
5. The board is vitally engaged in oversight of school financial
6. As part of its fiduciary duty to the true owners of the school (the state's citizens), the
board sets a proper at the by acting with integrity in HOW it does its
work.
For a board using the I HOPE Model to be effective, three prerequisites are necessary:
1 . Sineqle point of dele�ation: The board utilizes a single point of delegation &
accountability for operations. (More on the importance of this in the next section.)
2. Board independence: All board members are independent of management AND
not related to each other or excessively linked to one another (e.g., board members
aren't dependent on the board president for their livelihood).
3. Accountabilitv. Adherence to board policies is mandatory by all board members,
especially those policies that delineate the boundaries between board and
management. (More on this in the next section.)
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 1 1
PART 1 : Actionable Recommendations
1 . Adopt a board mission statement and read it as part of your opening ceremonies.
"The mission of the ABC Charter School Board is to provide oversight of school
management, not to be a participant in it. We will focus ovr work on ensuring that (1 J
the school accomplishes the student outcomes we were chartered to produce, and
ensuring that (2J the school operates at all times within all required parameters."
2. Ensure the accuracy of the board's bylaws. Make sure your bylaws accurately
define your board's purpose (as being to provide oversight of school managem�nt
rather than "to manage the school"). Moreover, most charter school bylaws I've read
use what I call 1850s language, a time when board presidents and treasurers actually
did have management responsibilities. While this may have been necessary two
centuries ago, the nature of organizations and professions have evolved, which means
that boards and their bylaws should evolve too. In particular:
The description of the board president:
1 . Should NOT say they are the CEO of the corporation.
2. Should NOT say they have responsibility for oversight of operations. (You'll thank
me for removing this language when you get sued.)
3. Should NOT say they are responsible for overseeing or supervising the school
leader "in between board meetings."
The proper role of the board president can be stated in two sentences:
"Subject to board policy and board direction, the board president shall lead the
board in its oversight of management. The president shall not have the avthority to
give directives to the school leader or any other employee of the school."
Similarly, the description of the board treasurer:
1 . Should NOT say they are the custodian of the school's money and assets.
2. Should NOT say they are responsible for presenting financial reports to the board.
3. Should NOT say they provide supervision of the business manager, etc.
The�roper role of the board treasurer can be stated in two sentences:
"Subject to board policy and board direction, the board treasurer shall assist the board
in the oversight of the school's financial management. The treasurer shall not have the
authority to give directives to the school leader or any other employee of the school."
1 Statutory or authorizer requirements may prevent you from changing wording, so be sure to check with your attorney.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 12
The Board Doctor's Director & Officer Code of Conduct (to be signed annually�
L I will NOT attempt to influence management OR board decisions pertaining to the
employment or contracts of family members or personal friends (including hiring,
termination, compensation, discipline, assignment, etc.).
2. I will recuse myself from all board votes AND discussions, whether in open or closed sessions,
that individually(i.e., not categorically such as all teachers) involve my family members ar
personal friends or businesses which I may have an interest in (whether or not I am an owner).
3. I will refrain from giving directives to faculty, staff and management and I recognize that any
suggestions to faculty, staff or management I may make from time to time car�v no board
authoritv with them.
4. When participating in board meetings or committee meetings, I will conduct myself in a
professional, courteous manner. I will specifically refrain from excessive profanity, unlawful
discrimination, and rude behavior that the board would deem unacceptable were such to occur
on the part of management or staff.
5. I will not speak for the board when I have not been authorized to do so. I remain free to express
my personal opinions,but I will be careful to state that they do not necessarily represent the
board as a whole.
6. Other than issues of student safety or things covered by the board's whistleblower policy, I will
not take any action on any complaint or concern until the school leader has first had the
opportunity to address it, other than to refer the person to the board's policy on such matters.
7. I will prepare in advance for board meetings and fulfill all committee assignments or other
tasks that the board may delegate to me.
8. I will preserve confidences and confidential/sensitive information that I may become privy to
as part of my responsibility as a board member.
9. I understand that the board's role is to govern the school (i.e., ensure that the student outcomes
are being achieved within all required parameters) and NOT to co-manage it.As such, I will
refrain from entangling myself in matters that properly belong to management.
10. I will not informally evaluate any staff inember's performance or make any evaluative
statement of management's performance in an open session of the board unless the board is
specifically evaluating management as an agenda item.
11. I will not use my position as a board member to secure special privileges for my children or the
children of my friends.
I agree to adhere to the above conduct standards as a condition of serving on the board of directors of
. I also understand that if I violate any of the above
standards, the board may remove me for cause as stated in the bylaws.
Board member Date Witness (Board president) Date
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
13
PA RT 2
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As in:
1 . WHAT does "single point of delegation" mean? (and why it matters)
2. WHAT Policy Governance is and is not! (Source Document and ten principles)
3. WHAT are main benefits of using Policy Governance?
4. WHAT is the board's purpose in Policy Governance? (as the owner's representative)
5. WHAT are the two types of policies in Policy Governance? (ends & means)
6. WHAT are Policy Governance's onlv four policy quadrants
7. At WHAT level does the board stop writing any particular executive limitation?
8. WHAT is the chief executive's sole performance criteria in Policy Governance?
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 14
� • • � • � • • • • ' � • • • � •
•---------------------------------------------------------------------------------------------------------------
Governance takes
place above the line. The Board The dashed line
� X X X X X X X constitutes the 6
Board parameters
Doctor Rx: within which the
See p.1 o to � � � � � � � � � � � school and the
review board must
lane line operate.See p. 9
composition
Management takes ; �
place below the line.
School
chief exec
or CMO
I
School Operations
�--------------------------------------------------------------------------------------------------------------'
Using a single point of delegation (SPD) means that the board gives one entity (a
person or a management company) appropriate authority (it's never unbounded)
over operations and then holds that entity accountable for school performance (as
reflected by the bi-directional blue arrow). Using the words in the I HOPE Model, this
means the board holds its SPD accountable for "how well" the school performs (i.e.,
how well the SPD is producing the outcomes while staying within the parameters). In
other words, authority and accountability for operations aren't watered down or
camouflaged across multiple employees, board committees, board officers, and/or
vendors. This matters because having multiple points of delegation actually weakens
the board because it cannot really know who is accountable for what. Example:
Decisions by a board personnel committee to hire a teacher against the leader's will.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 15
� � • • ' • ' • • •
As Policy Governance has increasingly come into use
by boards around the world, a lot of misunderstanding
about what it is and is not has also arisen. I personally
have encountered many charter school boards that tell
me they're using Policy Governance (usually because
they've adopted the policy templates Carver created),
but they aren't meaning that board is not observing
the principles and structure of Policy Governance. As
Dr. Carver has pointed out, this can result in a
dangerous lapse in oversight.
Before your board can successfully implement Policy
Governance, it must first correctly understand the
model. To do so, pages 16- 18 are a reprint of a
document published by the International Policy
Governance Association, now known as Govern for
Impact. (I've annotated the document with a couple of
green boxes for teaching purposes.) You can find this
document and other authoritative information about
Policy Governance on their website at
www.GovernForIm�act.org.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 16
POLICY GOVERNANCEO SOURCE DOCUMENT
Why a Source Document?
A"source" is a point of origin.A source document is a"fundamental document or record on
which subsequent writings, compositions, opinions,beliefs, or practices are based." (Websters)
Without a simply expressed clear point of source, interpretations, opinions, writings and
implementations may intentionally or unintentionally diverge from the originating intent and
ultimately be undifferentiated. The point of source ("authoritative source") is John Carver, the
creator of Policy Governance, with Miriam Carver his fellow master teacher.
Without a simply expressed clear source document, Policy Governance is not reliably grounded
and not transferable as a paradigm of governance. It is left vulnerable to interpretation,
adaptation and impotence. This document has been produced by the International Policy
Governance Association and approved by John and Miriam Carver as being true to source.
What Policy Governance is NOT!
1. Policy Governance is not a specific board structure. It does not dictate board size, specific
officers, or require a CEO. While it gives rise to principles for committees, it does not prohibit
committees nor require specific committees.
2. Policy Governance is not a set of individual"best practices" or tips for piecemeal
improvement.
3. Policy Governance does not dictate what a board should do or say about group dynamics,
methods of needs assessment, basic problem solving, fund raising, managing change.
4. Policy Governance does not limit human interaction or stifle collective or individual thinking.
What Policy Governance IS!
Policy Governance is a comprehensive set of integrated principles that, when consistently
applied, allows governing boards to realize owner-accountable organizations. Starting with
recognition of the fundamental reasons that boards exist and the nature of board authority, Policy
Governance integrates a number of unique principles designed to enable accountable board
leadership.
Principles of Policy Governance
1. Ownership: The board connects its authority and accountability to those who morally if not
legally own the organization if such a class exists beyond the board itself seeing its task as
servant-leader to and for that group. "Owners," as used in the Policy Governance model, are not
all stakeholders, but only those who stand in a position corresponding to shareholders in an
equity corporation. Therefore, staff and clients are not owners unless they independently qualify
as such.
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A Firm Foundation 17
2. Governance Position: With the ownership above it and operational matters below it, a
governing board forms a distinct link in the chain of command or moral authority. Its role is
commander, not advisor. It exists to exercise that authority and properly empower others rather
than to be management's consultant, ornament, or adversary. The board—not the staff—bears
full and direct responsibility for the process and products of governance,just as it bears
accountability for any authority and performance expectations delegated to others.
3. Board Holism: The board makes authoritative decisions directed toward management and
toward itself, its individual members, and committees only as a total group. That is, the board's
authority is a group authority rather than a summation of individual authorities.
4. Ends Policies: The board defines in writing the (a) the results, changes, or benefits that should
come about far(b) specified recipients,beneficiaries, or other targeted groups, and(c) at what
cost or relative priority for the various benefits or various beneficiaries. These are not all the
possible benefits that may occur,but are those that form the purpose of the organization, the
achievement of which constitutes organizational success. Policy documents containing solely
these decisions are categorized as Ends in the terminology of the Policy Governance model but
can be called by whatever name a board chooses, as long as the concept is strictly preserved.
5. Board Means Policies: The board defines in writing those behaviors, values, practices,
disciplines, and conduct of the board itself and of the board's delegation and accountability
relationship with its own subcomponents and with the executive part of the organization.
Because these are non-ends decisions, they are called board means to distinguish them from ends
and staff ineans.All board behaviours, decisions and documents must be consistent with these
pronouncements. In the terminology of the Policy Governance model, documents containing
solely these decisions are categorized as Governance Process and Board- Management
Delegation but can be called by whatever name a board chooses, as long as the concept is strictly
preserved.
6. Executive Limitations Policies: The board makes decisions with respect to its staff's means
decisions and actions only in a proscriptive way in order simultaneously(a) to avoid prescribing
means and(b) to put off limits those means that would be unacceptable even if they work. Policy
documents containing solely these decisions are categorized as Executive Limitations in the
Policy Governance terminology,but can be called by whatever name a board chooses, as long as
the concept is strictly preserved.
Board �• Policy "Sizes": The board's decisions in Ends, Governance Process, Board-Management
Doctor Rx: Delegation, and Executive Limitations are made beginning at the broadest, most inclusive level
See p. 22 and, if necessary, continuing into more detailed levels that narrow the interpretative range of
higher levels,proceeding one articulated level at a time. These documents are exhaustive,
replacing or obviating board expressions of mission, vision,philosophy, values, strategy, and
budget. They are called policies in the terminology of the Policy Governance model but can be
called by whatever name a board chooses, as long as the concept is strictly preserved.
8. Delegation to Management: If the board chooses to delegate to management through a chief
executive officer, it honars the exclusive authority and accountability of that role as the sole
connector between governance and management. In any event, the board never delegates the
same authority or responsibility to more than one point.
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A Firm Foundation 18
9.Any Reasonable Interpretation: In delegating decisions beyond the ones recorded in board
policies, the board grants the delegatee the right to use any reasonable interpretation of those
policies. In the case of Ends and Executive Limitations when a CEO exists, that delegate is the
CEO. In the case of Governance Process and Board-Management Delegation, that delegatee is
the CGO (chief governance officer) except when the board has explicitly designated another
board member or board committee.
10. Monitoring: The board monitors organizational performance solely through fair but
systematic assessment of whether a reasonable interpretation of its Ends policies is being
achieved within the boundaries set by a reasonable interpretation of its Executive Limitations
policies. If there is a CEO, this constitutes the CEO's evaluation.
All other practices, documents, and disciplines must be consistent with the above principles. Far
example, if an outside authority demands board actions inconsistent with Policy Governance, the
board should use a 'required approvals agenda' or other device to be lawful without
compromising governance.
Policy Governance is a precision system that promises excellence in governance only if used
with precision. These governance principles form a seamless paradigm or model.As with a
clock,removing one wheel may not spoil its looks but will seriously damage its ability to tell
time. So in Policy Governance, all the above pieces must be in place for Policy Governance to be
effective. When all brought into play, they allow for a governing board to realize owner
accountability. When they are not used completely, true owner accountability is not available.
Policy Governance boards live these principles in everything they are, do and say.
Produced by International Policy Governance Association in consultation with.Tohn and Miriam
Carve�; 2005-2007-2011. Policy Governance RO is a �egistered service mark of John Carver Used
with permission. Copying permitted if attributed to sou�ce. If refe�enced as source document,
must reference entire document and, if copied, be copied in its entirety. August 2011
*** end of reprint ***
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 19
� • ' • • ' ' • •
� � � � � �
Quoted from the book, "Getting Started With Policy Gove�nance"
by Caroline Oliver
1. Become a real leadership team { y �
C.f�rrr�i�5ru,-t��
2. Get where you want to go �� "�"'`t�'
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3. Get there faster �'p^C}fn�t„a :,,,
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4. Have the control and the freedom you need
5. Be clear about who does what
6. Know how well you are all doing
7. Be seen to be great
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 20
� � • • • • • • • �
� � � � � �
Excerpted from the book, "Boards That Make A Diffe�ence"
by John Carver
"Reduced to its minimum, the pu�pose of governance is
to ensu�e, usually on behalf of others, that an
organization achieves what it should while avoiding
those behaviors and situations that should be avoided." i� --;� .
i .����. � �
. .
How I �hrase this for charter school boards: .
- �
A charter school board's purpose is to make sure that
�M�A�' 1 L i tiOh
the student outcomes the school was chartered to ��� =_..,,:;�;���
roduce are bein accom lished while also makin N +�
p g p � g �ARV'�R
sure that the school operates within all required
parameters (see pp. 8-10). The board is accountable
to the state from where it derives its authority and it
governs the school on behalf of the state's people.
Remember these three words for school performance:
"OUTCOMES WITHIN PARAMETERS"
(see p. 8)
The school leader's j ob is to make the school perform.
The board's job is to to make su�e the school performs.
That one word difference distinguishes governance from management.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 21
� • � � • • ' • • • �
� � � � � �
Polic� Governance has only TWO tvb��olicies; ENDS and
MEANS (see principles 4 and 5 on p. 17 for expanded definitions):
An END is:
A specific the organization was created to produce,
for a the organization was created to serve,
at a cost or priority
Applied to charter schools, an end is an outcome the school was chartered to
produce for its students at a cost (generally) not to exceed state, local and federal
funds. (As we will see shortly, ends can also be prioritized in Policy Governance.
For example, a board might place a higher priority on literacy and numeracy than
on technological proficiency or fine arts.)
' • ' ' ' � � . . • � . � . . �
• � . � �- . • . � • � � i ii � .
.
i- i i � ii . � - � � � . . - . • � . � � . • - .
. . � . - . . � - • � . � � . � �- .
• • . - . - � � -. . � � • � • r-
• � � . � .
In Policy Governance, there are ALWAYS one set of ends policies and three set of
means policies.
One set of ineans pertains to policies that limit the chief executive's authority. As
such, these are often called "executive limitations," but your board can name them
anything it wants, so long as the policies are structured according to Policy
Governance principles (see principle #7 on p, 17 regarding policy sizes).
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 22
IMPORTANT: In Policy Governance, every executive limitation is proscriptive
rather than prescriptive. This means that, instead prescribing how something will
occur, the board's policies prohibit those methods or circumstances that it would
find unacceptable were they to occur. In other words, ELs reflect values that the
board doesn't want violated rather than specific methods it wants followed.
The other two sets of ineans describe the board's processes. These are traditionally
called `Board-Management Delegation Policies" and "Governance Process
Policies," but your board can name them anything it wants, so long as the policies
are structured according to Policy Governance principles (see principle #7 on p. 17
regarding policy sizes).
y
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Because Policy Governance polices are nested similar to a set of nested bowls, it is
possible for the board to exercise far greater control through far fewer policies. For
example, most of charter school clients that are Policy Governance boards have
only about three-dozen policies. That's it!
Yes, it is entirely possible to govern a school with only three-dozen policies.
Take a a whole, one set of ends and three sets of ineans constitute four "quadrants
of policies which we will see illustrated momentarily. First, let's compare four sets
to a conventional policy manual.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 23
In contrast to Policy Governance, a conventional school policy manual has
countless types of policies, to include but not limited to, financial policies,
personnel policies, facilities policies, and safety. While it is necessary to
address all of these topics, the weaknesses of such an approach include the
following problems:
1. Over time, too many policies exist to even read.
2. Because there are so many policies, contradiction and repetition become
problematic.
3. Big policy manuals give the appearance of board control, but this is not
really the case because no one really knows what the policies say in their
totality.
4. The policies are often prescriptive in nature, meaning that they tell
management exactly how to do a particular thing, leaving little room for
professional judgment, creativity, ingenuity, or professional discretion.
5. Although voluminous, such policies can contain gaps—things that
should be addressed but aren't because there is no logic to how the
policies are constructed other than by topic.
6. With a traditional policy manual, the board can never know when enough
is enough. (Policies are part of the cost of doing business—they are not
value-adds! Thus, a trade-off usually exists between effectiveness and
efficiency. Example: You can require two board signatures on every
school check, but this is pretty inefficient and comparatively unnecessary
if you have better control points.)
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�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 24
� • ' � • • � • � •
• • • • • • •
CGO's Accountability CEO's Accountability
Quadrant 4 Quadrant 1
Statements
Process Policies
Quadrant 3 Quadrant 2
Board-Management Executive
Policies
One of the most phenomenal advantages to having only four quadrants of policies
is that a board ALWAYS knows where to find existing policies on any given issue.
First, it asks itself, "Is this an ENDS or a MEANS issue?" (Most issues are
MEANS.) Then it asks, "Is this a board MEANS or a management MEANS
issue?" (Most means issues are management MEANS.) Boom! By asking and
answering two simple questions, the board now knows where to look for the
pertinent policies (Executive Limitations). In Policy Governance, a management
MEANS issue literally cannot properly exist in any other quadrant.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 25
Within each quadrant, ALL of the board's policies for that quad�ant exist. These are
organized by "size," (see p. 16) and illustrated by concentric rings or levels. Every policy
within a given ring or level is the same size as the other policies at that level. For example,
all policies within the second ring of a quadrant are the same size as one another within that
quad�ant. The further in a ring is, the longer the policies are. When the policies are
complete, if illustrated using the quadrant, they'd resemble a jack-o-lantern's smile.
CGO's Accountability CEO's Accountability
Quadrant 4 Quadrant 1
Governance Ends Statements
Process Policies
Quadrant 3 Quadrant 2
Board-Management Executive Limitations
Delegation Policies
The "empty space" toward the center of the quadrant represents ends and means that the
board doesn't feel that it needs to define. As such, decisions within the blank space are at
the discretion of the CGO (left side of the circle) or the CEO (right side of the circle).
Typically, a charter school board will need to write some executive limitations at the third
level (i.e., more specific than the two bigger levels). It is possible to write policies at the
4th and Sth level, however, it becomes difficult to do so without prescribing the means.
Remember: Executive Limitations are proscriptive!
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 26
The real completed quadrant below is that of one of my clients. Over the past five years,
their board has completely reinvented itself using Policy Governance. One result of this
has been that the school leader has now been there five years and has taken the school to
top of the charts. This is because Policy Governance makes good leadership possible. As I
often say, "School leaders can only be as effective their boards allow them to be." Because
of Policy Governance's ten design principles (see pp. 16-18), it "allows" for maximal
school leader effectiveness, while at the same time, ensures for maximal board controL I
know of no other model of governance that does this—not even my own I HOPE model.
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,�� �� ' }� � �,� �, '� ��. bowls" (or sizes) of
� � � � � � � � � policies. This is a
�'r� � � � �� �� non-alterable
�'� ��� � � .� feature of Policy
�� ��f� � � • � Governance. For
�� �# +'��m.,n �� '�� � � '�„, example,
��� '�a.�{„��°� � �� � ���� ~�""'""'� A1-7 fit inside A
����'���� � ������� �- Wglloballte elcuti ehe
�J limitations policy.
�J The actual policies
�J. are shown on the
� = I next page.
\Z./
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 27
A sample executive limitations policy for treatment of families, students, and prospective families
and students. (See principle #6 on p.l 7 for more info on executive limitations)
Policy EL#1: Global Executive Limitations Policy
The CMO shall not cause or allow any organizational practice, activity, decision, or
circumstance that is unlawful, imprudent, unethical, a material deviation from the school's
charter or authorizer policies and directives.
Policy EL#2a: Treatment of Families, Students &Prospective Families &Students
With respect to interactions with families and students (including prospective, exiting, and
former families and students), the CMO shall not cause or allow operational conditions,
procedures, communications or decisions that are unsafe, untimely, undignified, or
unnecessarily intrusive.
Policy EL#3a: Treatment of Families, Students &Prospective Families &Students
The CMO shall not:
1. Use methods of collecting, reviewing,transmitting, or storing student information
that fail to protect against improper access to the data.
2. Fail to operate facilities with appropriate accessibility.
3. Fail to establish with families and prospective families a clear understanding of what
may be expected and what may not be expected from the school's programs and
student conduct requirements.
4. Fail to inform families and prospective families of this policy or to provide a way to
be heard for persons who believe they have not been accorded a reasonable
interpretation of their rights under this policy.
5. Cause or allow any staff inember to "counsel out" prospective students as a means of
circumventing statutory prohibitions pertaining to nonselective enrollment.
6. Fail to conduct an annual lottery in those grades which are oversubscribed.
7. Fail to ensure appropriate services are provided on a timely basis for special needs
students, including screening and evaluations, for any student with, or in need of, an
IEP, 504, or EL services.
My signature as board secretary hereby certifies that this policy was adopted by the board on the date shown
below:
Date Board Secretary
Policy Governance is a registered trademark of John&Miriam Carver.This policy was adapted from John
Carver's book"Reinventing Your Board:'
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 28
� � ' ' • • � � • • • • • • • •
• • • — — — • •
In Policy Governance, as with traditional policies, the board can create as
many policies as it feels are necessary to ensure that the school performs
properly.
A BIG difference, however, is that in Policy Governance, the board allows its
CEO to make any reasonable interpretation of what the board said through its
policies. (See principle #9 on p. 18)
When writing policies, especially limitations, it stops at the point at which it
is willing to accept any �easonable interp�etation f�om its CEO.
The board also has the prerogative of adding to its policies anytime it feels
it's necessary to do so. For example, the CEO might present a reasonable
interpretation on some particular policy, but one that the board doesn't wish
to permit in the future. It would then add to its policies to further limit the
range of interpretation open to the CEO, although the CEO's performance
may only be evaluated against a policy that is in force at the time the
performance occurred.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 29
� � � � � � � —
• � • • ' ' • � • • ' • '
In Policy Governance, the CEO's sole performance criteria are
accomplishing the ENDS while not violating the MEANS. That's it.
To determine how well the CEO is doing both, the board continuously
monitor's CEO compliance with ALL ends and executive limitations.
HOW the board does begins the next (and final) section of this
workbook.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
30
PA RT 3
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As in:
1 . HOW is CEO compliance determined by a Policy Governance board? (three-part
process: assertion of compliance, any reasonable interpretation, and data to support
the interpretation)
2. HOW many ways are there for the board to determine compliance? (only three)
3. HOW does the board ensure that every policy is being followed? (monitoring schedule)
4. HOW does our board implement Policy Governance if we choose to do so?
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 31
HOW is CEO compliance determined by a
Policy Governance board?
In Policy Governance, determining CEO compliance with policy is ALWAYS
a three-part process:
1. The CEO states (in writing) whether his is or is not in compliance. This
is a straight yes or no. There is no such thing in PG as "mostly in
compliance," "almost in compliance," "approaching compliance," or
"relatively in compliance."
2. The CEO submits his interpretation of the policy in w�iting. The board
then votes whether it agrees. Remember: In Policy Governance, the
standard is and reasonable inte�p�etation.
Examples of interpretations that do NOT supplant any reasonable
interpretation:
• a better inte�p�etation
• the best possible inte�pretation
• an inte�p�etation the boa�d would have p�efe��ed
• an inte�p�etation that should have been avoided because it �esulted
in difficulties
• an inte�p�etation the boa�d's atto�ney would have p�efe��ed
Any reasonable interpretation means just that. Any reasonable interpretation.
That said, the board is the final arbiter (John Carver's word choice) of
whether any interpretation is reasonable.
3. The CEO provides written qualitative evidence or data that demonst�ates
his assertion. Separately, the board votes whether it agrees that the
evidence or data do demonstrate the CEO's assertion. (Note: Although
the board can vote that it does not, it should not prescribe to the CEO
which evidence or data do.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 32
HOW many ways are there for the
board to determine compliance?
There are only three ways for a board to determine compliance. (This is
also true of conventional policies). In Policy Governance, the board
ALWAYS chooses the way or ways by which assesses CEO compliance
(and at intervals of its choosing, as we will see on the next page).
1. Direct inspection. The board can appoint itself, a board committee,
or one of more of its members to directly inspect the evidence or
data. This method is particularly useful if the board members doing
the inspecting have a related expertise or in situations where the
board is concerned that the CEO is distorting situations or out and
out misrepresenting the situation (in which case, the board should be
taking action to remove the CEO).
Disadvantage. It may require time that board members do not have.
2. Outside expert. In some situations, the board may hire an outside
expert to inspect the evidence of data and the report the findings
back to the board.
Disadvantage. Outside experts usually aren't cheap.
3. Self report. In this method, the CEO reports on compliance himself/
herself as described on the previous page.
Disadvantage. Distorting or misrepresenting information.
Of the three, boards most commonly tend to rely on self report because
it is the cheapest, fastest, and easiest of the three methods. Provided that
there are no known integrity issues with the CEO, this is perfectly
acceptable.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 33
HOW does the board ensure that
every policy is being followed ?
As stated in principle #10 on p. 18, Policy Governance involves fair but
systematic monitoring of CEO compliance. From a risk management
standpoint, systematically verifying compliance with policies is a very
important function but it is one that most non Policy Governance boards
simply don't do. Obviously, this can lead to big problems (to include the
collapse of the school) because everyone on the board is assuming that
the policies are being followed.
Systematic monitoring is easy to do using a schedule, such as the real
example shown on the next page.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
Policy EL#2c: Financial The CEO shall not cause or allow financial planning for any I 1=Monthly Oct. E is done via annual audit
Planning/Budgeting fiscal year or the remaining part of any fiscal year to deviate E=Annually
materially from the board's Ends priorities(even those that are
provisionalJ, risk financial jeopardy,or fail to be derived from a
0 multiyear plan.
o Policy EL#2d: Financial Condition With respect to the actual,ongoing financial conditions and I,E 1=Monthly Oct. E is done via annual audit
� and Activities activities, the CEO shall not cause or allow the development of E=Annually
ofinancial jeopardy or material deviation of actual expenditures
^' from board priorities established in its Ends policies(even
p7 those that are provisional).
Q'
� Policy EL#2e: Emergency CEO To protect the board from sudden loss of CEO services, the CEO I Annually Sept.
r
n Succession shall not permit a situation in which there are not at least two
4 other school executives who are su �cientl amiliar with
ff� � Yf
� board and CEO issues and processes to enable either of them D
m to take over with reasonable proficiency as an acting or T
• interim successor. �
�
� T
� Policy EL#2f:Asset Protection The CEO shall not cause or allow corporate assets to be I,E 1=Monthly Oct. E is done via annual audit �
� unprotected,inadequately maintained, or unnecessarily risked. E=Annually �
Q
� �
� Policy EL#2g:Compensation and With respect to employment, compensation and benefits to DI Annually February �
Benefits employees,consultants,contract workers, and volunteers, the �
CEO shall not cause or allow jeopardy to financial integrity or
� to public image.
Policy EL#2h: Communication and The CEO shall not cause or allow the board to be uninformed DI Annually April
� Support to The Board or unsupported in its work.
• Policy EL#2i: Ends Focus on Grants The CEO may not enter into any grant or contract I Annually April
0 or Contracts arrangements that fail to emphasize primarily the production
�=' of the board's stated Ends.
�
W Policy EL#3a:Treatment of The CEO shall not: I Annually March
N
NFamilies&Prospective Families 1. Elicit information for which there is no clear necessity.
v
�
2. Use methods of collecting, reviewing, transmitting, or I Annually March
storing student information that fail to protect against
improper access to the data.
Ca
�
A Firm Foundation 35
HOW does our board implement
Policy Governance if we choose to do so?
As any trained Policy Governance consultant will tell you, the decision to
implement the model is a weighty one, and thus, not be taken lightly. Still,
the Policy Governance model is, in my opinion, the most effective, efficient
way a board can govern. I have even known a couple of highly-skilled school
leaders that incorporated the board's commitment to Policy Governance in
their decision to accept job offers.
First, having completed this seminar has introduced you to the model, the
principles behind it and some key terminology. But there's only so much time
in a brief seminar, especially considering that the model is highly unusual in
the world of governing boards. Therefore, if after this seminar your board
wishes to move forward with implementing Policy Governance, I recommend
that its next step be to spend a few months reading and discussing Caroline
Oliver's book, "Getting Sta�ted With Policy Gove�nance" (cited on p. 19 of
this workbook). By the time your board has read through her book and
worked through the various discussions in it, your board will be reasonably
well-informed about the model and how it works. At that point, your board
simply puts the question to a vote.
If the board votes to approve implementing Policy Governance, I recommend
retaining a trained Policy Governance consultant to assist you during the first
year. Govern for Impact (www.GovernForIm�act.org) can assist you in
locating a qualified person.
IMPORTANT: Dr. Carver cautions against using consultants that have not
been explicitly trained in the theory and implementation of Policy
Governance. As you have seen in this seminar, the model is sufficiently
complex that training is essential.
Note: Just because someone has read Carver's books or served on Policy
Governance board does not qualify them to consult.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A Firm Foundation 36
Would You Like a Certificate of Participation?
If you were present for the entire seminar and would like a certificate of participation,
I will email you a PDF certificate free of charge. Just enter your details on this page of
my website:
https://www.charterschoolboarddevelopment.com/p/certificate
Thank You !
T Thank you for engaging me! I hope you enjoyed our time together
� � and that the content of this seminar will be beneficial. While I can
really get my nerd on about such topics as sound governance,
� �� = - school risk management, and robust financial oversight, I know that
�! > normal people aren't usually drawn to such topics, so thanks for
� _� �.�.� putting up with me.
�,.
�'��� � ,� '��� � P.S. I do have a lighter side. I plan on becoming a beach bum if I
,:.,.. ,, , � � � ' �, , ever actually retire.
Keep in mind that your school can access these digital training resources FREE:
• BoardWiser (for monthly board development)
• My Strategic Oversight Calendar Kit (for developing your SOC)
• Charter School Board Financial Oversight: The BRIARS Method
• The Board Secretary Kit
If you encounter any difficulty accessing these, drop me an email. As they are
proprietary, I ask that you refrain from sharing passwords, etc., with anyone outside
your school. A guy's gotta make a living.
In closing, if your school needs additional expert guidance, please contact me. My
services include operational assessments, fraud examinations, risk-management
assessments and board/executive evaluations. I may also be able to work with your
attorney in the event that your board has to defend itself against a lawsuit.
War.�est regards,
� �
Bri�irF'L arpenter, PhD, FAFE, CFE
AKA. THE �+OARD DOCTOR
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
LEAVI NG A LEGA�Y THAT MATTERS
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The Effective Charter School Board 1
The Recommendations in this Workbook are Based on More Than 30 Years
in Education During Which I've Had Many Roles, Including:
School Leader, Board Member, Consultant, , Researcher,Author,
College Instructor,Certified Fraud Examiner,and i��..�,-►uditor.
1. I have been providing qovernance and operations effectiveness training and
conductinc�performance audits of charter schools since 2005. I've consulted in most
states with chartering laws, including Hawaii and Alaska. I am a certified provider of board training
(approved by the Department of Education) in Texas, Georgia, and New Mexico.
2. Having been a school leader 8� national non-profit CEO, I understand the
challenges of executive leadership and working for a board. Prior to serving as CEO
of the National Charter Schools Institute at Central Michigan University(2005-2009), I had a dozen
years of experience running private schools.Although I decided to start my own practice in 2009, I
still partner with the Institute on specia]projects and publications. I also served as interim Head of
School for a 1,500-student client charter school in SC in the 2015-16 school year which was
subsequently recognized by its authorizer for its outstanding performance.
3. I'm a resource leader in the charter school sector. While I have learned an incalculable
amount from other experts, I have authored more publications than any other consultant in the
charter school sector. The body of my work includes three books (with a fourth having been
commissioned), a 12,000-word monograph (Governing for Greatness),podcasts, webinars &
training videos, and original research on charter school closures.
4. My views on governance are often considered authoritative. My books are used
across the country by university professors, state associations, authorizers and other consultants.
Attorneys defending charter school board members against lawsuits have also engaged me as a
consultant on occasion.
5. Other charter professionals, i.e., authorizers and association leaders, enqa_qe me
when the�need demonstrated expertise. You can fake expertise with people who know
less than you do but you can't fake it with people who know as much or more than you do (at least
not far very long). My client list of other professionally staffed entities was included in the
proposal that prompted this seminar.
6. Teaching and learning are in my DNA. Like all educators, I'm passionate about teaching
and learning which is one of the reasons I have pursued academic credentials over the course of
my career. In addition to an earned PhD in Education, I possess a graduate certificate in farensic
accounting and fraud examination (FAFE) and I am a certified fraud examiner(CFE). I use what
I've learned to provide the best possible guidance to my clients.
7. Conference organizers across the country repeatedly engage me. When
associations and other organizations host conferences, they seek speakers that add value for their
participants. It's been my privilege to be invited to speak at more than 70 private, regional, state,
and national charter school conferences since 2005. Some of these were paid presentations, others
were pro bono.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 2
A B.IT OF CFiARTER CONTExT
�. WN�I �OARD TRAINING MATTERZ
1 . The first charter school law was passed in 1991 in Minnesota, and the
first chartered school opened there the following year.
2. As public education reform policy, it is one of the longest lasting and
most successful ever, though not without its problems and detractors.
3. Charter school laws are state-level initiatives (not federal). As a result,
how chartering is carried out varies wi� from state to state.
4. Historically, chartering has had bi-partisan support.
5. Currently, 45 states, plus DC have charter school laws.�
6. Across the US, there are about 7,500 chartered schools, serving about
3.3 million children (about 6.5% of all public school students
nationally).2
7. Almost two-thirds of all charter schools are in urban locations serving
impoverished children of color.3
8. Academic performance varies widely, but in general, urban charter
schools significantly outperform traditional public schools.4
� 9. More than 3,700 charter schools, that is, about half of all charter
schools that opened between 1999-2017, closed within 15 years.
25% of these did so within their first five years. 5
� Education Commission of the States website https://www.ecs.org/charter-school-policies/
2 National Alliance for Public Charter Schools website https://data.publiccharters.org/digest/charter-school-
data-diqest/how-many-charter-schools-and-students-are-there/
3 National Alliance for Public Charter Schools website https://data.publiccharters.org/digest/charter-school-
data-digest/who-are-charter-schools-serving/
4 http://urbancharters.stanford.edu/news.ph�
5 Broken Promises:An Analysis of Charter School Closures from 1999-2017 by the Network for Public
Education https://networkforpubliceducation.org/brokenpromises/
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 3
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Where board performance is concerned, I have worked with and/or formally
evaluated the boards of more than 250 individual charter schools across the US, as
well as published the first scientific research on the role of the board in charter
school closures (2008). In this 16 years+, I have observed the following fifteen
characteristics of charter school boards which I believe go a long way in explaining
why so many thousands of schools have closed in the past two decades. It appears
to me that MOST charter school board members:
1 . receive no orientation when theyjoined their board
2, receive little, if any, ongoing training about how to fulfill their responsibilities
3, have not read their school's articles of incorporation, bylaws, or charter
4. are unaware of the potential personal liability involved in serving on a board (and/or
have been told that they have immunity from lawsuits)
5. don't know whether key financial controls are in place and/or being followed
6, have never seen the board's policy manual and/or don't know where it is
7. have not read the contract between the board and the EMO and don't know how much
money taxpayers are paying it
8, mistakenly think they work for, and serve at the pleasure of, the EMO or founder
9. do not understand the difference between management and governance, i.e., they
don't know where the "lane lines" are
10. don't look at trend data over three or more years when reviewing academic performance
11 , think that their schools are deregulated
12. serve on boards which churn through a new top management official� every 12 to 36 months
13. do not know who the school's authorizer is or when the charter expires
14. mistakenly believe that primary responsibility for fraud prevention/detection primarily
falls to the auditor
15. serve on boards that don't systematically organize their work on an annual basis
� Throughout this workbook, I predominantly use the term Top Management Official to refer to a school's
chief executive regardless of title(such as school leader, director, executive director, head of school, etc.).
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 4
Have you served on lots of other not-for-profit boards?
Charter schools are different from "ordinary" NFPs in
five essential ways that the board must bear in mind.
Four Commonalities
• all NFP boards have fiduciary responsibilities which should not be delegated to management
• all NFP boards have laws and regulations with which they must comply
• all NFPs need to make money to stay in business (not for-profit vs non-profit)
• all NFPs are under IRS scrutiny due to decades of board negligence and malfeasance
Five Differences
1. Charter schools have an lifespan. Like a parking meter __ �� ��
;
which automatically expires, charters in most states are time-bounded by
design. I know of no other non-profit that operates under an inorganic drop-
dead date like this. This often results in charter school boards having a tiny �°^��30������ES
9AI.ITOi:��il�l.1
window of a couple of years to make sure their schools perform. This means,
among other things, new boards have a steep learnin� curve to climb. �.�
2. Charter agreements create contractually student !
outcomes and they usually limit or prohibit some actions that an
ordinary not-for-profit could change anytime it wants. (Examples: modification of
bylaws, changes to curriculum, changes to the instructional calendar, maximum enrollment,
number of sites the school can operate, etc.). Charter school boards need to focus like a laser
on how well the student outcomes that were a�reed to in the charter are being_produced.
(Reading the charter is a good start.)
3. Charter schools are accountable to an . While some non-profits have
parent organizations to whom they are accountable (e.g., Girl Scouts), charter schools operate
under the oversight of a regulatory entity called an authorizer(or sponsor).A charter school
board should strive to maintain a�rofessional, res�onsive relationshi� with its authorizer. (One
implication: Do not delegate the authorizer relationship completely to management.)
4. Charter schools are mostly publicly , but may receive a smattering of
philanthropy. When an ordinary not-for-profit receives any tax dollars, this pattern is
usually inverted. This requires heightened fiscal oversight by charter school boards. Charter
school boards should�ractice robust oversight of financial mana eg ment. (More on this later
in this seminar.)
5. Charter schools are still widely in many venues. While ordinary non-
profits usually enjoy a presumption of goodwill, charter schools, though having existed
since 1992, are still controversial for various reasons (e.g., they may cause a decline in
nearby district funding, etc.). Your board would be wise to practice sound governance with
the utmost transparency so that it can weather extreme scrutiny and unfounded criticisms.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
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Governance consultants love to say, "The board should
stay in its own lane." This would be great advice if
anyone actually explained where the lane lines are.
The Effective Charter School Board 6
Three Essential Definitions
charter school performance, the purpose of a charter school's
chief executive, and the purpose of a charter school board
TWO-Part Definition of Charter School Performance PARAMETERS
1. c
Accomplishing the student which the school was 2 S
chartered to produce, within ALL of the required�parameters.
3. r
Student outcomes: Something students know, understand, can do 4. �
or appreciate as a result of the school and its programs. Outcomes
should never be confused with the programs themselves. Outcome 5. f
examples: College-ready, responsible citizen, self-aware, literate. 6. e /p
The Purpose of a Charter School's Top Management Official Related Verbs
To make the school . (See block A)
Attribution: In the words of Dr. Peter F. Drucker:
"The manager is a servant. His master is the institution he manages and
his first responsibility must therefo�e be to it. His first task is to make the
institution, whether business, hospital, school, or university, er orm the
function and make the contribution for the sake of which it exists."
Source:Management: Tasks, Responsibilities, Practices(p. 343)by Peter F.Drucker
The Purpose of a Charter School's Board Related Verbs
To the school performs. (See block A)
Attribution: In the words of Dr. John Carver:
"Reduced to its minimum, the purpose of governance is to ensure, usually
on behalf of others, that an organization achieves what it should while
avoiding those behaviors and situations that should be avoided."
Source:Boards That Make a Difference(p. 1)by John Carver
In other words, the role of the board is to provide
of management, NOT to be a in it.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 7
Imprudent? What Do You Think?
Editorial: Executive pay at charter school
catches auditor's attention
By Albuquerque Journal Editorial Board
'h�esday,March 28th,2017 at 12:02am
It's doubtful state Auditor Tim Keller is the only person whose jaw dropped after learning the husband-
wife team who head the GREAT Academy charter school here draw salaries totaling $305,652 a year—
an amount stratospherically higher than the $87,000 average other charter school executives in similar
positions receive. (Meanwhile, the siXth- through 12th-grade school pays its instructors an average of
$38,000 per year— 143rd-lowest among 148 school districts statewide.)
In a letter to the president of the school's board of directors last week, Keller said that the
compensation paid to executive director Jasper Matthews and his wife,principal Keisha Matthews,
commands about 30 percent of the academy's annual budget and that they are, by far, the highest-paid
charter school executives in the state. (Their closest cohort is the principal at Albuquerque's Mission
Achievement and Success charter school, who makes $118,112 per year, according to state officials.
That school has nearly double the enrollment of the academy's roughly 200 students.)
Jasper Matthews' annual salary is $163,952, which includes an $11,852 car allowance. He also has a
$24,750 special education consulting contract with the academy—forms of compensation Keller
characterized as "very irregular"but perfectly legal.
While the state Public Education Department gives charters wide latitude over employee pay, the
compensation being lavished on the Matthews family (their daughter also works there) can reasonably
be called exorbitant. No one from the school responded to a Journal reporter's request for comment.
To their credit, the school does well academically,receiving an overall grade of B in the latest round
by PED. But given that only a few charter leaders earn more than $100K a year, the Matthewses'
compensation is troubling—to Keller and taxpayers.
Perhaps the school's board of directors—according to the school's website Dr. Penny Edwards,
Michael Pitts, Jade Rogers, Ron Shorter and Ronnie Wallace—could explain publicly why the
Matthews family receives such remuneration. In lieu of that, a realignment of their compensation to
more closely reflect that of their peers should be in order.
This edito�ial first appeared in the Albuquerque.Iournal. It was written by members of the editorial
board and is unsigned as it represents the opinion of the newspaper rathe�than the writers.
� � • - ` • � - . � . � . - • . � ' - � - � �- �
'' � � �' • � - � �
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 8
- : • . • � • • � ' • • -
. - . - . - -
Dimensions BOARD's "Lane" MANAGEMENT's "Lane"
5 Exercise of Authority (HOW) I �
4 Primary Focus (WHAT) H W ? H W ?
3 Accountability as (WHOM) � O O
2 Success Indicator (WHEN) P O P O
!
1 Purpose (WHY) E �
Lead indicators Lag indicators
(inputs) (outcomes)
Five lead indicators I look at when assessing board performance:
1 . The board's bylaws, committee purposes, AND actions (i.e., decisions
contained in board & committee minutes) reflect that it understands its role
is governance, not management.
2. The board embraces responsibility for maintaining proper minutes and
other supporting documents such as a motions log and board calendar
which reflect that it provides timely, informed, thorough oversight.
3. The board's composition and actions demonstrate that it understands that
it is the legal owner of the school and it makes all its decisions accordingly.
For example, the board is 100% independent from management in:
• composition (i.e., does not have relatives, buddies, school
employees, or business associates of management on it);
• board decision-making that benefits the EMO and/or founder
operator; and
• not deferring board responsibilities to management (e.g., auditor
selection, who its attorney is, agenda control).
4. The board's meetings and board committees and ongoing focus reflect that
it is primarily focused on "how well" questions v. "how will" questions,
especially with respect to instructional design.
5. The board has an enforced code of conduct which mandates ethical
conduct by all officers and directors and prohibits individual members and
committees from interfering with management.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
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The FIVE most common sources of collisions
between the board and the top management
official and eight "collision avoidance" practices.
The Effective Charter School Board 10
The Proper Lanes of the Between
the Board & Top ManagementOfficial
�
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - �
� �
The board's lane is on
1 this side. The Board
� XXXXXXX �
� The purple
dashed line
constitutes the 6
parameters
within which the
school and the
_ board must
� operate.
� Management's lane is �
� on this side. �
1 �
1 �
1 � �
� � 1
� • 1
� I 1
1 �
1 �
1 School Operations �
1 �
1 �
1
Three important observations:
1 . The lane lines are defined in the I HOPE Model on p. 8.
2. Both ends of the blue bi-directional arrow providing over
and for controlling operations must be kept in
tact for both the board and TMO to be effective.
3. The board is most effective when it uses the TMO as the
point of delegation for operations.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 1 1
Common Collision Cause #1
The Board Allows Someone Other
thantheTMOtoGrab
the Operations Steering Wheel
The Board The SIX most common operations
X X X X X X X steering wheel grabbers:
1 . The board's and
, usually
because the bylaws are worded
wrongly. (see p. 12)
2. The board " "
TMO Committee. (see page 13)
3. Flawed board c
structure. For example, academic,
� finance, personnel, etc. (see page
14)
• 4. Anyone the board hires, evaluates,
. and supervises other than the
5. The and/or club.
6. Board members that have
School Operations
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 12
.�. Collision Avoidance Practice #1
Make SureYour BylawsAre Right
1 . ADOPT a board mission statement such as this:
ABC Charter School Board Mission Statement
"The mission of the ABC Charter School Board is to provide oversight of school
management, not to be a participant in it. We will focus our work on ensuring
that (1 ) the school accomplishes the student outcomes we were chartered to
produce, and ensuring that (2) the school operates at all times within all
required parameters."
2. REVISE your bylaws' to make it clear that the role of the board, its ofFicers
and directors, and its committees is to provide oversight OF school
management, not to be participants IN it. Common problematic wording
includes misguided notions such as:
• The board shall manage the affairs of the corporation (or school)
• The board chair or president is the CEO
• The board chair or president shall implement the board's policies
• The board chair or president shall supervise, manage, or direct the
school leader or the school "in between board meetings"
• The board treasurer shall have custody of the school's funds
• The board treasurer shall manage the school's finances
• The board treasurer shall provide financial reports to the board
• The board treasurer shall supervise the business manager
Proper Lan�c�uaae for Board Officer Roles
1 . The purpose of the board is to provide oversight of management.
2. The purpose of the chair is to lead the board in the oversight of the school.
3. The purpose of the treasurer is to assist the board in the oversight of school
financial management.
1 Authorizer approval is sometimes required, so be sure to check with your attorney.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 13
.C�. Collision Avoidance Practice #2
Don't Have an Executive Committee
. �
� �
� �
� The Board 1
� XXXXXXX �
1 � 1
1 �� 1
1 1
1 . 1
1 1
1 1
1 1
1 1
� TMO �
1 1
1 1
1 1
� School Operations �
1 1
1 1
� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � �
Five Problems Typically Arising from the Existence of an Executive Committee:
1. An EC creates two de facto governing boards thus making the TMO accountable to both.
2. While most charter school bylaws that include an executive committee stipulate that the EC
will report its activities to the full board at its next regular meeting, they usually don't. (Most
EC's don't even keep minutes of their actions.)
3. An EC increases the chances of a few board members (i.e., the officers on the committee)
usurping the board's authority—something that weakens the board and increases the legal
exposure of the officers (e.g., acting outside the scope of their authority).
4. An EC virtually assures that the committee will become entangled in co-managing. Even the
committee's name contains management's purpose: to EXECUTE
5. An EC is rarely accountable to the full board for those management matters in which it chooses
to entangle itself.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 14
,�. Collision Avoidance Practice #3
Don'tAssign Management Responsibilities
to Board Committees
� �
� The Board 1
1 XXXXXXX 1
1 1
1 1
1 1
� TMO �
1 1
1 1
1 � � � 1
1 � ' . � ' . . 1
1 1
1 1
1 1
� Legend �
A=Academic Committee School Operations
� F=Finance Committee �
� P=Personnel Committee �
�
Four Principles for Board Committees:
1. The purpose of ANY committee established by the board should be only to assist the board in ITS
oversight work(i.e., ascertaining HOW WELL the work is being done)—NOT in doing the work of
management or prescribing to management HOW WILLthe work be done.
2. Adding the name "oversight"to a committee, e.g.,financial oversight, doesn't automatically change
what the committee does—ALL committees MUST have a job description and be held accountable
by the full board for staying within it.
3. Consider the time required of the TMO in supporting board committees. Every hour they are expected
to prepare for, attend, and follow-up on committee meetings is an hour they lose in managing the
school.
4. The TMO may assist board committees in accomplishing their work(e.g., answer questions, provide
information and documents, provide school clerical support for agendas and minutes), but should not
"serve" on board committees.
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The Effective Charter School Board 15
Common Collision Cause #2
The BoardAllowsStakeholdersto
Bypass the TMO with Their
Concerns and Complaints
Here's a fundamental rule of safeguarding the board TMO relationship: the board
must not allow stakeholders to the TMO with their complaints and concerns. When
boards do so, the school environment becomes toxic. Backstabbing, gossiping,
factions undermining, and conniving become the norm. If the board allows this, its
credibility will be diminished in the eyes of the TMO, iust as the TMO's would if he
or she allowed parents to by_pass facult,y and staff with their complaints.
Of course, there are rare instances where the chain of command should be
bypassed, such as good faith allegations of ethical misconduct, etc. Thankfully, such
instances tend to be outliers. The reality is, MOST stakeholder concerns and
complaints can be efficiently and effectively addressed by requiring stakeholders to
take them to the TMO before the board will take up any such matter for
consideration.
The absence of such a policy—or its
enforcement by the board—results in a �V• '+U
factious work environment, excessive
�� ;; '
TMO turnover, distrust in the board, and
increasing chaos in operations as t`; �
employees and volunteers realize that � ' �� : �
m�
the TMO is not actually in charge. School �'�- �``-�
,- �----z------�; �
closure is not generally far behind. ;--- ' ,L_- --�, �
,,
One of the most powerful things a board I r �`� �---
,, �:
can do to safeguard its relationship with �.�.�` `�
theTMO isto adopt and a - I+ �
"No Until" policy (see the , �, ;: �
next page). i ''�
- � ?�,� .
,
Such a policy doesn't stop people from ..
saying whateverthey want in public
comment, but listening to public comments
is not the same as taking them up for board deliberation.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 16
� ;� Collision Avoidance Practice #5
��� Y Enforce a "No Action Until" Polic
Y
1 . ADOPT a "No Action Until" policy. (Your board can use this one as is, edit
it, or write its own.)
No Action Until Polic� of ABC Charter School Board
"With the exception of concerns pertaining to imminent danger, ethical
misconduct, or matters covered under the board's whistleblower
protections policy, neither the board, its officers or members, or its
committees, will take any action on any stakeholder concern or complaint
until the school's TMO has first had the opportunity to address it, except to
inform the person(s) stating the complaint or concern of the existence of this
policy.
If, in the TMO's opinion, the board, or any of its officers or members, or
committees violates this policy to the detriment of a good working
relationship with the board, the TMO is required to report the violation to the
whole board."
2. INCLUDE the requirements of the NAU Policy in the Board's Officer &
Director Code of Conduct (see item 6 on p. 23). This should be signed
annually by all officers and directors, includinq the TMO and CFO (b�
whatever title �our school's chief business officer �oq es b�. (Note: The IRS
treats both positions as officers for compensation reporting purposes.)
3. PUBLISH the NAU in these four places: (1 ) on the school's website, (2) in
parent/student handbooks, (3) staff handbooks, (4) in the board's policy
manual.
4. ENFORCE the policy as needed, i.e., remove officers and directors that
violate it.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 17
Common Collision Cause #3
The Board Directs the TMO
Th roug h 5, 7, 9, or 11 Voices
Speakina with one voice does not mean that all board members agree with each
other. It means that the board makes its will known to the TMO only through
majority votes (which can take the form of policy, directives, job descriptions,
performance evaluations, etc.). Everything else is simply an individual opinion—
something to which board members are entitled, but that no school leader can
reasonably follow.
In order for a charter school board to speak with one-voice, it has to vote. To do so,
four conditions are generally necessary under the law. Votes can only occur in (1 ) a
properly open meeting (2) at which a is present, (3) under
the direction of a chair, (4) as an item on the agenda.
An excellent policy makes it clear that only majority votes of the board constitute
binding instructions on the TMO. (This policy is excerpted from Policy Governance
which is a system invented by world renowned governance authority Dr. John
Carver.) See the next page.
Regardless of whether you adopt this policy as your own, the fact is, if your board
hasn't ,your board hasn't spoken.
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�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 18
��� ��A � Collision Avoidance Practice #6
� ��
�} � Enforce a "One-Voice" Polic
� J1+ �Y w /t �c �
1 . ADOPT a "One-Voice" policy. Your board can use this one as is, edit it, or
write its own:
ABC Charter School Board One-Voice Policv
"Only majority votes of the board constitute binding instructions on the
school's TMO"
2. INCLUDE the requirements of your NAU Policy in the Board's Officer &
Director Code of Conduct (see item 3 on p. 23). This should be signed
annually by all officers and directors, includina the TMO and CFO (b�[
whatevertitle your school's chief business ofFicer �oq es b�. (Note: The IRS
treats both positions as officers for compensation reporting purposes.)
3. PUBLISH the NAU in these three places: (1 ) on the school's website, (2) in
parent/student and staff handbooks, (3) in the board's policy manual.
4. ENFORCE the policy as needed, i.e., remove officers and directors that
violate it.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 19
Common Collision Cause #4
Individual Board Members Who
Have a Misguided Idea of
What it Means to a Board Member
Because charter school boards often fail to conduct a proper orientation when new
members join their boards, new members are left to figure out for themselves what
it means to be a board member. As a result, some individual board members
ending up causing problems in the school because they have a misguided view of
what it means to be a board member.
For whatever reasons (i.e.,
service on other boards,
popular culture, orjust a lack � ,
of knowledge about the -- ��
collective nature of board �- ' �� ` R ^ •�, � �
authority under law), they
may view themselves as - - ' ` �� �, � ` �
• "conduits" for faculty and ._ � (� ,
�� �
staff concerns � �
• HR representatives .;� � �
• supervisors �� U
;
• the TMO's boss
• on-campus deputies
� � �. .
4 �
None of these roles is � ��-
appropriate to service on a -
charter school board and �
should be strictly prohibited for their own ,
protection as well as that of the school. If an insurance company determines that
a board member the of his or her , it may refuse
to cover that person in the event of a lawsuit.
The best practice for avoiding this kind of collision is to begin with a mandatory
orientation that makes the board's roles and responsibilities clear. All charter school
boards should also adopt an ENFORCEABLE code of conduct that prohibits such
behavior. See the example on p. 22. If a board member violates the code of
conduct, they should be removed by a majority vote of the board.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 20
� _ CollisionAvoidance Practice #7
��
<< � `�� Provide a Thorough Orientation
�
to New Members
1 . MANDATE attendance at a board-orientation as a PREREQUISITE to being
eligible to serve on the board.
10 Thinas to Review and Discuss in Your Board Orientation
�
1 . The board's No Action Until Policy
2. Code of Conduct Requirements
3. One-Voice Policy
4. The purpose of your board
5. The purpose of your board's committees
6. Your bylaws & charter
7. Board member collision avoidance guidelines (see p. 22)
8. Most recent audit report
9. Pertinent publications (such as my books and webinars)
10. Your board's strategic oversight calendar
2. Who should conduct the orientation? The board governance committee
(with the option of the executive director introducing him or herself and
talking for a few minutes about the mission of the school).
3. What about candidates who don't have time to attend? Anyone who
doesn't have time to attend the orientation doesn't have time to serve on
the board.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 21
Common Collision Cause #5
TheTMO Controlsthe Board
�
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� Notice that lane lines are �
� absent in this diagram. TMO �
1 �
1 �
1 �
1 �
1 �
1 �
� The Board �
� XXXXXXX �
1 �
1 �
1 �
1 �
� School Operations �
1 �
. �
Collision Avoidance Practice #8
Don't Permit the TMO to Control the Board
When I see this dynamic,the TMO is usually—but not always,an EMO and/or the founder.Control of
the board commonly takes the following forms:
1. The EMO and/or founder exerts undue influence over the selection of new board members, often
seeking to place family members, business associates, and their buddies on the board.
2. The EMO and/or founder decides whether or not a given matter, usually one with negative implications
for the school,will appear on the board's agenda.
3. The EMO and/or founder's compensation isn't properly vetted by the board (i.e., deliberated by the
full board, compared to other data, gauged as to reasonableness, and voted on).
4. The EMO and/or founder dissuades the board from formally evaluating its/his/her performance and
retention against actual student performance.
5. The EMO and/or founder takes the lead in recommending the school's external auditor and attorney.
6. The EMO and/or founder persuades the board to revise the bylaws to suit their own personal interests
(usually financial ones).
7. The EMO and/or founder is the actual charter holder, making the "board" not an actual oversight body.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 22
Emphasize these Guidelines with New Members
1 . Do not communicate with faculty and staff that you are a for them to
the board. If they have concerns about the school, they can bring them to the
board through the appropriate chain of command and process (which should
appear in writing in the employee handbook).
2. Do not give to any faculty and staff (and avoid making
because they are prone to be misinterpreted by faculty and staff as carrying
board authority with them, though they do not).
3. Do not wander around campus on - inspections.
4. Do not allow stakeholders to use you to the proper chain of
5. Do not promise any stakeholder that
you will " " anything—only the
board as a collective has the authority
to fix problems or direct the school Great, anly
leader to do so. I��S1�,355
6. Do not be drawn into conversations (in
emails.
person or on social media) that
criticize, gossip, or undermine the
school leader or board. �
0
7. Do not think of yourself as the TMO's , . ��--�--,'
or as one of the leader's ' '���
bosses. Only the board as a � '
is the TMO's boss.
8. If you have a question best answered
by the TMO, ask, but don't
the leader with frequent emails, phone
calls, text messages, and office visits.
9. Do not your position as a board
member to get what you want for your MZ_ZCHOOL LEADER
own children or the children of friends.
10. Do not to faculty and staff ineetings as an observer. You are
a board member, not a member of senior management. Your presence will likely
confuse people and lead to unhealthy speculation about the board lacking
confidence in the TMO.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
Director 8� Officer Code of Conduct (to be sianed annually�
i. I will NOT attempt to influence management OR board decisions pertaining to the
employment or contracts of family members or personal friends (including hiring,
termination, compensation, discipline, assignment, etc.).
2. I will recuse myself from all board votes AND discussions, whether in open or closed
sessions, that indiuidually (i.e., not categorically such as all teachers) involve my family
members or personal friends or businesses which I may have an interest in (whether or not
I am an owner).
3. I will refrain from giving directives to faculty, staff and management and I recognize that
any suggestions to faculty, staff or management I may make from time to time carru no
board authoritu with them.
4. When participating in board meetings or committee meetings, I will conduct myself in a
professional, courteous manner. I will specifically refrain from excessive profanity,
unlawful discrimination, and rude behavior that the board would deem unacceptable were
such to occur on the part of management or staff.
5. I will not speak for the board when I have not been authorized to do so. I remain free to
express my personal opinions,but I will be careful to state that they do not necessarily
represent the board as a whole.
6. Other than issues of imminent danger, ethical misconduct, or things covered by the
board's whistleblower protections policy, I will not take any action on any complaint or
concern until the school leader has first had the opportunity to address it, other than to
refer the person to the board's policy on such matters.
�. I will prepare in advance for board meetings and fulfill all committee assignments or other
tasks that the board may delegate to me.
8. I will preserve confidences and confidential/sensitive information that I may become privy
to as part of my responsibility as a board member.
9. I understand that the board's role is to govern the school (i.e., ensure that the student
outcomes are being achieved within all required parameters) and NOT to co-manage it.As
such, I will refrain from entangling myself in matters that properly belong to management.
io.I will not informally evaluate any staff inember's performance or make any evaluative
statement of management's performance in an open session of the board unless the board
is specifically evaluating management as an agenda item.
ii. I will not use my position as a board member to secure special privileges for my children
or the children of my friends.
I, the undersigned, do hereby agree to adhere to the aboue conduct standards as a condition
of serving on the board of directors of[your charter school's name]. I also understand that
if I violate any of the aboUe standards, the board may remoue me with or without cause as
stated in the bylaws
Board member Date Witness (Board president) Date
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The amount of work required by a typical charter
school board is considerable, but you can do it
more easily using six "tricks of the trade."
The Effective Charter School Board 25
A Young School Leader Has an AHA Moment
._ a _* _
� . .
_� a ,�� � ..�
Just like the movie " Day," about 40 to 60
operational tasks are not only , they are
in nature, meaning that they happen at roughly
the every year. This enables your board to
their occurrence a full year out. If you put these
items into a , you can simply copy and paste
them into the appropriate place on the agenda all year long
(generally, under new business). I call this spreadsheet a
S O C
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 26
TricksoftheTrade #1
Create a Strategic Oversight Calendar
In what would be an amusing story were it not for its unfortunate impact in the lives of
children, a charter school in Pennsylvania lost its charter, in part because the school failed
to submit annual audits for three consecutive years. A newspaper quoted a board member
as saying, "It wasn't us that was the holdup. It was the people that we employed to provide
us with certain things . . ." I guess those certain things must have also included the school's
tax returns because the IRS revoked the school's 501(c)(3) status after it also failed to file its
Form 990 for three consecutive years.
In my opinion, while the school's management clearly failed big time,there is no excuse for a
board to have dropped the ball by not ensuring that these were submitted. Like the vast
majority of school operations, audits and tax filings occurat the same time every year.
This fact makes organizing the board's oversight work a cinch.All you have to do is figure out
which recurring items require some action by the board, build an Excel spreadsheet, sort
them by due date and then crosswalk any given month's items onto the agenda.
NINE benefits of maintaining an SOC
1 . creates institutional
2. helps ensure that nothing (like
annual audits and IRS filings!)
3. extremely useful in new board members
4. organizes 90% of the board's work a full in advance
5. enables the board to key deadlines & respond accordingly
6. enables management to know what the board intends to discuss at any
meeting (and to prepare in advance instead of playing )
7. provides a full-year snapshot of both board & leader
8. helps focus meetings away from the to the
9. helps the board spot problematic trends (e.g., deficiencies in consecutive
years)
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
Dr. Carpenter's CHECICLIST of 40 Examples of COMMONLY
Fdecurring Charter School Board Tasks (in no particular order)
1. ❑ Review a preliminary budget for the new fiscal year
2. ❑ Approve a final budget for the new fiscal year
3. ❑ Approve faculty and staff contracts (if required by your state or charter)
4. ❑ Confirm compliance with key policies (such as separation of duties)
5. ❑ Approve student and staff handbooks (if required by your state or charter)
6. ❑ Evaluate end of grade/end of course achievement results
7. ❑ Evaluate growth testing results (two, or three times each year, e.g., MAP data)
8. ❑ Confirm payroll tax filings and retirement contributions were deposited(using source documents)
9. ❑ Send out RFPs to external auditors
10. ❑ Select an external auditor
11. ❑ Approve the audit results
12. ❑ Review IRS Form 990 prior to submission (for 501(c)(3) tax-exempt schools only)
13. ❑ Confirm submission of an annual report (required by some authorizers)
14. ❑ Review the school's annual improvement plan
15. ❑ Conduct a summative evaluation of the board's performance
16. ❑ Conduct a summative evaluation of the TMO's performance
17. ❑ Review the limits of, and ensure renewal of, the school's liability insurance
18. ❑ Hold board elections
19. ❑ Orient new board members
20. ❑ Conduct officer elections
21. ❑ Sign conflict of interest disclosures & conduct agreements (all officers and directors)
22. ❑ Ensure a year-end asset inventory was conducted
23. ❑ Review the school's crisis management plan
24. ❑ Approve the instructional calendar
25. ❑ Review the school's annual risk assessment and risk management plan
26. ❑ Review your bylaws
27. ❑ Review your state's Open Meetings &Freedom of Information laws
28. ❑ Confirm that the school is in compliance with special ed laws & regs
29. ❑ Confirm compliance with laws ®s for categorical funds (e.g., e-rate monies)
30. ❑ Review/approve employee compensation schedules & TMO compensation
31. ❑ Confirm submission of headcount reports for state funding (at various intervals)
32. ❑ Confirm that all school accounts AND financial institutions are board approved
33. ❑ Verify PTO/PTA proper use and management of funds/official recognition MOUs
34. ❑ Touch base with your authorizer as the charter holder
35. ❑ Confirm that re-enrollment intent forms were sent out
36. ❑ Confirm that faculty employment offers were sent out
37. ❑ Confirm the completion of required background or fingerprint checks for staff/volunteers/board
38. ❑ Confirm compliance with local zoning/occupancy/fire and safety regs/emergency drills
39. ❑ Confirm that signatures for the current employee handbook are on file
40. ❑ Review/evaluate progress toward ALL major goals contained in the school's charter
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
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� 1 ACTION WHERE? METRIC? RESULTS (p
� _ Jul n/a parameter annually Conduct Hail&farewell bylaws Entire Board board rn
Q 3 Jul n/a parameter annually Conduct Officerelections bylaws EntireBoard board �
� 4 Jul n/a parameter quarterly Receive Full financial report Q4 other Board Treasurer board �
� Audit/Form 990 processes have �•
� 5 Aug n/a parameter annually Confirmation commenced IRS CEO management �
• every other (�
� 6 Sep n/a parameter month Conduct Check in w/authorizer/report to board other Board Prez board �
� 7 Sep n/a outcome other Benchmark MAP Administration#1 charter CEO management �
�, 8 Oct n/a outcome annually Confirmation State test was administered w/o problems statute CEO management (p
— 9 Oct n/a parameter quarterly Receive Full financial report Q1 other Board Treasurer board N
� Financial n
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n Nov 15 parameter annually Approve Form 990(non-profit tax return) IRS Oversight board �
10 Committee Q
� every other �
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0 14 Feb third Thur parameter annually Confirmation Board applicants/nominations received bylaws Committee board
N15 Mar n/a paremeter eV onth ef Conduct Check in w/authorizer/report to board other Board Prez board
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� Mar n/a parameter annually Conduct Board member elections bylaws board
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18 Apr n/a parameter quarterly Receive Full financial report Q3 other Board Treasurer board
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The Effective Charter School Board 29
TricksoftheTrade #2
Followthe Board Doctor's Standard Order
of Business in All REGULAR Meetings
Call to order*
1. Approval of minutes from previous meeting(s) (Approval of minutes
should ALWAYS occur at the next regular meeting after which the
meeting be approved occurred.) (See the example on pp. 35-38)
2. Public comment
3. Guest discourse (official guests of the board not staff or public)
4. Review of authorizer unique correspondence (mainly correspondence
that is corrective or cautionary in nature but can also include awards or
recognition)
5. TMO's (i.e., your school leader's title) report (see pp. 31-32)
6. CFO's report (aka, financial report, presented by the school's business
manager, not the board treasu�er�)
7. Board committee reports (standing first, then ad hoc)
8. Unfinished business (NOT called "old business")
9. New business
10. Ongoing Board Development & Self-Assessment Adjournment*
*Ordinarily, the call to order and adjournment are not considered part of a standard
order of business, but some states require charter school boards to post them as
numbered agenda items. Also, if your board conducts opening ceremonies (such as
the pledge), they occur immediately after the meeting is called to order.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 30
TricksoftheTrade #3
The One-Page �front & back�
School Leader's Monthly Report
Most charter school boards meet on a monthly basis (except during summer and winter
breaks). If you structure the TMO's reporting as follows, your board will never be more than
about two weeks away from official reporting by the TMO. Here's how.
Require the TMO to submit a one-page monthly report (front and back) similar to the one
shown on the next two pages (which is adapted from one of my actual reports at a previous
school I led) about ten business days prior to the board's next regular meeting.
On the front side of the report are eight recurring reporting categories, i.e., categories that
will ALWAYS appear in the report, even if the TMO only writes "no changes since the
previous board meeting." Like a standard order of business, this helps prevent reporting
gaps. On the reverse side, the TMO can share any "one-off" type of information they think
is relevant.
When the time for the TMO's report arrives on the agenda, the school leader does NOT
need to read or review what they've already written and submitted. Instead, the board
chair says two things:
(1 ) Mr./Ms./Dr.TMO, do you have any updates to your report of xx/xx/xx date?The school
leader then updates the board on anything that changed since the report BUT DOES
NOT GO OVER THE REPORTAGAIN. Any changes (including new information) can be
bulleted in the minutes.
(2) Does any board member have any questions for Mr./Ms./Dr.TMO? (If there are items
that need to be voted on, these will be handled under new business. If there are items
the school leader needs to discuss in closed session, these are listed under item #8 on
the front and occur when the board convenes in closed session.)
Important: Attach the TMO's report (along with any other written reports)to the approved
board minutes. That way, if you ever need to go back through the minutes to see what the
TMO did or did not report on, you will have complete documentation.
What to write in the minutes: The board received a written report dated xx/xx/xx from the
school leader on xx/xx/xx (see attached).The only update to the report was that enrollment
decreased by two students. A brief Q&A between the TMO and various board members
followed with respect to items 3, 4, and 7 on the reverse side of the report.
(Note: As with financial reports, the board does not "approve" the school leader's report.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 31
[Put the report info in the header so it appears on the front and back]:
Board report dated 3/19/2020 by Dr. Brian L. Carpenter, Head of School
This report summarizes matters that have occurred since the previous regular board meeting on 2/6/20.
Note: As a general rule, my reports omit discussion of items covered in reports submitted by the CFO,
High School Principal, K-8 Principal, HR Director, and the Director of Special Ed.
Eight Recurring Reporting Categories (categories that appear in every regular monthly report):
1. Enrollment: As of this date, current enrollment is 1,510.As always, an up-to-date count by grade
level will be provided to the board on the day of its regular meeting (scheduled for 4/2/20) along
with categories regarding disenrolling students where the reason was stated.
2. Chan�es to PersonneL• Mrs. Dillon resigned (high school teacher).A long-term substitute is
currently filling the position while we search for a permanent candidate.
3. Head of school correspondence and/or meetin�s with authorizer personnel: two emails, three
phone conversations, and one onsite meeting at their office on 3/12/20. None of the
correspondence pertained to matters unique to our school.
4. Litigation/Potential Liti a� tion: Two existing legal complaints are still being negotiated by the
school's general counsel. No new potential litigation.
5. Cam�us safetv: No students or adults were injured or harmed on campus. One shelter in place drill
was held on 3/11/20.
6. SOC Items�ertainin�to mana eg ment:
• Board evaluate dual enrollment metrics: See the report by the High School Principal
• Board evaluate EOC report cards: (See reports by both principals)
• Work on annual school improvement plan begins: I will be tackling this with the team in
the next six weeks.
7. Academic results/pro�ess: (i.e., OUTCOMES)
• I provided the board with an overview of EVAAS growth data on 2/19/20 and will be
doing a subsequent post of what EVAAS calls "teacher effectiveness." Keep in mind,
however, this data extends through the 2019-20 school year, so there will be additional
reporting on student growth using this data before the end of the school year.
• The leadership team will be prepared to present a brief overview of winter MAP data at the
board meeting. (For purposes of time, I recommend only an overview at this meeting and
that we schedule a longer special meeting in the near future.)
• I will be send out some Achieve3000 data via email a few days prior to our meeting.
8. Management items for closed session: One confidential personnel matter to be discussed in closed
as as permitted by state statute §30-4-70(a)(1).
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 32
Non-recurring matters (in no particular order):
1. As the board is aware, our CFO successfully terminated the contract with Yummy Student
Lunches.Although we had finally obtained the necessary approval from the Office of School
Facilities to make the modifications to the building to install the necessary equipment, we were
concerned about un-budgeted contracting costs, etc.
2. I have scheduled the first of what will be several planning meetings by phone with our consultant.
We are working on the budget(as well as the early stages of the next year's school improvement
plan).
3. Regarding the placement of the "Annual Pubic Hearing to review our Internet Safety Policy" item
which placed on the agenda at my request, the board adopted such a policy on 3/27/2019 (see
attached). I recommend that the board ratify this policy for the current school year(and place the
item on the SOC for each subsequent year, perhaps around the October timeframe). To learn more
about CIPA, see the footnote and the URL below.d
4. I was authorized on 1/20/20 by the board to purchase a software known as Acorn which should
enable the school to function without handling cash next year. This will streamline receipt of
payments for everything from school lunches to fund raisers, etc.
5. I maintained contact with our attorney over the holidays to ensure that open and pending litigation
matters are being handled. These can be,but need not necessarily be at this time, discussed in
closed session if the board chooses to do so.
6. Pm continuing to work with on the board's ad hoc committee on revising the charter. I anticipate
that we will have a draft version to present to the board no later than 4/21/20.
7. The spring musical was a big hit and well-attended all three evenings.
8. Yearbook photos will take place next week.
My main goals before the March regular board meeting:
1. Review Kindergarten through second grade F&P data to see how well we're doing with respect to
reading and make changes to instruction if necessary (i.e., adding a more robust phonics
component).
2. Get teacher contract renewal offers prepared to send out the first week of April.
3. Hold the quarterly meeting with my risk management team to evaluate first quarter changes to the
risk environment, etc. The team will report out to the board's risk management oversight
committee afterwards.
6 "The Children's Internet Protection Act(CIPA)was enacted by Congress in 2000 to address concerns about
children's access to obscene or harmful content over the Internet. CIPA imposes certain requirements on
schools or libraries that receive discounts for Internet access or internal connections through the E-rate
program -a program that makes certain communications services and products more affordable for eligible
schools and libraries. In early 2001,the FCC issued rules implementing CIPA and provided updates to those
rules in 201 1."(retrieved from https://www.fcc.gov/consumers/guides/childrens-internet-protection-act on
1/19/21
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 33
TricksoftheTrade #4
Create a Motions Log
From time to time, a question may arise as to whether the board as previously addressed
given matter, and if so, when. Instead of looking through potentially years of prior minutes,
an easy way to find the answer to any thing the board voted on is to create a motions log.
By adding a column for tags, you can search on related words in case the motion didn't
happen to contain the words in your search term. For example, in the sample below, notice
that I used the tag "kudos" alongside the motion to commend the school leader in case
you don't remember that the motion contained the word commend. (Additional tags could
include thanked, praised, appreciated, and so on.) By tagging the entry with kudos, you
don't have to remember that the word "commend" was used—and similarly tagged entries
will bring up all the instances the board voted to thank or praise someone.
Ca rried
Date Ty�e� Mo#ian ar TAGS
Meeting
failed
To authorize the executi�e director to spend not more than 1 0,000
1121f21 Regular from reserve fundsfor playground upgrades #ailed fund 6alance
To authorizee the exacuti�e dire�tor to spend not more than $18,000
1121f21 Regular from reserve fundsfor newlibrary resrouces carried fund 6alance, 600ks
To appro�e parent-student handbook re�isions asthe appear in the
1121f21 Regular version dated 1121121 carried policies, rules
To approve inteeasing the school's liability coverage from $3 million to
214f21 Spe�ial $5 million carried insuran�e
To approve xhe renewing back office senrica peovider contractwith A�C
company for bookkeeping and payrvl I for xwo more years at a cost of
2/7$f21 Regular $6$,0�� per year carried accounting
To approve changesto the school's separation of duties policy[attached
2118f21 Regular tothe minutes} carried policies, internal controls
To comrnend the executive di rector for.a job wel I done with respect to
3118121 Regular the annual eneollmen lottery carried kvdos
To form an ad hoc committee consisting of boad mem6ersT. 5mith, J,
James, $c 11+1. 5ingletan ta develop a plan for evaluating the executive
director's performance and to presentthe plan atthe 6oard's next
3118f21 Regular regular meeting carried
To postpone the ad hac cornmittee's presentation regarding the
executive directar's perfarrnance evaluation until the next regular
4115f21 Regular meeting carried
To appoint the following officers effective at the start of the new fiscal
4115f21 Regular year: M. 5ingleton, Chair; R. Gannon, Secretary; L. Vinsen, Treasurer carried 6oard elections
To appro�e the contract for Longstreet and Conolly CPAs as the school's
external auditoe for the 20f21 audit�see the proposal attached to the
4115f21 Regular minutes} carried accounting,contract
To appro�e the ad hoc committee's plan to e�aluate the executive
5120f21 Regular director's performance carried
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 34
TricksoftheTrade #5
Master Parliamentary Procedure Basics
1. Require ALL officer, director and committee to be submitted to the board
seven to ten days in advance of regular meetings. This saves time by not having to walk
th�ough eve�y detail in the meeting and it c�eates an excellent pape� t�ail in the event the
board ever needs to demonstrate that it did its duty of care.
2. Recognize that the law of applies to board
meetings. In general, any meeting longer than about 90 minutes or past 8:00 pm will
decline sharply in effectiveness the longer it runs.
3. Be intentional about overriding the Principle. Unless you intentionally do
otherwise, this principle predicts that in a 90-minute meeting, roughly four-fifths of the real
value accomplished by your board will take place in only 18 minutes. (This sounds absurd,
but I've observed many, many two-hour o� longe�meetings where nothin� of real
value was accomplished.)
4. Apply the basic 20% of Robert's Rules of Order Newly Revised (12th Edition) ROg E R'r s
which are explained in the official"In Brief' Third Edition guide shown on the Q p U L E S
right. For example, a board should limit the number of times any member may —,��«.,��DER
,� kf:b��sr;n�
speak to a motion as well as how long each member is permitted to speak. �iEf
(This may require some self-discipline, but isn't that one of the things your
school is teaching its students?) ����.�,��:�°r��m:,
alrh.
B�'
5. Write out complex in advance of the meeting and give them to
the board before the meeting begins.
6. Follow the Board Doctor's recommended standard of
for charter schools (shown on p. 29).
7. Stay on task! Do NOT deviate from the published agenda unless you have at least a two-
thirds vote to do so (and only then if it is permitted by your state's OMA).
8. Be vigilant as a board not to be drawn into discussions on administrivia. There are
thousands of details within school operations, but most of them constitute the "trivial
many." This is both inefFcient and ineffective because the "vital few" things the board
should discuss usually take a backseat to the trivial matter du jour.
9. Do not allow public comment to turn into public
10. Create and use a Strategic Oversight Calendar like the one presented in this workbook. Use
the calendar to prepare monthly agendas.
�O 2009-2021 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 35
TricksoftheTrade #6
Learn to Take Razor Sharp Minutes
putthis info in PleasantRidge ClassicalAcademy use a matrix
the header Minutes of a REGULAR Board Meeting to track
so it appears Held in the school library located at 1041 Yorkshire Way, Rock Hill, SC board member
on every page Thursday,Apri12, 2020, agenda posted start time: 6:00 p.m. attendance
VOTING BOARD MEMBERS
Name Office Present Absent Arrived Departed
late early
1 Delores Conner Board President ✓
2 Sam Bateman Vice President ✓
3 Rev. Susan Durham Board Treasurer 7:12 pm
4 Gabi Herrera Board Secretary ✓
5 Dr. Dan Proski Director at Large 6:49 pm
6 Alison Johnson Director at Large ✓
7 Ted Smith Director at Large ✓
Others in attendance:
record the
School staff: Official guests of the board: exact time
Dr. Janet Kane, CEO Mr. Ted Johnson, CFO, District Office of Charter Schools the
Mr. Jim Thomas, CFO Ms. Susan Davis, Premiere Insurance Company meeting
Mrs. Stacy Jackson, Principal Ms. Leslie Stills,Attorney for PRCA was cal led
to order
CALL TO ORDER:
Upon determining the presence of a quorum, Board President Conner called the meeting to order at 6:12
p.m.
number
OPENING CEREMONIES (Optional� pages
xofy
Director Rev. Durham offered an invocation. Dr. Kane led those present in reciting the Pledge of
Allegiance; Director Johnson read aloud the board's mission statement; and Board Treasurer Rev.
Durham led the invocation.
put this info in the
Minutes prepared by Jon Godfrey, Front Office Receptionist footer so it appears page 1 of 4
on every page
The Effective Charter School Board 36
Pleasant Ridge Classical Academy
Minutes of a REGULAR Board Meeting
Held in the school library located at 1041 Yorkshire Way, Rock Hill, SC
Thursday,April 2, 2020, agenda posted start time: 6:00 p.m.
AGENDA ITEMS:
1. Approval of minutes from previous meeting(s)
After calling for corrections to the minutes of the regular meeting on Thursday, March 5, 2020, and
hearing none, Board President Conner declared the minutes approved as submitted.
oV, if'co�^rections are agreed to ...
After calling for corrections to the minutes of the regular meeting on Thursday, March 5, 2020, Board
President Conner declared the minutes approved as corrected.
2. Public comment it is generally improper to list who spoke or to
summarize their remarks in any way,though
Three individuals offered comments. state statute varies on this, as well as other
requirements pertaining to public comment
3. Guest discourse
Mr. Ted Johnson, CFO, District Office of Charter Schools, addressed the board on the topic of the
importance of a properly functioning financial oversight committee. He announced his district will be
holding free training on the topic on May 8th.Additional details from his off'ice will follow.
Ms. Susan Davis, Premiere Insurance Company,presented information to the board on increasing its
directar and officer liability insurance coverage from $3 million to $5 million. Ms. Davis responded to
several questions by board members.
Ms. Leslie Stills,Attorney for PRCA, advised the board of her conversation with the school's bond
counsel (Sumner& Sheftt) in which the latter informed her that the $3.2 million bond issue for a new
campus is progressing as planned.
4. Review of authorizer unique correspondence vital for charter schools!
Dr. Kane informed the board that no autharizer unique correspondence has been received since the
previous meeting.
or ...
Dr. Kane informed the board that the school received a notice of concern from its authorizer dated
3/19/2020. The notice alleged that the school failed to submit its budget for the new fiscal year by the
deadline of 2/28/2020. The board will discuss the matter for possible action under new business. See
attached.
Minutes prepared by Jon Godfrey, Front Office Receptionist page 2 of 4
The Effective Charter School Board 37
Pleasant Ridge Classical Academy
Minutes of a REGULAR Board Meeting
Held in the school library located at 1041 Yorkshire Way, Rock Hill, SC
Thursday,Apri12, 2020, agenda posted start time: 6:00 p.m.
5. TMO's report
The board received a written report dated 3/19/2020 from Dr. Kane (see attached). The enrollment
increased by two students since that time for a current total of 1,512.
6. CFO's report (aka, financial report) specify
what the
The board received a financial report from CFO Thomas consisting of an income statement and a financial
balance sheet as of 2/29/2020 (see attached). report
consisted
7. Board committee reports of
a. Financial oversight committee chair Johnson reported that the financial oversight committee met on
Wednesday, March 25, 2020. The committee reviewed the third quarter payroll report produced by
Paychex, bank and credit card statements through 2/29/2020, and the school's third quarter tax filing.
The committee did not detect any irregularities.
b. Governance committee chair Bateman reported that the governance committee has not met since the
board's previous regular meeting.
c. Risk management oversight committee chair Dr. Proski reported that the risk management oversight
committee met on Thursday March 26, 2020, to review liability insurance coverage levels with the
school's insurance carrier, Ms. Susan Davis of Premiere Insurance Company with whom the board
interacted earlier this meeting.
d. The board has no ad hoc committees at the time of this meeting.
8. Unfinished business "unfinished," NOT"old" business!
a. Director Johnson moved that "the board approve the CEO's request to spend no more than $18,000
from the school's reserve funds to purchase a one-year license to acquire an individualized, cloud-
based reading software to augment the school's language arts instruction." The motion was seconded
by Director Herrera.After substantial discussion of the benefits to students anticipated by Dr. Kane,
the motion carried. (This item had been postponed in a regular meeting on Tuesday, March 17, 2020
until the board's next regular meeting.)
b. Director Rev. Durham moved that the board"engage the services of Stecklehauser and Dorn, CPA,
for the 2019-2020 audit." Seconded by Board President Conner.After considerable discussion about
the merits of the various proposals, the motion carried. (This item had been postponed in the special
meeting on March 5, 2020, in order to give board members time to review the proposals received by
the school.)
Minutes prepared by Jon Godfrey, Front Office Receptionist page 3 of 4
The Effective Charter School Board 38
Pleasant Ridge Classical Academy
Minutes of a REGULAR Board Meeting
Held in the school library located at 1041 Yorkshire Way, Rock Hill, SC
Thursday,Apri12, 2020, agenda posted start time: 6:00 p.m.
9. New business
There was no new business brought before the board.
or ...
a. Director Proski moved that, "he chair an ad hoc committee to eXplore available real estate for a
future campus and report back to the board as soon as the committee identifies viable properties."
Seconded by Vice President Bateman.After some discussion about prospective committee members,
the motion carried.
b. Vice President Bateman moved to "postpone taking action on increasing the board's director and
officer liability insurance coverage from $3 million to $5 million until after Dr. Kane has had the
opportunity to compare rates with at least three other carriers that have an AM Best rating of A+. Dr.
Kane is to bring this information back to the board at its next regular meeting." Seconded by
Director Proski. Motion carried.
10. Ongoing Board Development& Self-Assessment
As part of the PRCA Board's commitment to its own ongoing development and self-assessment, it
listened to a six-minute podcast by Dr. Brian L. Carpenter on the topic of board unity of control.
At the conclusion of the podcast, the board discussed the two self-assessment questions in the handout
that accompanied the podcast. Based on this, the board determined that no action is needed at this time
(or the board determined that it will take the following action: adopt a conflict resolution policy). The
board asked Dr. Kane to bring a draft policy to the next regular meeting for consideration.
Adjournment
Having completed the agenda, Board President Conner declared the meeting adjourned at 7:42 p.m.
do not write "respectfully submitted" once a set of minutes
unless you think you're living in1910 has been approved by record the
the board,the secretary exact time
should write the word the
�-� il'J`�,ri,� �`.�% �'I-r7
��%�`-��,� �� �' � . � ' „approved�„the date meeting
they were approved, and was
���� ��� 1 si n them adjourned
�,o� ��rw�-��-� 9
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Minutes prepared by Jon Godfrey, Front Office Receptionist page 4 of 4
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The purpose of board financial oversight is:
(1) to ensure appropriate budgeting, spending, & accoun
(2) deter & detec
management
The Effective Charter School Board 40
_ _ , _ _
Latin Academy Charter School was located in the inner city of Atlanta where good
public schools are in short supply. Its founder, Chris Clemons, caused the school's
financial collapse in 2016, displacing nearly 200 children.
• Chris pleaded guilty to stealing around $1 million; sentenced to 10 years
• He is a UPenn grad and has an MBA from MIT.
• Academically, LACS was in the top quartile of all similar area schools.
• According to the Atlanta Journal Constitution, Chris's fraud included:
- $12,000 at Goldr�ush Showbar on a single date,plus thousands more on other occasions
- $2,848 at Mercedes-Benz of Buckhead
- $2,224 at BQE Restaurant and Lounge,plus thousands more on other occasions
- $2,109 fo� Carnival Cruise tickets
- $1,000 in ATM withdrawals in a single day,plus thousands more on other occasions
• � • • • • — • • • •
1. Just a few BASIC financial controls were all that would have been necessary to deter this kind
of fraud(or at least detect it before it caused the school to collapse). This section contains 21
suggested basic charter school financial controls.
2. Chris's story appears to me to fit perfectly with what we in the fraud prevention/investigation
profession refer to as an"accidental fraudster." This term refers to people that don't come into
their job with the intention of committing fraud. Rather, people succumb to the temptation to
commit occupational fraud as a result of three things (known as the fraud triangle):
(1) perceived pressure—(often financial) pressure one doesn't feel one can share
(2) rationalization—excusing oneself as to why stealing doesn't mean one is bad
(3) perceived opportunity—realizing that one can steal. It is this leg of the fraud triangle
onlv that a school can work to deter and/or detect.
3. According to the AJC, Chris's board was a"blue-ribbon board," meaning that it was composed
of highly educated, successful, committed individuals. Such a board composition is great, but it
illustrates that all charter school board members need training on how to fulfill their
oversight duties, especially training on developing financial controls and monitoring
compliance with them. Charter school leaders also need this kind of training.
4. TRUST IS NOT A CONTROL. The board's job is to verify.
5. Apart from harming children, examples of charter school fraud like that Chris was convicted of
gives opponents of chartering the opportunity to argue for the elimination of ALL charter
schools. Your school can minimize (but never entirely eliminate) the chance of it becoming
another example of easily preventable (or detectable) fraud.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 41
. . . � , . � .
� Former president of charter school parent
� - � �•� � • �
group charged with stealing $58,000 � �� , .. .� �
https://www.nwitimes.com/news/local/crime-and-courts/former-president- • � ��
of-charter-school-parent-�roup-char�ed-with-stealin�-58-000/ � , , � �� -, � -
articic 34308cf3-77b9-Sbc9-bb06-509ac4b99c52.htm1
. �, . � .
: Newpoint charter schools owner Marcus ; , , , . . � ,,
May found guilty of racketeering, fraud � • � �• . �
https://www.pni.com/story/news/2018/10/04/jury-out-fraud-trial-newpoint- �• � ' � � � " ' •
charter-schools-owner-marcus-may/1524926002/ �. � � �.
� �.
� Allentown charter school sues over • �� � � -
embezzled payroll taxes "' ' '�
� . . • .
https://www.wfmz.com/news/insideyourtown/allentown-charter-school- � � � �
sues-over-embezzled-�a,vroll-taxes/article_tb 1 bacab-45ec-5967-
ba17-97a42b323a60.htm1
� Former Fort Mill, current charter school coach on leave after arrest
in money probe
https://www.charlotteobserver.com/news/state/south-carolina/artic1e235239212.htm1
� Charter school founder and CEO sentenced to 21/2 years in federal
prison for misappropriating $3.2 million in public education fund
https://www.justice.gov/usao-cdca/pr/charter-school-founder-and-ceo-sentenced-2-years-federal-prison-
misa�propriating-32#:�:text=LOS%20ANGELES%20%E2%80%93%20The%20founder%20and.allocated%20to%20s
ome%20of%20her
� She did prison time for arson, then became president of a Manatee
charter school board. Now she is headed back to jail
https://www.bradenton.com/news/local/education/artic1e160181454.htm1
� Financial officer admits to stealing $628,00o from Big Island
school destroyed by lava
https://www.hawaiinewsnow.com/2020/02/OS/former-hawaii-island-charter-school-official-pleads-guilty-wire-fraud/
mFormer White House adviser arrested for stealing $2�8,00o from
charter schools he founded
https://www.j ustice.�ov/usao-sdn�/pr/former-white-house-advi ser-arrested-stealin�-218000-charter-schools-he-founded
��__ ,
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
�
The Effective Charter School Board 42
_ _ , , , - . . � ,
Scenario #1: The business manager of a charter school pleaded guilty to stealing
$600,000 over a period of about six years (which is quite long compared to the
average duration of an embezzlement of about 18 months). The way she did this
was to rack up lots of purchases on her personal credit card, then she simply paid
the card via EFT through the school's bank account along with the rest of the
school's monthly payables.
Scenario #2 (item A on the previous page): A PTO president was recently
convicted of stealing $58,000 over a period of a coupe of years. She only got
caught when a new person was finally elected PTO president and requested the
books but was stonewalled.
Scenario #3 (item F on the previous page): The board president of a charter
school obtained several blank checks from the school which she then wrote to
herself for a total of more than $27,000. Her fraud only lasted about two months.
She was sentenced to eight months in jail plus probation and she has to pay back
the money.
Four discussion auestions:
1. How easy or difficult do you think it would it be for someone in your school to
pull off a similar fraud to any of the above? Why or why not?
2. Internal controls are policies and procedures that are designed to deter and/or
detect financial fraud. In scenario #1, the school had written internal controls in
place. Why do you think they didn't work?
3. At Latin Academy Charter School, the board members were all successful in
their respective professions. The authorizer even referred to them as a "blue
ribbon board." How is it possible for someone to steal that kind of money right
out from under such a well-composed board?
4. In scenario #3, the school's external auditor caught the fraud. Why do you think
the auditor didn't catch the fraud in the first scenario? (One might think that six
audits should have caught it.)
� ;, _
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 43
. . , , ,
� . . , . � , � �
. � .
Just as there are key differences between governing a charter school and managing
one, there are key differences between financial management—what the school's
administrators do, and the oversight OF financial management —what the school's
board does. (On the next page, we'll take a look at 25 key differences.)
To put this another way, the board's purpose is NOT to participate IN the financial
management of the school. It's to ensure that the school's finances (and other
assets) are being properly managed and safeguarded from fraud, waste, and abuse.
As part of performing this purpose, I recommend that EVERY charter school board
operate an independent financial oversight committee (which I often refer to as an
audit committee or financial oversight committee in my publications). In this
context, inde�endent means that the committee's work is DIRECTED and
CONTROLLED by individuals who are not check si�, or individuals with
authoritv to authorize school purchases.
Thus, while your state and/or authorizer might require that the committee include
the school's CEO and/or CFO, the committee should NOT allow these individuals
(whatever their titles happen to be in your school) to direct or control the
committee's work, including establishing agendas for items that the committee will
review. This FOC is a board owned & controlled committee.
This is because the primary function of the financial oversight committee is to
serve as a check and balance to senior management's financial activities.
Specifically, this committee exists to prevent and/or detect senior management
override of internal controls and/or collusion.
To do this, the committee reviews various source documents on a routine basis and
re�orts its activities and findin�s back to the board. Reporting is essential but
easily accomplished when the board follows a standard order of business that
includes an agenda item for committee reports in eve�y regular meeting. �
�
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 44
.
, ,
, , , , � - , , -
, � �I , ,
� / / /
Aspect . � - -
1 Budget Prepare Approve
2 Budget revisions Determine/recommend Approve/Decline
3 Ordinary expenditures Approve Monitor for appropriateness
4 Extraordinary expenditures Recommend Approve
5 Transactions Approve/Execute Monitor for appropriateness
6 General ledger Maintain Monitor for appropriateness
7 Fraud risk management Deter and detect in operations Deter and detect in senior mgmt
8 Annual fraud risk assessment Conduct Ensure/review
9 Financial controls Create and follow Ensure they exist and are being followed
10 Criminal background checks Conduct on faculty and staff Conduct on senior mgmt & board
11 Check stock Safeguard/control Ensure
� 12 Financial oversight committee Supply documents& information Evaluate documents&information
13 Assets Tag and inventory Ensure
14 New vendors Approve per policy Review
15 External auditor Cooperate with Select and consult with
16 Source documents Maintain and secure Evaluate
17 Reimbursements Approve for faculty and staff Approve for senior management
18 School indebtedness Recommend Approve
19 Financial reports Prepare, submit and explain Monitor for appropriateness/benchmarks
20 School credit cards Control and monitor faculty&staff use Monitor senior mgmt use
21 Spend from reserves Request/recommend Approve/decline
22 Benchmarks (e.g, margin) Manage to accomplish Establish, monitor, confirm
23 Investigate fraud allegations Made against subordinates Made against senior management� �,
24 Employee Dishonesty Insurance Procure/renew on time Confirm &ensure adequacy
25 Monthly reconciliation report Prepare Review �
The Effective Charter School Board 45
1 . � .
, , , � ,
.
. , .
Why review source documents as opposed to just reviewing financial reports?
Simple. Source documents, if obtained directly from the entity that produced them
(e.g., banks, credit card companies, payroll companies) are less prone to
falsification than management-generated reports.
Moreover, research on fraud suggests that when employees and volunteers know or
believe that someone routinely reviews transactions, the probability fraud
decreases. The reason for this is basic to human nature: the fear of getting caught.
For your school, this means that an active financial oversight committee serves as
BOTH a detection mechanism as well as a deterrence mechanism.
Here is a list of 10 source documents the financial oversight committee should
routinely review, along with suggested intervals:
1. Bank statements; monthly
2. Credit card statements of senior management; monthly
3. Payroll reports; periodically (I strongly recommend outsourcing payroll to a
nationally reputable company such as Paychex or ADP, in part because they
produce reports that can be considered source documents.)
4. New vendor verification forms; as needed
5. Payroll tax payments; quarterly (htt�s://www.eft�s. ov�/eft�s/)
6. Invoices, receipts, purchase orders; as needed/periodically
7. PTO/PTA/Booster club financial activities; periodically
8. Canceled checks (that is checks that have been cashed); periodically
9. Vendor invoices, especially the high dollar ones; periodically
10. Travel reimbursement vouchers; periodically
Any other supporting documentation for a financial activity that seems odd or
unusual.
�
�
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 46
. , , , , , . , ,
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One of the things fraud examiners are commonly told while doing investigations is,
"Well, we actually have an internal control to prevent this particular fraud, but it
just wasn't followed."
It goes without saying that simply "having some policies" is insufficient. While
management's job is to figure out which controls are necessary and to put them in
place and make sure they're being followed subordinates, one of the board's
responsibilities is to make sure they're being followed by senior management—the
people in the best position to override them.
When senior school administrators override controls, however, it is highly likely
that lower level employees, especially those involved in the purchasing or
bookkeeping functions know about it. Unfortunately, for fear of losing their job or
some other form of reprisal, they keep it to themselves. It is precisely at this point
that the board's financial oversight committee can play a vital role through two
strategies.
First, by periodically (two to four times a year) going into the school to talk one-
on-one with everyone involved in the purchasing and financial record keeping
process, someone from the financial oversight committee can ask very simple
questions such as:
"Since the committee's last visit to the school, have you been asked to do anything
regarding school finances that made you feel uncomfortable?" and "Since the
committee's last visit to the school, have you been asked to process any
transactions that seemed peculiar to you?"
Second, by giving your contact information directly to lower level employees with
instructions to call you should a concern on their part ever arise, you open the door
for them to initiate contact. Assure them of confidentiality (to the extent possible)
and that part of the board's responsibilities include ensuring that no one who makes
a good faith allegation of fraud, waste, or abuse is subjected to reprisals from tl�
school. �
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 47
� . � , , . , �
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. . .
It's important the financial oversight committee document its activities (e.g.,
committee minutes or notes) AND that the committee report out its activities to the
full board at every regular meeting (which is monthly for most charter schools).
Reporting does not need to be complicated but it should accurately summarize what
the committee did during the previous month. By entering either a written report or
a summary of a verbal report into the minutes, the committee's activities become
part of the record of the board's official actions. In the event that your school is
ever sued or the subject of an investigation, being able to demonstrate that the
board reasonably performed its fiduciary duty known as its duty of care can be
essential to the outcome.
To give a report to the board, the committee chair can simply say something similar
to this:
The committee met on [date] and reviewed the following documents: [name
documents] through [date that source document was produced]. The committee did
not detect any irregularities.
OR
The committee detected the following irregularities which we now refer to the
board for possible action.
Sam�le entry in the board's minutes:
Financial oversight committee Chair M. Moreno reported that the financial
oversight committee met on Wednesday, 6/17/21 and reviewed the school's bank
statements and credit card statements of the CEO and CFO for the period ending
5/31/21. The committee reported that it did not detect any irregularities.
Just as impo�tantly f�om a documentation standpoint, if the committee did not meet
in a given period, the minutes should indicate no report was received from the �
financial oversight committee. �
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
- � � � � I � � � � - � � � �
� � � � • �
1. Separation of duties—especially bookkeeping steps!
2. Credit card usage (no debit cards!)
3. Travel reimbursement (no first class airfare, posh hotels, and white tablecloth
dlririerS Ori tlle publlC'S tab� (see this example: htt�://www.dailvnews.com/social-affairs/
20160522/s�ecial-report-la-charter-school-under-review-after-�rincipal-char�es-1 00k)
4. Purchasing procedures (bidding requirement thresholds, approvals, ordering, etc.)
5. Asset protection, control, and inventory
6. Vendor selection process (to deter undisclosed related party transactions)
7. Positive pay (for both checks and ACH/EFT disbursements)!
8. Contract review policy (by the school's general counsel) for contracts over $X
9. Single-item purchase authority limit & inter-line item transfer authority
10. Employee dishonesty insurance/bonds (aka, "crime coverage")
11. Whistleblower protections (vital!) & an anonymous tip hotline
12. Board financial oversight committee functions
13. Criminal history checks (vital for anyone with access to school funds)
14. Cash receipting, deposits, & disbursements (outsource these!)
15. Financial reporting (i.e., specific reports, their interval, and specific metrics)
from the school AND its auxiliary groups such as PTO, booster club, etc.
16. Annual banking institution verification (something the board should do)
17. Quarterly tax-deposit verification (US Treasury's website at htt�s://
www.eft�s.gov/eft�s/)
18. Budget development/budget approval/spending within approved budget (no
purchasing should occur from reserves without board authorization)
19. Payroll processing procedures, including procedures for adding employees
20. Reviewing original bank and credit card statements against monthly, detailed
reconciliation reports
�,
21. Accounting software password controls, back-ups, cloud or device storage �
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
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' How to Protect Your Charter School Throu h
...# ,�y� g
Systematic Risk Management
The Effective Charter School Board 50
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/ ;� San D iegn U n ified ClFfice of Charter School;
� 5CHDOL OISTRICT E:U(;ENLF3it[;CKER�DUC.q710'vCE�7ER
��40�!�ormal5trect,Annex 15
� San D�e� CafiFornia 4170;
— � P •7 ��[619}i�5-i Ip7
Facsimile{6!9)725-7I08
August 10, 2011
Nor�cF
p �
@ �
[ ' dn August �, 20�1, the Board af Educa�ion of the 5an ❑iego
3 . Unified School District ap�raysd the revocation af the Charter of .:
Pramise �harter Schoo4.
, . -
Effecti�e August 2, ��11, Pramise Charter 5chaol is clased. ' ,
�-
�- 1f you wouid need assistance regarding enrollment af yQur �
� � student, please contact Enrollment �ptions at {619} 72�-��72 or �
r . t619) 725-7153.
In 2011, this academically well pe�-fonning cha�te�school in San Diego had its
charter revoked. According to various media sources, Promise Charter School:
• violated California's open meeting laws
• failed to prevent inappropriate relationships between a male teacher and his female
students
• maintained faulty financial statements
• violated legal requirements pertaining to student suspensions
• violated its own rules about who should sit on its charter board
• violated state laws pertaining to conflicts of interest
• failed to report child abuse to CPS
I consider this case a textbook example of a charter school board that failed to ensure
sound risk management, an error of such magnitude that it resulted in the loss of its
charter, thereby forcing hundreds of students into other nearby schools, some of them
lower performing. In my view, the school could have easily avoided revocation
through sound risk management.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
Risk Mana�'�i��Y� �i�a��s���� the News 51
(not the kind of inedia coverage your scliool wants)
`Deceived': Indianapolis charter school pitch left out lawsuits, touted
questionable college degrees
https://in.chalkbeat.or�/2021/4/23/22398328/stemnasium-indianapolis-charter-school-a�plication
`Simply inexcusable:' Mom ran over son in school parking lot as he
clung to car door
https://www.mlive.com/news/�Trand-rapids/2019/04/sim�ly-inexcusable-mom-ran-over-son-in-school-parking-lot-as-he-
clun�-to-car-door.html
'Beloved' Elementary School Principal Dies Protecting Students From
Bus Crash
https://abcncws.go.com/US/bclovcd-cicmcntarv-school-principal-dics-protccrin,�-studcnts-bus/stor�
id=36556133#:�:text=Susan%20Jordan%20died%20after%20a,curb%20at%20an%20Indiana%20school.&text=Susan%20Jo
rdan%2C%20the%201ongtime%20principal.ofi%20the%20school%2C%20authorities%20said.
Landslide kills two on elementary school field trip in Minnesota
https://www.theoaklandpress.com/news/landslide-kills-two-on-elementary-school-field-trip-in-minnesota/
article b3c3922f-0979-5702-a1c8-8f43c8df53d5.htm1
Judge, senator and closed charter school sued by terminated employees
https://nondoc.com/2020/OS/07/closcd-chartcr-school-sucd-bv-tcrminatcd-cmplo,��ccs/
Lake Forest charter school board member resigned after $i2o,000 deal
with school
https://thelensnola.or,�/2017/02/23/company-owned-by-former-charter-school-board-member-collected-120000-in-deal-with-
school/
She did prison time for arson, then became president of a Manatee charter
school board. Now she is headed back to jail
https://www.bradenton.com/news/local/education/article160181454.html?
fb comment id=1648965531782276 1651416761537153
State commission revokes Ka'u Learning Academy's charter amid
criminal investigations
https://www.hawaiinewsnow.com/story/38606336/state-commission-revokes-embattled-kau-learnin,�-academys-charter/
#:�:text=State%20commission%20revokes%20Ka'u%20Learning%20Academv s%20charter%20amid%20criminal%20investigations,-
Close&tex�HONOLULU%20(HawaiiNewsNowl%20%2D%20The%20Hawaii,investigations%20into%20the%20school's%20founder.
Federal agents raid Los Angeles charter school network
https://www.latimes.com/local/education/la-me-edu-celerity-charter-schools-20170125-store.�
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
A few fir���n�r��s��es with 52
risk management as a school leader,
board member, and consultant . . .
As a former SCHOOL LEADER, I have navigated these risk management situations:
• a teacher candidate that misrepresented his credentials on his resume (no MA as
claimed); convicted of stealing pornography
• a cheerleader broke her spleen while rehearsing tosses with inadequate mats
• allegations of male teachers acting improperly toward students and staff
• bullying/hazing incident on a bus returning from an away game in which a student
sustained abdominal bruising while the coach intentionally turned a blind eye
• a teacher who made inappropriate comments to special needs students
• a COO that allowed federal bus inspection stickers to be out of date
• coaches having kids doing cross country when the heat index was too high and
practicing soccer on a rock strewn field which had resulted in a student needing
stitches the previous year
• kids driving other students to away games
• deficient HR procedures, EEOC negotiation, lawsuit negotiations
As a BOARD MEMBER, I have navigated these risk management situations:
• CEO embezzlement (subsequently convicted and sent to prison)
• board approval to acquire millions in debt without performing any due diligence
As a CONSULTANT, I have assisted boards, leaders and authorizers in navigating these
risk management debacles:
• PTO president used debit cards to for thousands of dollars worth of personal stuff
• school employees that have stolen money (occasional LARGE sums), used
school credit cards for personal purchases, skimmed petty cash
• board that inadvertently allowed its D&O liability coverage to lapse
• implementing a sex-offender registry database ID scanner over objections of
board president only to have the platform identify two convicted child
molesters in the first three months
• a wrongful termination suit against the board
• schools on corrective action plans
• board officers making high-stakes decisions unilaterally
• board that failed to conduct an annual audit almost a year after it was due
• school that went financially defunct mid-year
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
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E/I 1. sexual predators (campus access, background checks on volunteers)
E 2. injury/death during daily drop-off and pick-up
E/I 3. campus emergencies (e.g., medical, health issue, weather, active shooter)
I 4. bullying/hazing/sexual harassment/racial discrimination (students and staf�
I 5. facility hazards (e.g., playgrounds, rocks, holes, wet floors)
E/I 6. field trips (e.g., transportation, chaperones, destination itsel�
E 7. pandemics (illustrating that some risks simply aren't reasonably foreseeable)
E/I 8. theft or misuse of protected information (e.g., employee PII, student records)
I 9. deficient HR practices (wrongful termination, EEOC violations)
. � " � � . . � � � � • � �
I 1. internal fraud (e.g., skimming, pass-through schemes, undisclosed related parties
transactions, embezzlement, compensation schemes, etc.)
E 2. external fraud (e.g., ACH/EFT transfers, theft of payroll tax deposits, and theft of
PII)
E/I 3. vandalism
I 4. theft of school property (made easy through failure to maintain inventory records)
E/I 5. technological vulnerabilities (spear-phishing/denial of service attacks/ransomware)
E 6. natural and manmade disasters (e.g., fire, tornado, volcano (really!), nearby
explosions (also really!)
I 7. gaps in insurance coverage (e.g., inadequate employee dishonesty insurance)
. � ' � � . . � � � � � � '
I 1. inadequate student achievement and growth
E/I 2. diminishing reputation within the community
E/I 3. undesirable media coverage
I 4. problems arising out of actions by inadequately trained employees & volunteers
(e.g., untrained board members, inadequate teacher development, chaperones)
I 5. hiring and/or keeping incompetent people around
I 6. program non-compliance (e.g. SPED, EL, Title I, Title IX, e-rate, etc.)
I 7. fraudulent enrollment reporting
I 8. non-compliance with provisions in your charter (e.g., exceeding enrollment caps)
E 9. theft of PTO/Booster Club funds
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
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SUSCEPTIBILITY (LIKELIHOOD)
A. facility hazards (e.g., playgrounds, rocks, holes, wet floors)
B. injury/death during daily drop-off and pick-up
C. internal fraud (e.g., skimming, pass-through schemes, undisclosed related parties
transactions, embezzlement, compensation schemes, etc.)
D. SPED program non-compliance
E. non-compliance with provisions in your charter (e.g., exceeding enrollment caps)
F. sexual predators (campus access, background checks on volunteers)
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
� ' � � / " � � � - - � - - � � � � � � ' �
� � • • � � • • . - •
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(1) Examples of AVOIDING charter school risks:
• not allowing students to drive other students to away games
• using a sex-offender registry to screen out child molesters
• prohibiting outdoor sports activities when the heat index is too high
• prohibiting certain activities (e.g. soccer practice in a rock-strewn field)
• deny field trip requests to dangerous areas
• routine maintenance of school playground and gym equipment
(2) Examples of TRANSFERRING charter school risks:
• liability insurance/D&O insurance
• warranty programs (e.g., AC maintenance)
• positive pay (for checks and ACH transactions)
• subcontracting some services (e.g., transportation companies, payroll companies,
food service, building maintenance, etc.)
• permission slips/waiver of liability
(3) Examples of MITIGATING charter school risks:
• financial controls that a�e �outinely rnonito�ed fo� cornpliance
• training cmployccs to rcport risk indicators (starting with thcir oricntation
• policies and procedures
• campus security/fences/sex-offender registry database
• seeking attorney review (e.g., contracts, HR practices and personnel actions)
• conducting external audits (e.g., financial & HR)
• parent/guardian permission slips/waivers
• staff and volunteer training (such as field trip chaperoning)
(4) Examples of ASSUMING charter school risks:
• inherent risk in contact sports
• in-school food preparation and service
• before and after-school programs
• allowing nepotism (if lawful in your state)
• field trips
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
: w - i � . � / � / � � . � � . • • � �
� �
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. . • . • � . � �
1. Write a statement of core values and instill them in everyone.
2. CONFIRM that a criminal background check on all officers and directors has been
completed before they are hired or appointed.
3. All directors and officers should annually sign a disclosure statement, code of
conduct, and a pledge to act ethically.
4. Carry sufficient levels of director and officer liability insurance coverage.
�/ 5. Have an attorney review ALL vendor contracts prior to execution.
6. Make sure the school has employee dishonesty coverage and that the amount of
coverage is related to the school's total assets. (Example: I had client school with
millions of dollars in its fund balance but only $50,000 in employee dishonesty
coverage.)Also make sure that said insurance covers bad acts bv board members
with access to school funds. Some insurance companies exclude them as volunteers.
�/ 7. Use a computer database to prevent convicted sex offenders from gaining access to
your campus (and screen ALL volunteers!).
✓ 8. Use a commercial software to manage all student cash transactions.
�/ 9. Use positive pay for ALL checks and ACH transactions.
� 10. Make sure you have a robust separation of duties policy, especially with respect to
financial record keeping AND routinely assess compliance with it.
�/ 11. Prohibit the existence of debit cards linked to the school's account.
12. Establish a board audit committee to routinely review financial source documents
such as bank statements, credit card statements, payroll reports, and tax filings.
13. Conduct a WELL-ORGANIZED and CLOSELY SUPERVISED student drop-off
and pick-up!
14. Conduct an annual risk management assessment, to include an annual fraud risk
assessment.
15. Utilize a standard order of business for regular board meetings.
16. Utilize a board calendar to track recurring items annually and plan agendas
accordingly.
�/ 17. Outsource payroll functions to a reputable company, but confirm its tax deposits on
the school's behalf EVERY qua�te�.
18. Develop a well thought-out emergency action plan and rehea�se scena�ios.
19. Adopt a whistleblower non-retaliation policy and fraud reporting hotline or email
and widely communicate the existence of both.
20. Prohibit nepotism—especially among senior managers and/or board members.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 58
2 L Train the board to understand basic parliamentary procedure, open meetings
requirements, interpreting financial reports and meaningful, fair school leader
evaluation.
22. As a full board, meet with your auditor upon conclusion of the annual audit.
23. Be diligent in composing proper board minutes.
24. Develop an organizational hierarchy with CLEAR lines of authority.
25. Use resources that makes it easier for teachers to provide differentiated instruction
(e.g., MAP Accelerator).
26. Adhere to personnel management best practices (job descriptions, new employee
orientation, a well-written faculty and staff handbook, proper documentation of
disciplinary actions and so on).
�/ 27. All school leaders, especially the chief executive, should routinely practice
management by walking around (MBWA).
28. Hire a competent business manager/CFO.
29. Practice radical transparency (e.g., post budgets, agendas & minutes, and various
other school documents to the school website).
30. Hire competent people and compensate them as well as possible.
31. Tightly control building access. Key fobs are great if you can afford them.
32. Frequently inspect playgrounds and equipment for hazards.
33. Routinely review of PTO/Booster Club financial records and bank statements.
�/ 34. Conduct an HR audit (to minimize a myriad of risks arising out of improper
personnel management)
35. Maintain a collegial relationship between the school and the authorizer (when
possible).
36. Engage in board training that teaches that a board exists to ensure that the school
accomplishes the student outcomes it was chartered to produce while operating
within all required parameters—not to co-manage it. A co-mana�g board is often
one of the greatest risks to charter schools, es�ecially when its members act as
individuals rather than actin�y as a collective.
37. Revise your bylaws so they properly that distinguish governance from management
(especially the board president and treasurer descriptions).
�/ 38. Review the monthly bank reconciliation report against the actual bank statements
with an eye for detecting fraud, waste, and abuse.
�/ 39. Properly track and manage assets (to include bar code tagging and tracking of
computers, tablets, etc.).
40. Train and incentivize ALL employees and volunteers to recognize and quickly report
red flags that may indicate risk (e.g., safety mishaps).
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
� � � � i i 1 • • � • 1 •
/ � / � � / � � � � �
1. Save Your Ship! How to Protect Your Charter School Through Systematic Risk
Management by Brian L. Carpenter (available on Amazon.com).
2. Many liability insurance companies (especially companies that insure a lot of
� charter schools) provide FREE risk management resources. Contact your school's
insurance provider to find out what might be available.
3. GAO Publication: Standa�ds fo�Inte�nal Control in the Federal Gove�nment
(htt�s://www.gao.gov/�roducts/GAO-14-704G). This publication is often referred to
as "the green book" (because of its use of the color green within the book's
illustrations). Although this is a governmental publication and its contents are
mandatory for federal agencies, it is practical and broadly applicable to charter
schools (which, it might be noted, receive federal funds and thus potentially fall
under its guidelines). NotablX the �reen book fully incorporates COSO's standards.
4. Risk Management in Student Affairs: Foundations for Safetv and Success by
Thomas E. Miller and Roger W. Sorochty (Available on amazon.com)
5. F�aud Risk Management Guide (https://www.aic�astore.com/AST/Main/
CPA2BIZ_Primary/FraudDetectionandPrevention/PRDOVR�PC-ACO S OFRM/PC-
ACOSOFRM.isn).
6. COSO Ente�p�ise Risk Management - Integ�ating with St�ategy and Pe�fo�mance.
(htt�s://www.aic�astore.com/ManagementAccounting/GovernanceandRisk/
enter�rise-risk-mana�ement---inte r�g-with-stra/PRDOVR�PC-ACOSOERM/
PC-ACOSOERM.isp)
7. The Princi�al's Quick-Reference Guide to School Law: Reducin� Liabilit�
� Liti a� tion, and Other Potential Le ag 1 Tan l�es by Robert F. Hachiya, Robert J. Shoop
and Dennis R. Dunklee (Available on Amazon)
8. FEMA Publication: "Guide for Developing High-Quality School Emergency
Operations Plans" htt�s://www.fema.�ov/emer.�e�ncy-managers/national-
preparedness/plan#emer e�ncy-operations
O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
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The Effective Charter School Board 61
The Four-Sided Model of School Academic Performance
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Absolute Perfarmance
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The school's absolute performance is the percentage of students that meet or
exceed standards on end of year, end of grade, and similar state
Oexams. These tests are typically administered in spring in grades 3rd thrOUgh $th,
although some states have high school absolute performance metrics such as
EOC tests for high schools. School data reflecting absolute performance is
typically released in the fall.
The school's student gains (or growth) is a measure of how much a student
grew during an interval such a from one grade level to the next. Some states
2O measure growth using metrics known as EVAAS and some schools measure it
internally using a test called Measures of Academic Progress (MAP) which is
commercially available.
The school's relative performance is how well your students performed on
Onumbers 1 and/or 2 compared to other charter schools in your state, nearby
3 districts, all public schools in your state, and/or a normed groups
(such as PSAT, MAP). Relative performance is often reported as a letter grade at
the state level.
The school's mission-specific outcomes are determined by each particular
school. Examples included, but are not limited to: college readiness, dual-
Olanguage, preparing kids for careers in STEM/STEAM, citizenship, mastery of
classical values, military leadership, performing arts, self-directed learners, etc.
One of the advantages of charter schools is that each school can choose its
own mission-specific outcomes.
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 62
WHAT Your Board Might Miss Unless It Requires
Management to Provide Trend Data
data from a real revoked charter school
CASE in Point: One Year Before This School Lost Its Charter
P���enr of scuaenc��asS�F�� Four Observations About the Data
ELA Math Both
Fa112006 46.4 35.8 29.6
Faiizoo� 3s.s as.s zg.i 1. In its first four years of operations, the
Fa112008 46.4 49.3 3s.s combined percentage of students passing
Spiiug 2009 41.1 44.4 30.4 Math & EL,A rieVeT eXCeeC�eC� %.
Spiing 2010 42.2 44.5 31.6
2. Over the four years the school had
operated, the school's
�� was essentially STATIC.
56
3. The dip between Fa112008 and Spring
40 2009 testing cycle suggests that students
30 �� '"�ELA lOSt
=.�Math
Za a Both 4. The board was never aware of the
three preceding points because it was
16 � never shown TREND DATA. It closed
a one year after I compiled this snapshot.
Fall 2006 Fall 2007 Fall 2005 Spring 2609 Spring 201U
Without Trend Data, Here Are Seven Things Your Board Might Miss:
L In which overall direction the school's academic performance is trending
2. How the most recent data compares to previous years
3. Whether trend performance is indicative of a need to change management
4. Whether changes to the charter need to be requested
5. What impact, if any, previous major changes made to curriculum or instruction had
on performance (e.g., implementing a supplemental reading program)
6. Whether the school is on a traj ectory to get its charter renewed
7. Whether management understands the performance of the school enough to diagnose
problem areas (You can't fix a problem you can't diagnose.)
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
The Effective Charter School Board 63
Examples of Questions a Board Can
Ask About Academic Performance
1. What percentage of our students do not speak English as their native language at the time they enroll?
2. Does our school test students for proficiency using a normed test other than the one we're required to
administer by the state? If yes, which one(s) and how frequently? How do its results compare?
3. Does our school test students to determine grade level proficiency during the enrollment process?
4. On average, what percentage of our students are below/at/above grade level when they enroll?
5. On average, what percentage of our students are performing below/at/above grade level after one full
year at our school? Two full years? Three full years?
6. What percentage of our students achieve at least a year of academic growth during a full school year?
7. On average, how long does our school take to bring a student up to grade level in reading? Math?
8. Does the school use test data to inform instruction? How?
9. What percentage of our 3rd through 8th grade students are meeting or exceeding state standards in
math and English Language Arts (ELA), Math, & Science?
10. In what quartile does our school perform on the state test relative to:
• our students'home district(s)?
• all other public schools in our state (including other charter schools)?
• schools with a similar socio-economic composition (e.g., 90% economically disadvantaged)?
• other charter schools in our authorizer's portfolio?
11. Over the past three to five years, is our overall school performance on state tests best described as:
• static?
• trending upward?
• trending downward?
12. What percentage of our students have IEPs or have special needs? How well do they perform?
13. If performance deficiencies exist, why? (Precise causes may not be able to be determined, however,
management should be able to identify majar contributing factors to trends such as: faculty turnover,
changes in curriculum, turnover in students, changes to the state test, changes to the school's teacher
professional development plan, structural program changes [e.g., number of instructional hours
allocated to reading] and so on.
12. If the school is performing unsatisfactarily,by what date does management intend to make it perform
properly? (Do the bolded words look familiar?)
Additional Questions for High Schools
13. What percentage of our students are enrolled in AP courses?
14. What percentage score a 3 or higher?
15. What percentage of our students earned dual credits (college and high school)?
16. What percentage of our students graduate? (Excluding GED and similar equivalencies)
17. What percentage of our students are admitted to college or trade schools?
18. What percentage of our students are required to take remedial classes upon entering college?
19. What percentage of our students take the ACT and/or SAT?
20. How well do they perform on those tests compared to their peers?
�O 2009-2022 Brian L. Carpenter • Brian@BrianLCarpenter.com • (602) 432-1274
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SCXOOLS
PRAISE FOR DR. BRIAN L. CARPENTER, CFE
"Ove� a pe�iod of about two yea�s, we used Dr: Ca�pente�'s expert assistance to
colnpletely makeover gove�nance and ope�ations. To say that he saved ou�school
would be putting it mildly. YPA is flourishing today because we c�ossed paths with D�:
Ca�pente� at a c�itical time in ou�school's existence."
Craig Craze, Founding Board Chair, York Preparatory Academy
"D�: Carpenter is the t�ailblaze� in the a�t and business of cha�te�public school
gove�nance and strategic planning. His "Cha�te� School Boa�d Unive�sity" and "The
Seven Outs" a�e widely acknowledged as the g�oundb�eaking texts for boa�d
development, o�ientation and boa�d�et�eats. He takes a seemingly d�y topic, mixes it
with a sha�p sense of humor and yea�s of g�ound-level charter public school expe�ience
to help boards and school leaders create the kinds of public schools to which we would
send our own children."
Lisa S. Grover, National Alliance for Public Charter Schools
"Although we typically work half a continent apart, when Minney, Young & Cor�LLP
need expe�t boa�d gove�nance services, Dr: Carpenter has been our go to guy fo�
years."
Paul Minney, Attorney, Young, Minney & Corr, LLP
"Afte�completing B�ian's full day session on Boa�d Gove�nance and how to Create an
Effective Cha�te�School, I can say without rese�vation Pm very well p�epared to step into
the role of Boa�d Member: B�ian did an amazing job of pointing out the pitfalls and joys
of being on a Boa�d, and gave very practical and easy to �emembe� tools to help navigate
the wate�: As a CEO and P�esident I've been dealing with Boards fo� 1 S years, and I can
say this is by fa� the best Board T�aining'I've �eceived in my ca�ee�: While the intent is
to focus on Cha�te�School Gove�nance, the applicability of how a Boar�d wo�ks with a
Leade� (CEO, P�incipal, etc.) was t�uly spot on. Thanks fo�pou�ing you hea�t into
helping us succeed B�ian."
Sean Barry, CEO
Bridgevine, Inc. THE
EFFE�TI�E
SCH��LB�ARD
LEAVING A LEGACY THAT MATS ER5
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CHAPTER 5
�
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3
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� � r � r � r
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�! ��L/J t J �'v�s
� Orientation for new Charter School Board Meinbers
�
�
�
�
� o here you are, a brand new charter schoo� board rr�erllber
� reading tllis book ta undex-stand laow to be effective in your new
� rale. First, a word af congratt�latians is in arder! You �re now
� engaged in a�� iinportant job with far reachi�lg iinp�ications--educating
� cl�ildreii. Your l�ard work in board m.eetings coupled with preparations
� outside of ineetings (such as studyii�g books like this one) ��ill}�ay off. In c1tc��ter sch.00l.
� gover-nance, youu orie�t
� If you are vew to charter school board.s, you are likely thinki�ag aboiit yourself wit.h docte�nents
� what yau should do fi�•st. If you tur��ed to this ch�.pter be'fore reading tile that tell, you wl�.ere tl�e
ii�troduction and the preeedii�g chapters, I encourage you to flip back organiz�tiofi is ancl
� �a�l�e�-e it is liecrded.
� and read tlleirj. They cantain some fundamental ideas that will help yali
� �ake better sense of this whole business of chartering sci�oals.
�
�
Every new board member shauld receive an orientatian tl�at brings
�
; him or l�er up to speed with where thin�s stand. Ofteil, because baard
� i�e�nbers are busy or becat�se the board 1�asn't impleinented a foi-mal
� orienta�iai� process, new nnenzbers are left to fei�d for then�selves. This
� chapter will I�elp you and your board close that gap.
�
-,
J Oiientatio�� is i3othiiig inore than figuring out wher� you are and where
...
� you are h�aded. In map readi��g, you orient yourself by tiising a compass
.,
J and a inap of the teiTain. In charter schoal governance, yau ot•ient
-,
� yours�lf with dacuments that tell yoti� whez-e the orga�iizatian is and
.,
J where it is headed. In well-organized and well-governed schools, the
�
.
�
�
.,
,
Charter 5chool Spard Uriversity 31
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board will give you tlie following list of documents without your hav,hg �R � �� `PT�j
to ask for thenl. Bt�t if you have�l't received t1�eR1�, certainly, go aliead �
and ask for copies. �
�
At fiz-st glance, the list see�ns panderous but don't be intimidated. You �
need only to fa�niliarize yourself w�th some o�tl�e documeilts by brQwsing C
them and being aware tl�at they exist. There are others, l�owever, you'll �
want to note by care�'u1 r�ading. Ne�t to these, I've placed ai� asterisk, �
signifying their importance. �
1. A contact list witFi the names, phone numbers and ennail �
addi°esses of the school's executive anci all current board �
rnembers,Ehe offiees they hold(i.e.,president,vice-president, �
etc.), and when their terms on the baard are due to expire. �
�
2. The schooi's ar#icles of incarporation and bylaws.* These �
two documents fot-m the legal �aasis for the existence of your �
school. Tlie bylaws sllould indicate tl�e date they were adopted c
by t�ie baard and a signature (praUably t1�e board secretary's) �
signifying they are official. Because the board has a legal �
duty to obey its bylaws, and because baaz-ds often forget that C
fact, you should read tlie bylaws to ensure that your election �
or ap�ointment to tl�e board occu�-�•e� accordi�lg to t�e process C
stated in tlle bylaws. �
�
3. The charter.Y This is a perforn�ance contract ]�etween the �
baard and the aL�thorizer. It is tin�e-limited, usually for three ta �
fi�e years. It co�itains tlle Oil�C0111�5 the school is req�ired to �
produce, and usually, some li�nits within which the outcoines �
are to occur. In some states, t�ie cl�arter is toa thick to read fi-am �
front to bacic, so yot� may want to browse through it. In other '
y
states, tl�e clla�-ter is a few dozen pa;es and can easily be read in -
�
its entirety. In either case, be sure to read the sections l�ertaining -
�
to student outcoir�es that the school is obligated to produee and
r
make a inezltal note of the date when the charter is set to expire.
Ask the board president wl�en the board niast recently reviewed `
r
�
�
32 Charter SchooE I3oai•d Uni��ei�sify '
r
R-1
t
�
1
9
y the requirements in the charte�-. If the answer is more t�ian a year
) ago, intcoduce a inotion for the board to review tl�em at its next
� ineeting.
�
� 4. The names and eontact i�ifoi-�nation for tlze boar�rl's attorney
r
and outside auc�itor. Tt is so critical tl�at the boa�rd select these
�
individuals that T've devoted Cl�a�ter 23 to discussing them. For
� naw, yau shauld at least know wl�o khey are and how to reach
them.
i
3 5. Doc�ments governing the board's formai arrangennent
} witl� management.� These will eitlier pertain �o a management
� con�pany or an executive emplayee.
�
� Ma�acagenaent company contract.
�
� If your school is run by a management company, there is a
3 contract between the board and the company. Read this contract
� fro�n front to back. Make sure you u��derstand this �ocument
� b�caiise it explains exactly what responsibilities tl�e board has
� contract-�ally delegated ta the company a�1d how much your
� school is paying for its seivices. As you read, keep this in mind:
� A inanageinent company works at the pleasure of a board,
� not the other way around. Sometimes this relationship can be
� co�nplicated, so I address it further in Chapter 22. For naw,just
� be sure you've read the contract.
�
� Exectrtive ensployee ternzs of ernploy�azent or agreenzent.
�
� If yo�,ir•board l�as hired an execu�ive (regardless of the person's
� title), thexe should be a letter or agreement stating the terms
� of e�nplayment and a job ciescriptian. (As I discuss in Cha�ter
� 24, a solid relationship between the boarci and its executive is
� Qne af the most critical factors in the success of t�e schoal.
� Understandii�g the einploy�nent agreemen� is a good starting
� point to cultivatii�g t�iat relationship.) One other word for new
�
�
J Charter 5cl�ool Board University 33
� R-1
board inenabers about the executive is wan•anted l�ere; he or she
doesn't work for you individually, he or she worlcs for the boa�-d
as a w��ote. Critical distinction.
6. Board metnber job descriptians.� What? Yol�i- board doesn't
have job descriptions defining t9�eir roles and stating the limits
of their authority?
7. Summary data of �he scE�aol's perfarmance on the mast
recent raund ofstate�esting.�YoL2 need to know the percentage
of tlie kids in yoL�r school that ai•e at or above grade level in core
subjects. If the nuz�zber is nluch belaw 75% , it is likely that the
board ��as been #'ocusing 011 tlle W�OIl� t�llll�5 LTl lt5 111eEt117g5.
$. Board minE�tes from the previous six months. These wiil tell
you what tl�e board has been talkii�g abaiit in its meetings.
9. Cerfificat� of insurance for directar and officer liabitity.
You're assuming a tremenclous liabiliry when yau agree to serve
a� a board mei�lber. The decisiaais ya�.ir board makes or fails to
n�ake can adversely affect students, e�nployees, and others.As
such,there's aiways a risk of being sued. Some states indemnify
fhe boa�d if it ca�l prove t11at it i�ade reasanable decisions. Eveu
so, I recoi�nznend that schaols carry insurance to pxotect tlie �
personaI assets of tlleir di�-ectors and officers. And I ��vouIdn't �
take anyone's worc� for i� that st�ch a policy exists. Ask far a �
copy of the ce�tificate of insurance. It is usually a single piece �
af paper that co«tains the ins�irer's contact information, th� ,
linlits af lia3�ility(liow mL�ch tlley'jl pay if yau lose a lawsuit}, �
and tl�e effective dates of the po�icy. Make sure the limits of ,
liability are eno�.igh to co��ez- your personal assets and that the ,
policy is curre��t. (I never conside�-joining ai�y board withoLit
r
such irlsurance.)
r
14. Most recent financial statemer�ts and audit re�ort. Providing ,
oversight of the school's finances is an iinporta��t part of wl�at
r
t
}
�
,
3�1 !
Charter School Board UniversiYy '
�..
�
�
�
�
� charter scl�ool �oards do. To enablE the Uoard to perfonn this
� oversight, it should be regularly receiving financial s�atements
� that i�clude budget versus actual expenditures, balance sheet,
� income aiid ex�ense stateme3it, and statement aF cash flaw.
� These documents provide impoz-tant snapshots of the school's
� financial condition. Because of their importance, I discuss
� them in more detail in C1lapter 14. Along ti�ith these, the board
� shot�ld be requii•i�l�an aniaLial audit, for whicl� a w�•itten re�ort is
� issLied.
�
� 11. Copies af all debt inst�•urr►ents. Some charter schools rely on
� short-ternl and long-terin loans. Short-term loans help newer
� scho�ls get through suinmer mo��ths, due to the way states pay
schaols. If your scl�oo� is buying a building, it will have a lonb
�
� tenn loan, probably some kind of bond issue. Make sLrre you
.� kiiaw wh� the lenders are, the interest rates on tl�e instilinleilts,
� ai�d t11e repayinent schedt�le. Just as too nluch debt can chake
� your persanal finances, it can choke a scl�ool's finances as well.
�
� 12. Board po�icy manual.Adopti�g sound policies is also a critical
� part of the governance process. 'Wliile your policy inanuai fnay
� b�thick,you should at least peruse it.If your board has no policy
�
� manual, it is not governing�vell.
�
� 4'ou rnigh�be thinking,"Whew!T�at's quite a stack."Yes,tl�e�-e's
� definitely soine readiilg requirad ta be a good board member.
� But then, T don't know of many iinportant jobs tl�ese days that
� don't reguire heavy doses of reading. Don't be overwhel�ed.
� Just tal�e one or two doctiments down to your Ioeal coffee
� shop and juinp in. Make notes af c�uestions or ti�ings you don't
� undersfand, You'll be �nore �repared and feel inore confident
� in your new role just far havxng read the doc�iments. But da11't
� iook too surprised to fizld out that inost of your board hasn't.
�
J
�
�
�
�
� Charter 5chool Board University 3]
R-1
For Furt�er Evaluation
Set aside 30 minutes if� a board nleeting to thoughtfiil�y discuss the
following questions:
1. Poll your board to see 11ow znany peopie received an orieixtatiou.
Apart frnm founding board znen�bers, every new inember sllould
receive one.
2. Do yoiir bylaws o�-policies require an arientation process? If yes,
I�as �11e board �ollawed it?
3. Does your board autoznatically provide tl�e itei�s in this cl�apter to
n�w board me�l�bers as part of their orientation? If not, consider
introductng a resalution at your next board ineeting siznilar to the
fol�owing:
"Ta create a cultare of respansible goven�ance, �l�e board
resolves to orient its new in�inbers within their fi�-st 30 days of
i�eing elected or appointed by prov�ding copies of the foIlowing
docum�i�ts:
,
1. A contact list witlx tl�e names, phone numbers ancE '
email addresses of the school's executive and a�l "
cuire27t board rr�embers, the offices they hold (i.e., �
president, vice-�resident, etc.), and whei� their terms an '
the board are set to expire. �
2. Tl�e scliool's articles of incorporatian and bylaws, �
3. The c��arter, �
4. TIZe nai��es and contaet infoz-ination fo�•the bocr�d's �
attoi-��ey and outside auc�itor. �
5. Doctiinents governing tlle board's �ormal arrangement �
witi3 manage�nent, �
�
6. Board membe�-job descriptions. �
�
7. Sun�mary data of the school's perfoi�nance on the �nost
recent round of state testii�g. �'
8. Board �nin�.ites from tl�e previous six inontl-�s. �"
�
9. Certificate of ins�arance for director and officer Iiability. r
�
�
..
�
36
C1eaE•ter Schaof Baard iJniversity �
r
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�
�
�
� 10. Most recent financial statements and audit report.
� 11. Debt ii-�struments.
� 12. Board policy inar�ual.
3
� The governance cominit�ee of the board will be responsible
� for ensuring that new inembers receive the documents and
3 have an opportunity to have their questions answered."
�
� Wha�, yaur board doesn't have a oovernaF�ce caininittee?
�
�
�
r
�
�
�
�
J
�
�
�
�
�
�
�
�
�
�
�
-,
�
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�
�
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�,
�
� 37
� Charter School Board University
R-1
.r
-� CHAPTER 6
�
�
�
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�r
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� �l R[�/ V I .�?,� �[�L t!J[�'W t�r
�
�`
� Detei�nining Why It Exists
�
r
�
� hen I conduct charter school board developn-�ent sessioz�s,
� I often begin by asking, "Why does yaur board exist?" I
� usually hasten to einphasize thafi I'rrx not asking why their
r scilool exists, but why thea�� boa��c� exists. Ti�is is t11e satne as asking
r wl�at the boaz-d's purpose is. Here's a sample of the answers I gei�erally
� receive:
�
� • to bovern tl�e school
� � to make po�icies
� • to establish a budget and review fii�ancial stateinents
� • to a�prove cuniculum
� • to approve l�iring and firing ciecisions
� • to cond�ict strategic�lanning
- • to oversee the school
�
-� • to offez-suggestions to school managejnent/be a sot�ndiz�g board
�
� to be the fir�al arbiter of seriotis s�ide��t discipline cases
�
-. • ta e�aluate tl�e school's executive
�
_ • to represent various stakeholders (e.g., teachers, cozninunity
�
_ meinbers, parents, sh�dents)
� • to �aise rnoiley
� • to establish anc� operate comrnittees
�
� Wl�ile {same of} the preceding answers ha�e a ring of plausibility ta
�
� theu�,they are in fact,aIl incorrect. Boards of course, do all these things,
�
�
�
� Charter Schooi$oard Uni��crsify 39
� R-2
r
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r
�
but doing and being are two different things. Giving ai�swers Iike those �
wolild be the equivalen� of iny answering the questioxa, "Why do you �
wark out?" by saying that iny puipose is to jog, to lift weig�rts, to buy �
good rumling shoes, to wear sunscreen, etc. In actuality, my purpose is �
to enjoy a long life fi-e� of unnecessaiy medical probler�s. That is, �ny �
purpose is to accomplish so�ne things and a�aid othe�• things. So it is r
with the board's purpose. All the components of my answer are si�nply �
the methads I use ta accomplish iny purpose, just as the answers in �
the bullet list are metl�ods or processes t�e board uses to accornplish �
its purpose. �
�
The right ai�swer �o tlie questioi� of the board's purpose has three parts �
according to Dr. 3olin Carver, prolific governance author and inventor �
of Policy Governance� (about whicl� � will say more in Chapte�- I 1).'' �
When a Uoard understands his three-part ailswer, a paradigm slvft will �
take place in its thinking. Here are the t�u�ee parts: (1)Your board exists �
to represei�t the owners of the scl�ool. (2) Your board exists to ensir�e `
�
that �he schooi accoinplishes tl�at which the owners want. {3) Your
�
board exists to ensuYe that things that slloulciil't occur in the school,
do��'t occur. {Carver defines the things tliat shouldn't occur as tlaose '
things whicll ai-e illegal, irnprudent or unethical.) �
�
To reduce that definition to as �`ew words as possible, the reason our �
board exists is to make sure, on behalf of tlie scl�oal's owners, that aIl �
sli.idents learn and that i�athin ille al unethical or im rude��t is allawed r
to exist in the scliool. That's it. �
r
Now �et's Lmpacic tllat definitian part by part. '
�
The first part o�the defi��ition states that a boarci exists to represent the �
owi�ers' interests. To represent the owners'interests, however, you must �
first identify who they at•e a�id what they want. In equity organizatians, ,
tl�e owners woul� be easily identified--they are sharel�olders. Boards ,
�''Policy Governance� is a registered trademark of the Carvers. In most references
to it in this book fi•otn this point forward,however,I da not place khe syi�lbol next ta
the tenn.
44 Charter School Board University
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�
�
� of equity co�porations are 51Lj7�105�C� to represent the sl�areholders'
� intea-ests.
The�-e's na question that t.lze
corzcenzs of tlze school's
� stcckelzolcle�-s, includisag,
� In charter schools, hawever, there are no shareholders. Many peaple
cacstomers (parents an.�l
� erroneously conclude that charter sc�lool stakeholders, i.e., the S�tuderit.$), e��zployees
parents, students, teachers, founder(s), ar management companies
� (teczeher� an.d othe��s), a�icl
� own tl�e school.'' There's no c�L�estion that the concen�s of the school's ve�idvrs (mafzage��aeiat
� stakeholders, incIuding, customers (parents and studeaats), emplayees �on�p���es) must l�e
3 (teachers a11d others), and veildors (inana�ement companies) must considerec�by tl�e board,
� be cansidered by the board, Uut boards don't exist to i•epresent but boar•cls c�on't exist to
� stakeholders. repf•esent stakeholclers.
� 5o if ilot the founder(s), teachers, students, parents, and rnanagemeilt
� companies, who owns charter schools? �f th� board doesn't understand
� the conect answer,it is lilcely to be confused in any number o�situations,
� The board of o3�e client schoo�,fnr exainple,was told by t11e fotulder that
� it r�eedn't be concet-ned with developing a leadership succession plan
� because he had a]ready named his successor in his wilL "Yeah, that's
j not really how we naine successors to lead public scl�ools in Atnerica,"
� I explained. The board vvas puzzled 6ecause it didn't know who the real The board of orte clietzt
� owners of the �cl�ool were. school,for exc�mple, was
� talcl by tlze faufader th.at it
� I contend tl�at the owners are the people whQse Fnoney it as you're using 12eeclrz't Tae concer-ned with
,� developing a leadership
� ta pay tl�e bills--in otherwords,the taxpaye�s in your state. The parents,
succession plan because
� teachers, students, and fou��ders may canstitute a subset of the owners he hc�d alreacly n.amed
� 3�ut they do not represent the entire ownership. Ultimately, your charter his successor in Izis will.
� sc�ool board exists to represent the taxpayers in your state. Every board "yealz, that's not rec�lly
� member, whether tlaey know it ox even whether they agree with it, is on ]zow �ve narrie successor�
� the board ta represent the interests of those taxpayers. to leccd pttl�lic schaols i�2
� A��aerica," I exprained. The
� 13 Yes,boards are pennitted to contract with privately owi�ed management coinpa- I10CxYCI 11�C15�u�vlecl because
3 nies in some�states,baE thak arrangement shou�dn't be confused wit11 the nlanageinent �
it did�a t know who the r-eccl
company ownin�the school,even if it owns�l�e buiFding.
� otivners of the schaol were.
� ��I also like to point out tl�at taxpayer fui�ding is not money that was voluntarily
contributed to your scliool,as in the case of tuition in independent schools.The
'� money you receive was confiscated--a policy referred�o more politely as taxation.
To my way of tltinking,the fact that money was provided involuntarity increases the
� board's obtigation to ttle owners ratt�er tl�an diminishes it.
� -.
�'"��� �,�_ . Charter gchool Spard University 41
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�
�
�
Yf your bylaws say other�vise, for exa���ple, �hat the board will be �
c�mposed of tluee teachers, tvvo parents, two carr�mu�iity n�e�nbers, an �
ex-officio student, a�1d a partridge in a pear t��ee, your board is iilviting �
discord in its meetings and divis�ons in the school conununity because �
Uoard me�nbers will arrive at thei�- first and last boarc} meetiilgs, and �
every meeting in between, thinking t11at tl}ey are ti�ere to represent the �
interests of the stakel�oiders tliey view as tl�eir constitl�ents.They're i�ot. �
(�n no small pai-t, the failure by conventional pLib[ic school boar�s to �
�nake the owuership distinction also partly explains w�y�hings rautinely �
go awry. Just ask Alan Bersin.} �
The second p�rt of the definition states tl�at the reasoii a board exists �
is to ensuxe that tlie sc11oo1 accomplishes that which the owners want. �
Now, since we can't pack all tl�e taxpayers fro�n your state into t�e room �
where your baard zneets, we'il ha�fe to L�se a substi�.ite metric for what C
t�iey want.�think tllat tl�e charter, i.e.,the contract between you and ya�.ir �
.
authorizer, is a suitable proxy. We co�zld even go as far as saying that �'
the autlsorizer speaks for the owners Uecause at t�e end of your cantract �
period, the autl�oi-izer will be responsible for determining whether your �
�
charter is renewed. L
G
Seyond the real�irements stated in your charter, though, isn't it obvious �
wl�at tlie tax�ayet-s �uaut, at least broadly spealcing? They wa�lt high- �
perfoi�ming, safe schools that aperate legally and ethically, alon� witll C
proper use and accountability for the fund��z� scl�ools receive. Your C
board's job is to ensure yaur scl�ool deli�ers those tl�ings. (
{
Happily, there are many ways to produce l�igh-pe��forming schaols. �
One of the great things abou.� charterin� is that it allows groi�ps to be ;
creative in building such schools. For example, Delaware Military �
,�
Acade�r�y, a 11ig�3-performing cl�arter school, is the first Naval Ju��ior :
�
ROTC Higl� Scllooi to exist in th� coun�i�y. On the opposite coast is `
Hig�l Tecl1 High, also a higll-perfonning school, but more like a casual
cotn�nunity college in its ap�roach to learning. Botl� are ex�mplars of
�
superior student perforinance,but tl�ey�o abaLlt it in two di�f'erent ways.
Charterin� schools makes tlleir innovative approaclles possible.
�2 Cl�arter 5chool f3oard U�iversity
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� The thirc�element ofwhy ci�arter school boards exist is to malce s�ue tl�at
� nothing illeg�3, Lu�etl�ical, or impt�ident accurs ii-� the scl�ool. This has
] a wide variety of implications includi��g, but not limited to, the �roper
� spendin� and accounting of fui�ds, th� �rope�• treatnlent ai�d safery af
� e��lployees, students, arzd pa�-ents, the proper niainte�lance of school
� facilities, etc.
�
� Thus, when you read in the newspaper, as the nation did in 2404, that
' 10,00Q charter school stkidents were displaced overniglzt in California
due to i�anageinent coinpany inalfeasance and fiilancial im}�roprieties,
Th�is, u�hen yorti reacl
� in the tzewspc�per, c�s
you know exactly who was i-esponsible--the boards.Yes,tl�e manageinent
� the ncztio� di.d itz 2004,
� coz��pany exec��tives broke iaws, but part of tl�e aery reason the board tlicct 10,000 chnrter
' exists is to ensarYe thctt those dhif�gs c�on't I�appen. sCl2ool StL�C�e7tts we1'e
� displaced overraiglit
� "Weil,"a former board meinber of one of the schools said to me a year or in Califor`nza clt�e to
rivo after, "we asked for financial sta�einents but we never got thetn." manageme�z.t co��apcc�ay
� rnalfeasance c�ncl fznccn.cic�l
� "Well," I replied, "there's the problem. Boart�s don't `ask' for anytl7ing. isrrprop�ieties, you
� Boards direct." Tl�e board shokild si��ply have directed inanageinent know exc�ctly wlzo w�s
� to produce the financials and when they weren't forthcoming in a �"esponsil�le--the boa�'d5.
� reasonabie interval, the board should liave either directed its attorney
� to secure the reports or ternninate th� contract with the management
� company. There's no askirrg involved. Eve�•.
�
� By tlie way, whenever mai�.ageinent says, "Don't you trust n1e?" every
� red flag in your mind should be raised. {See Chapter 25, The Danger
� of Failing to Ask H�rYd Qzrestiot�s.) Ga�ernance is nat abaut trust--it's
� about accountaUiliry.
�
� How a board ensures that accauntability is discussed throughout this
� boak, b�it the starting line is �`or your boarci to understar�d why it exists.
� When it un�erstands that its �urpose is to represent the owners, good
� governance will fall inta place Lnare easily.
�
�
�1
�
�
�
� �
�
�, Charter Sct�aol Board University 43
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For Further Evah�atio�i �
�
Set aside 301ninutes in a board �neetiilg to thoughtfully discuss the G
foilowing questions: `
V
1. Whom does your board think it represents? `
2. Do your bylaws rei�ect that the board exists ta represent the `
school's awners, or merely stakeholder groups in the school? -
�
3. Would you characterize the hoard as spending �nare tiinE -
�
discussing the owners' interests ar stakeholder iiiterests? -
w
4. Consider adopting the foilowing: "The board ofABC Charter -
�
Schoal hereby resolves that it will govern on behaif of the owners
�
of this school (the taxpayers of your state) rather than stakeholders _
in the school."Whenever fi�ture board conversations deviate frorn �
this, remind the board of its resolution. `'
�
�
rt� Additio��al �esou�'ces
�
The idea af the board existing to zepresent th:e owners was devised ''
by Dr. John Ca�ver, the invei�tor nf Policy Governance. Alt�iough `'
.
Cha�-ter School Boc�rd Unive��sity is not a book about Policy �
G�vernance, this book uses many of the constructs that underlie �
Policy Governance. To understand Policy Governance, yo�r boai•d �
should read Dr. Carver's watershec� book, Bo�rds Tl�at Make a •
Dif�erence, availahle at booksellers everywhere. Alsa be sure to �
visit the Carvers' Web site at ww�v.Carve�•Governance.coni. �
�
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44 Charter School Board Unir�ersity
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CHAPTER 7
�
�
�
�
�
]
�
�
� ` `�ett�s u�s " �
�
�
� What's the Difference?
�
�
�
� must be candid in sharing wit�you tl}at inost boards--inchlding
� cha�ter schoal boards--are only marginally effective.I think this
� occurs for two reasons. First, inost boards�iave never seriously
� conte�r�piated why they exist (the solution �'or which I discussed in
� Chapter 6), and second, rnost baards have never successfu�ly articulated
� the difference hehveen governc�nce and raaanagement.
�
� I think the latter problem arises because boards are often composed
3 of people with inanagement experience. Having such individuals is
� desirable, however, board inembers that have manageinent experience
� tei�d to assuine that govez-niance is inerely a kincl of group management.
�
� In th�s sense, they view the board's function as parallel to the school
� executive's fianction, but sixnply occuning on a �igher plane. Caiver
� diagrams this enoneous vievcr of the relationsbip between the board and
� the executi�e with a figure like the one below. (Notice that I've made
� the directional arrows �oint both ways. This illustrates the fact that the
� board and executive often spend board ineetings re�iashing things that
� have already occurred.)
�
� Board {Gavernance)
� Executive (Management}
�
�
�
r�
� ChTrter School Board University 45
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Tl�us, t�e way the board sees it, the executive has the jo6 of inanaging �
the budget, but so does the board. The executive makes some staffing �,
C��C1S1pI75, but so does the board. Th� executive makes some pi-obraxn a;
decisions,but so does the board,and so on. Policy Governa�ce authority �,
Miriam Carver sometirt�nes says tl�at sucls boards see thernselves as the �
szr�er=sir�eri�atenderrt of the schpnl. Such a characterization is as witty ;�
as it is accurate. ;�
�
This Faulty Ltnderstanding af governance leads to a�l sorts of problems, �
In order fo�a cha�-ter including, but iiot liinited to, tlle fallowing:
�
schaol to l�e �uccess,fic.l, _
the banrd c�nd exeeutive ''
• angoing board interference with mai�agement respo�sibilities
nzacst learn I�ow to �
• uTasted tiine discussing the �vrong things in board ineetings
succe�sfully nc�vigate �•
• a permission seeking cult�lre where nnanagement contin�iously
tlae i��te�-section. of �
gover�fzc�nce arad comes to the l�oard to solicit permission ta do its job y
mafiagement. ' �l�clear accountabiliry as ta w110 is i�esponsible for wl�at, �
especiaily when thin�s �o w�ong
• a cultu�•e in which ir�dividual baard meinbers think of thernselves "
,
as the executive's boss ''
• u�leven results L
,
�
While there's no question tliat the executive is subordinate to the board �
as a���17o1e, I propose that a better way to thi��k of the relationsl�ip is oi�e `�
where the respa�isibilities of each intersect.In oYde��for�a charte��scl�ool �
to be successfirl, the baald and execartive nzust leat-n hoti>>to successfi�lly �
navigate tl�e intersectio�z of govet�nance and manages�ient. While L
the relatio��ship is unquestionably Ilierarcl�ical in that the exec�tive C
o�- jnanagement company works at the pleasure of tlie board, tl�e t
relationshi� is quite accurately characterized as one of interdependei�ce. (
The executive cannot (generally) liold the charter, and the board camlot (
run t��e schooL Thus,I would diagram the relationship as frollows. {Also, �
notice I've c�ail�ed the directional arrows to be predo�niilantly foitivard �
looking.} �
(
�
�
�
�
46 Charter School Board University
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�
�
�
�
� Executive
� Mai�agernent
�
�
�
�
�
r
� Board
� Govenlance
� �f course, in practical tenns, it's not enaugh to merely propose that ti�e
� respo�sibilities are intersecting.We rnust still cllaracterize the difference
r' if eacli is to i.ulderstax�d its j ob. To c�o this, I use what I call tl�e �wo
� e-words: ensarring versus execufing. Let's define those and theil revise
� the diagrarn above accardingly.
�
� You recall from Chapter 6 that Carver defines the puipose of the board
r as braadly ensurii�g two tilings on beiialf of the owners: first, �hat the
� school accompiishes the outco3nes for which it was created, and secand,
� that the school avoids the things that si�ould be avoided (i.e., tl�ings that
� are i�lebal, imprudent, and uuethical}. Thus, if I �ad �o summarize the
� board's job in a siilgle word, it would be, ensarring.
�
� Ensuf�ing is predominantly about establishing autcon�es and
� subsequ�ntly evaluating 17ow well those outcomes were acl�ieved. TI�e
� joi� of ensuring has allnost nothing to do with how tl�ings are going
�
to be done, which is to say tl�e processes used by the executive to
�
accoinplish the outcomes (except to e�lsur� that his o� her processes
�
occur within apprapriate poiicy baundazies detei-mined by the board).
-. In otl�er words, working with its awn mission and vision for the school,
� the bnard defines the ot�tcaines to be achieved hy the school and tl�en
� continuo�.isly evaluates lzow n�ell tl�ase outcaines are being achieved.
�
-,.
�
�
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� Charter Scl�ool Board I)nivet•sity
47
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Executi��g, on tile other hand, is about getti�lg things c�ane. Soun� G
execution occurs as a result af selecting and incorpora�ing the best (.
processes to achieve the mission and vision. In other words, execution G
is focused on aiaswerii}g an endless array of how questions. G
�
• How will the school day best be stiuctured(e.g.,block scheduling �
or other)? �
• How many days will the instruction.al calendar cQntain and when �
should the holidays and breaks occlrr? �
• How will teachers be recruited, evaluated, developed, and `
retained?
�
• How will cur�•iculttm and assesslnent products be selected, `
izitegrated, and implemented? �
• How wi�1 the sri�dent code of conduct be establislied and
enfo�•ced?
�
• Haw will the administrative team be structured? �
• How will tl�e schaol rneet its technology dernaz�ds? �'
�
Because the details involved in running a school are my�-iad, the list of �
how questions is virtually endless, but you get tl�e idea. Because madem �
public scl�ool require�nents are coinplex, the job of deten�nining laaw �
the mission and vision are best accomplished is dane by delegating �
aut��ority to an education expert--tl�e school's executive.15 `
�
Naw,let's z-evise our diagrann sk�owing the differe�ce between governing �
aild managing.Again, the directional poiisters e�r�phasize tlle oriei�tation ti
of each: �
�
�
�
�
�
�
ls I geuerally use tl�e word e,reczrtive mstea�of common titles stich as princi�al,
adi3linistrator,superintencfent,director,etc.,because it succinctly captures the inost �
important sk�ll required for tlZe job: the pet'son heading tlle scltool n�ust know how to `
execzrte a plan to achieve t��e mission aEld vision. The Carvers make tlie position even
clearer by referring to tl�is�ersou as the CEO. �
�
�
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48 Charfer Sclioal Soard UniS�ersiYy
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�;.: ._.
� Missian &Vision
Establishing St�id�nt Outcomes to be Acl�ieved
� Evaluating tl7ose Ou#comes
�
�
�
�
' Executive
Managernent
� Executing=Hooti�?
�
�
�
� Thr�s, in boal�d�neetings,
� c�lmost anytime the
boas�cl cliscusses how
� Board
� Govez-nance sornething was clone
Ensuri���Haw WeII? or is going to be dorie,
� that is, the process thctt
� Thiis, ii� hoard_meeti���s, almost anvtime the board discusses how �v�� ���d, it is q�cite
� ` ' likely tliat the bac�rd
� somethin was done or is oin to be done that is the rocess that is discu�ssirzg the
was �ised.it is c�uite likelv tliat the board is discussin� the wrong w�'ong thing.
� thing.16 Whenever it does so, it l�as crossed the line from govei-�ing to
� managing.
�
� And yet what do rnost boards spend n�ost of their time discussing?
� You guessed it--how matters. By iznplication, this ineans that the board
� spends inore of its time managing than gaverning. I'll say more on t13is
� in athe�-chapters, but suffice it to say here, that every minute yau sper�d
� discussing a l�ow q�.�estion--in othez words, a process--is a minute you
� didn't spend discussing how well questions.
''
�
� Another problein the boaxd creates wl�en it manages instead of
� governs is this: It diminishes its own abiIiry to hold the executive
`'
� 16 Tl�ere are some irrtportant exceptions ta this ruIe, including inatters pertaini�ig to
.� i�ow the executive will be hired,evaluated,and campensated;hovv and where tl�e
school will acquire real property or ho�v it will dispose of reat property; along with
� esta6lishina and monitoring paiicies Carver ca11s executive limitations.Because such
� policies constrain Ehe autl�ority of the executive's decisiou-maEcing within various
hotmdaries,they are a type of how question.As such,tl�ey are witllin the correct
� purview ofthe board. For�nore on Policy Gavernance,see Chapter 11.
�
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� Charker 5chool Board University 49
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accouiitable for the outcoines that were achieved, or n�a�•e critically (
for outcames that we�'e not achieved. This is because a baard cannot �
prescribe t�le how (e.g., processes defining wi�ich teachers, which �
assessments, which curriculum, which insfructioizal calendar, etc.) (
and then riahtfiilly hold its executive accountable foz- t��e outcornes. If �
you decide l�ow soinet�ing is going to lae accomplished, yau inust �ake �
�•esponsibility when it daesn'�occur. Not doing so is unethica�. �
�
What's the solution to such prab�eins, which are unfommateiy for �
chai-�ers,ubiquitous?It's easy. E�ery board member needs ta unders�and �
why tl�e board exists and that this purpose is fulfilled by governin�, �
not maizaging. Governing is synonyinous with e��suring that the right �
autcomes occur. �
�
For Furtller Evaluation �
Set aside 3Q minutes in a board meeting to thoughtfiiily discuss the �
following questions: �
�
1. Does your board govern ar manage �l�e school? �
2. Which diagram in this chap�er best describes your board, the �
parallel diagra�n or the intersecting diagram? �
3. How nnucll time did yoik spend in your last three regular n�eetings �
discussing processes �ersus �utcomes? �
4. Ask your executive for examples of t�mes when tlle board, �
or warse, an individual board inember, lzas interfered wit�� �
management. Next, establish�oard policies to prevent such thiilgs �
fiotii rectan�ing. �
�
(
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$� Charter School Board Unirersity
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CHAPTER �3
Ju� J���s J�r.at �I `
�
Studellt Perforinance and Finances
e�e's a little boa�d effectiveness exgeriment you car�
conduct at your next regular meeting. Without telling
�nyone what you are doing {because it will alter the
outconle}, draw a line down the middle of a sheet of paper to
create two coluinns. In one colui�n, keep track of the ainount
of time the boaz-d spends disc�ssi��g finarsces and student
achieveinent. In the flther columi�, recard the tin�e spent discussing
everytl�ing else.
More than likely, regardless of tlle length of the ineetiiig, yo�i will
discaver that the board spent a majority of its time talking about things
in the second coh�mn, i.e., things not pertaining ra finances ar student
growth aild achievement.
Whenever l do this expez-iment, I typically find that Uoards spend
less than 20% of their meetings talking about student achievernent.
Ii�stead,they wander all over the proverbial map,discussing just about
every imaginabie tapic, e�cept the two �hings that are ainong the
�n�ost essential to good goverrlance--ensuring that the right outcomes
are achieved and that the money isn't being irz�pzoperly handled.
What kinds af things do charter school boards typically talk about? One
of th� inost fatuous scenarios Y witnessed in tl�e past few years was a
board that discussed the depth af post l�oles�or a liew playground fence.
Charter School$oard University 87
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The list below co��tains a few more itei�s Pve either seen discussed or ,:; .
heard about.'{'Not a word of tl�is stuff was rnade up: _
r.::.
• style of socks for st�idents {i.e., crew socks versus calf-len�th) F�-
• the relative merits of open-toed footwear for fen�ale faculty _
ine��bers �
• purchasing toilet paper (Addii�g illegality to �apidity, this `
disc�,�ssion was also a likely violation of the Open Meetings law
because it reportedly took�lace in executive sessian.)
• classroom paint colors F.�
• chair sryles for the adrni�listrative offices '�.
• restroom usage schedules of the lower school �
s...
• whether to pei7mit cupcakes at classroom�arties h
• avei-flow parking �,
• square footage af office space ;
,. .
One of my favarite sto�-ies toolc place years ago at a scl�ool far wl�ich '
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I was the iiewly hired superintendent. In my first board meeting �-
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(aboLit 30 days into the job), the board spent a considerable atnount �
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of time--mayi�e 45 minutes--discussing a small sign i�� fiont of y�
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one of tl�e sc�oal's th�ee campuses that needed repainting. I was —
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astonisl�ed at how �nucla discussion otherwise intelligent �eople were �-
willing to devote to such a trivial thing. Na detai! was too small as ta a.
be unworthy of the board's tiine as it bandied about colors, letter `��,
styles, potential contractors and �roject time frames. Ironically, �
though I had only been on the job a inonth, � had already put tllis "��
item on a long list of things to do. No niatter, the boa��d w�lted to �
chew on this so I sat back and bemusedly watched. '�
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Soineone once dubbed such details like repainting signs as �
"administrivia"--partly because these detail�are adminisfrative in izature ��-
(i.e., not gover�aance} a�d �artly because tl�ey are trivial {far more on rv-
this, review tk�e previous chapter). —
'-6 lf yoe�have a�7 example of a dumb board discussion,send��-►e an e�nail.i'm col- �-
, lecting them for future writing.In order to protect the guiity,no naines or other �
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identifying infonnation will be used. �
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) Wl�y cla I say trivial? Let �ne answei tl�at with a question: In a
i school witlz 1,000 st�idents, is it critical to ti�eir education or safety
; tl-►at t11e sign 3�e painted white instead of tan ar that suci�-and-sucll
� a contracto�� do tlle jab instead of anatl�er? Or haw abo�tt tllis:
; In 10 years, which will be more im�or�tant? That the sign's lettering
p was Bookinan Old Style, or• that tl�e lcids in the school l�ad
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access to good books? Instead o#' blathering on about a sign,
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the boaj-d could ]lave, for exan�ple, used those 45 minutes
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to brainstorm a fundi�-�g plan to acc�uire a secondary schooI
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libraiy--something wl�ich, incidentally, the school did not �ave at the
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tiime.
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T11us,the o��o��tirnity cost of discussing sign paiilting was actually quite
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expensi�e.
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' Besides access to libraries, what other things related to student
� perfoi-�nance ar� wnrthy af board time to at least understand �not to be
' confiised witl� voting on)? Here are a few ideas:
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' • How standardized testing warks and what it tells us about student
' performance, alang with wl�at it fails to �ell us;
� • Alternative rnethods of assessment, such as those proposed by
% Pro�ect Based Learning;
� • How value-added testir�g worlcs;
� • How the curriculwn works in support of the board's outcoine
; goals;
; • The difference in meaning between a highly qualified teacher and
; a highly effective one;
; • What research tells us about charter school performance;
� * How different teaching �nethods are effecti�e with vario��s
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s�.idents;
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Haw children r�ith special needs are accommodated in your
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school, along with how the Ii�dividUalized Education Plan
(IEP) process warks;
� • How student assessment data is used by ultra-successful
� schools ta accelerate student growth and achievement;
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• What Adequate Yearly Progres� means, and where your school �
is, relative to it; W
• The iinportant worldview assumptions ei-nbec�ded in your �
curriculuin at�d �rogra�n; 4
• Special prograi��s Lised by scl�ools to boost reading scores; �
• What scientific rese�rch tells t�s about how a-eading is effectively —
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taught, and so oz�. ;
Astute readers are already askinb themseIves, `But I thou�ht you said -�
�n fact, ccs I pointed out the board shouldn't discuss the I�o�-s� questior�s, as explained in Chapter .
i�� C��c��te��4,fi�zc�ncial „ �
7. This is ai� excellent q�iestion tllat l�as a th��ee-part answer. First, inost .
tro�tl�le is tl�.e �easo�z �-
wlty two-thi�'ds o,f of the items in the list above pertain to st�tide�lt achieveme��t, a topic T
all dissolved chc���te�- �'�"c�is hardly trivial. Secoi�d, discussing how questions should always `
sclzools closecl. be Iinked to outcan�es, either present ar furi.ue. Third, being inforri�ed 4
a�out processes (how questions) is not the same as debating tlleir merit g`
or vatii�g to approve tl�ein. �
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Let's move on. Sesides spending tiine discussin� student gro�vth aild �°
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achievement, the board should also canside�� tl�e school's finances ar� �-
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impox-tant n�atter worth lecn�s�ing to ur�de�stc�nd. Tljat's because cash is �-
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the lifeblood of your school. If you doiz't thi�lk so, see how long your �
teachers az�e willing to keep teachii��witho�it� paycl�eck. �
This is not to say t�iat you shauld spend more tirr�e discussing finailces .�
than yo�i do stiident growth aild achievez��ent. I've seen boards wading w
into f�nancial details ta a level tl�at is dysfunctional. But failing to ";
understand how znoney coines in and goes aut can get a charter schoo� ',
in trouble--fast.In fact, as I pointed out ii�Chapter 4,financial tt•ou��e is �
tl�e z-eason why two-thirds of all dissolved charter schools closed. `_
Concerniz�g oversight of charter school fi��ances,I think the rnost frequent �
inistakes inade hy boards fall into one of three categories. First, few �
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paople, soinetiznes no one on charter schooi boards, �ulderstand how w
to read and interpret fi»ancial statemer�ts. If that describes you or youz- -
board, the board shoulc! make ge�ting trainiilg an immediate p�-ioxiry. .
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Second, �nany boards rautinely ta�Ce the word of one board ineinber that
the stateinents accurately reflect the fina��cial position of the school. The
rest of the l�oa�-d doesn't aslc any c���estions or atte��pt to ��nderstand
trends or forecasts. The b.oarci snenl[�ers tl�ink to themselves, "Well, I
do��'t really lcnow wl-►at aii this means, 6u� ot2r treasurer see�ns to." It's
great to Y�a�e a treasut-er that understands fii�ancial statezne�its, but it is
better when the enti�-e board does. After all, t11e whole board wiIl vote
to �.ccept them.
Third, and the most dangerotiis inistake of all, is when a board fails to
require timely, accLirate, and comprehei�sible (as well as s�ifificiently
comprehensive) finar�cial reportii�g fron� manageinent. Sonzetimes
board inenlbers will say tl-�ings lilce,"Oh,we tilist our executive." Othe�•
schools}�rotest, saying things to zne like, "We've asked far thenl but we
still h.aven't received them." As I ex�laiz�ed in Chapter 6, boards don't
"ask" nzailagement for anything--boards direct.
Irrespective of whether tl-�e school employs an executi�e in the traditional
sense or contracts with a manageznent coinpany, every board should
require reg�ilar, accurate, con�prehensible fii}ancial statements. Failing
to do sa is an abro�ation of basic governailce respo��si�ili�ies. See
Chapter 25 to Iearn abo�rt a heart-rending case where the Uoard"trusted"
its execl�tive and didn't require regular reportiilg.
T�e topic of providing ktiowledgeahle oversight of the school's financial
matters is so important�hat I devote the ne�t chapter to a basic ex�lanatioi�
of financial reparts.For now,let's sui�ninarize by reiterating that financial
oversight is an ji�nportant topic wo�-thy of re�.ilar discussion by the
board. Along with student perfbnnance, it represents one of two things
ti�at sl�otild always be at the top of the board's discussion prio�-ities.
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For Ft�rthe�Evaluation `
Set aside 30 minut�s in a board nleeting to thaughtfully discuss the -
fal�owing questions: -
1. What percentage of total meeting time daes your board typically �
spend discussii�g student achie�ement? '"
2. Does yaur board require regular, accurate, comprehensible _
financial reports from your maz�agemetlt? Does yoiir board receive �°
tizem? ;
3. How many people oia your board know how to inte�pret finai�cial �
staterl�ents? �
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�- Ac�di�ic��-��! Resour�es a
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A monograph titled, Let's Do the Nirrnbers, ca�1 be downloaded �
and reproducec� free of charge fro�n the Institute's Web site, www. "
NationalCharterSchools.ar�. `
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� t L1�5 been my experience that most charter school Uoaid
% membez-s are OL1r5Lc�17Cllllb people. They fiiifiil a role
7 vital to the perpetuation of free society by exercising an
> irnportant trtzst oi� bel}alf of t�ie taxpayers they represent. Many
9 board anexnbers contribute numerous hours to ensure that the kids
} in their schools a�•e getting a saund�educatioi� and that tl�e school's
y finances are in good shape. Moreover, they tio all of this work
� without coinpensation.
3
� Btit then there is the occasional member wl�o doesn't play l�y the
� rules. Same writers refer to them as renegades. Wl�atever tivord
� you use, tliis �Cind of board meinber 1�as an agenda quite separate
� fronz seeing the fiilfillmez�t af the mission and vision adapted by
� tlle board. I have sometimes thougl�t that it's as if lacking power in
� their }�ersonal lives, they mistiise their role oi� the board as conduit
� for exerting some. Other peaple of this sort seem to want to control
everything that happens in the school, either aut of a persanal need to
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inake sure their own children's education is strewn witk� rose petals
� or some other misguided notion. Because such people are often well
� entrenched in the gassip cltib, no teacher, �X�CUtIVe, or sometimes
� even fellow board rr�ember, dare cross them. When ihey are crossed,
3 they often show no renzorse in destroying a person's reputation
y through maliciaus gossip.
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Board men�bers who don't play by the r�tles are easy to spat. They !
think, or at least pt�etend, tI�at the authority of tl�e board as a vvhole �
resides in them as individt�als. Such a board znember I�esitates little, �
if at all, in calling the schaol and giving directives or "suggestions" to �
#he executive and his or i�er teain. Worse yet, son�etimes these spurious �
dir•ectives constitute persoi�al ser-vitude. ,
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One time an or�anizational executive and I were discussing�l�is kind of f
iinbecilic condL�ct ��hen she slaared the following story. The execzrtive ,
took a prafessional development trip along with the board president, ,
�lso a womay. TI1e trip involved an overni�l�t s�ay in a l�otel so they f
shared a rooi�� to save money. The executive arose the next lnorning at f
��er usual ho�ir, but otit of personal courtesy, stepped lightly around the '
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room so as not to awal<en the still sIeeping board president. Wl�ei� the `
board president awake araund 9:00 a.ir�., she expressed constei-nation '
that th� executive hadn't awakened her earlier, sayii�g soinething to tl�e �
effect, "You sl�ould have known hetter. �t's yaur job to take ca.re of ine." �
�n a tone tl�at I'm sure was more poli�e than what I would have been �
able to tnuster under the ci��cumstances, my executive fi•iei�d provided �
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the board �resident with an impromptu se�ninar on the lirnitations of �
board authority. "
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What makes a baaxd mernber act this way? Who knows. I'd wager �
that such people at-e dipsticks in ather relationsl�ips as wetl.But here's �
the point: A board n�ember wha is Iaboring ui�der such delusions "�
of gra�ldeur can create an irr�mense amou�t of damage in a charter �
school. Oi�e way tlley often do this is to seek a�it teachers fi•om whoin �
tk�ey gather apinions and complaints. A sl�inmary is �hen reparted to �
the board under the guise of"concern for the staff."And wae-betide �
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the executive that crosses them. Tl�e result can be a deeply divided �
school com�nunity. T�achers leave. Enrollment drops. Schools �
close. �
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Haw do you deal effectively with such people? I recommend the �,�
following four-paint sh-ategy. �
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First, a good approach is to be proackive as to prevent such problems
froin arisii�g. It may be that the n�e�nbef cat�sing problems never
received any ki��d of board orientation or training in which tl�e limit
of board a�.ithority was explained. The fact is, a�i individual board
inen�ber possesses no legal individual authority over tl�e school.
T�le onl ti�ne a board meiriber ossesses an � autharit is when a
le4�ai quorum_is present and the individual is iiltrod�ci�z� or votin�
on a motion. Evef� individzrally stated opinions rr� boa3�c1 naeeti��gs,
contrcrry to the�t�actice of rnas�y boards, cr��e not legally bi�ic�ing on Every charter school
a scl�ool execaitive. boafd nee�s polr'cie�
which prescril�e the
Without systeinatic board devefopment, however, beginnii�g wi�h a Yole rxnd conduct
thorough orient�tion, board inernbers are left to their own dev�ces to o,f indivir�ual board
figure tllings out. Many of thern have never had even a day of training or �nenzbers. Once
read a boak like this. (But make no inistalce, �he consequences of sloppy adopted, all boa�'d
governance are the samE.) �neml�e�'s nzust ob�ey-ve
the palicies of the
�econd, every charter scl�ool board needs policies which prescribe tlae boa�d,just as the
role and conduct of individual board meir�bers. �nce adopted, all board executive must obse�'ve
�nembers ��acst observe the policies of the board, just as the executive policies which define
must obsez-ve policies whicl� define his role and conduct. Everyone has �r� �ole �nd conduct.
limits. Everyone has limits.
In the Policy Governance model riescribed in Chapter 11, the Board-
Staff Linkage �olicies are t11e set of policies that define the role and
conduct of board members.Most boards,hawever, do not have any such
policies. Still, defining apprapriate individual board me�nber conduct
through policy is the best ineans of reining in individuals. Even without
following Policy Governar�ce, a policy worded simi�ar to the falIawing
wouId serve its purpose:
"It is tl�e policy of tl�e ABC Cl�arter School board that no individual
b�ard member, ineiuding the president, sha�l g�ve any staff memher
of the school, including the executive, any directi-ves or unsalicited
suggestions."
Charter 5chool Board University 111
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Then, if�board meinber sllows up in the executive's office and tells tl�e �
executive, "I want yon to have a bicycle rack instal�ed so ��y da�ighter �
cai� ride I�er bilce to school" (a rea] example}, tl�e executrve can do �
what she will. The directi�e or suggestian l�as no binding atitl�ority on �
t��e executive. If tlle behavior is persistent, the execiltive or th� baard -�
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president can reinind the en�ing inember oF tlie board's l�olicy. �
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Board policy forces indivic�uai ��ember accoLinta6ility to the �vhale �
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board. �
Just becccuse a l�onrd �-
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rnein�ie�- is,frieric�s wit1� �
a�rospective rneinber, Thirci point. Failing any attempt to rein-in inciividuai Uoard miscondl�ct �
for exccf�7ple, doesn't �11rough orientation, trainiisg, or policy reminders, the only remaining �-
��ear�. the�ros�ect will course of action is to remove the persan from se�-ving on the board. ;
make tt goocl boc�rd B�fore cai7ying out such a drastic step, however, you shauld consult �
y?zer��l�e�' your bylaws and t11e board's attorney. Do it improperly, and you could `
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end up being sued. `"`
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Kee� in �nind too, th�t in soine states; authorizers have provisions in "
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tl�e charter giving the�n the �uthority to reinove board members for -
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misconduct. It's a difficult process eveil when authorizez-s remave board --
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meinbers, but the alternative is often clasiilg the schoal.And this brings �
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us to our final strategy.
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Fourth, the be5t time to remove a board metilber is before they join the "�.
board. That is, a boa�d's easiest and most effective course af action "�
is to carefully evaivate p�ospective Uaard mennbers befol°e agreeing '"'
to add them to the boar�. Just because a board inernber is friends ;
with a prospective n�ember, for example, doesn't mean the }�rospect "
will make a good baard member. The board should develop a list of �
�e.
skiils and organizational values that the board needs and then assess � ,~'
praspective board inez�nbers against that list. (See aiso, Chapter 9 �`
where T discussed tl�e kinds of peopie who do and da nat x�nake the �
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best baard m�mbers.) �
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There is a difference between beialg a renegade and an outlier. What if
you are reading this and you are the sole dissei�ting board ineinber on
a decisian? Does that inake you a renegade? No. It may just inean that
you are an outlier on t�iat decision. Remember, beinb in tl�e inajority
does not illalce son�ething right. Sometinles tl�e outlier is the oi11y rigl�t
voice.
So what do you do ifthe issue at hand is big and tlle eutire board disagrees
with yo�lr position?
Re��ze�nber, bei�ag irz
As ui�pleasant as it may be, yo�i �nay need to resign from tl�e board. �he lncrjo�'ity does not
rnake sotraet.liirzg r-ight.
Tl�at is to say, if you cani�ot �ublicly support the board's decision azid Sornetitnes the o�ct2ier is
t11e inatter has seriaus inlplications, you inay be better off removing the only �'ight voice.
yourself from tlie sih�atio�l by resigning from t11e board.And don't spend
t�o inuch eilergy trying to vindicate yaurself. In any experience, when
an outlier is right, tilne will tell. I've been i�l such situations more tllan
ance. Tii�ne always tells.
F'or Further Evaluatian
' Set aside 30 minutes in a board meeting to thouglitfully discuss the
' following questions:
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� 1. Does your board have �olicies that define the proper boundaries of
y individual board member authority?
� 2. Does your board have policies that expressly prohibit individual
; board members from givii�g directives and unsolicited suggesfioils
� to staff`?
� 3. Does your board Qrient new inembers as to these policies?
j 4. Beyond orientation, does your board devote time and resaurces to
y its own development?
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CHAPTER 19
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s repeated througllout t�is baok, leading a charter school
is a sopl�isticated endeavor. In today's complex regulatoiy
environment, �very school needs a talented, energetic, and
corr�petent individual. You should be able to tell from tl�ose thz-ee
adjectives alone that inultitalented executives are not sittiilg aroirnd
in large �iuinbers waiting for their phones to ring with job offers
(althaugh it's not uncon�inon for executives with a track record
of successes to get such calls on a regu.lar basis). Tllere's eilougll
demand for their skills tl�at a talen�ed sclloal execLitive wha is
willing to relocate can expect ta land a ca�r��etitive offer.
Given the cast of recruiting,retaining, and renewing this kind of taleiit-
-and the cost of getting the decision wrong--it's importai�t to know
what you're lookiilg for. In this chapter, I describe what I consider to
be the 12 most irr;portant quali�ies iiz a charter sc�iool executive.
The board can use t11is �ist of qualities a�1d attributes to rate cai�didates
on a scale of 1 ta 14. It can then compare candidates using those scores.
Where deszred, the board car�weight one or rnore of the characteristics
if it considers certain things ir�ore essential for�he school at a particular
point in its growth.
Here are the 12 inost important qualities of an effective charter school
executive:
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1. Above all else, an et'fecti�e charter scilool executive is �
passionate abaut the ideals represeiited in charte�-ing schools: �
student o�itco�nes, social justice, accountability to taxpayers, '
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and meaningfui choices for parer�ts. {Remeniber tl�ose froin the r
ii�troduction?)Veiy closely coni}ected to th� ideals of chartering �
is a brotherly love far children. There is no sucl� thing as an •
effective charter scllool executive wlio daesn't love kids--and .
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their parents, along with the �eople who report to him or her. �
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A�7d by the way, if l�e or she really Ioves people in the way t��at ,�
I tnean, you'll never l�ave integrity problems. Genuine l�rotherly �
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love precludes lying, cheating, s�ealing, and backstabbing. �
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2. Ai� effective charter school leader knows how to execute weil. �
This is at the top of tl}e list (right after passian for �he missian �'
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of chartering and the people involved} because the secret to `
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successful school operatians is execution, i.e., getting stuff �'
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done. The executive is the "Chief Get Stuff Doiae �fficer,"37 to �`
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boi-�ow an expression fram supe�--successful CEO and author, �`
Christine Comaforci-Lynch. How does the board know whetl�er �
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an executive candidate can get stuff done well? The Uoard �
probably can't answer that c�uest�on (or any ather)with absolute �
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certainty, but it ca�� use two proxies. First, ask candidates to �
give exainples of their skills at executing. Secor�d, ask them if y
tl3ey've read Execa+tion by Charan and B�ssidy. Given its New �
York Tirnes bestseller status, I would think any charter school �
executive warth his salt has read it at least once.3S Having read it ;
doesn't mean they can execute, but at least it indicates that they ;
think fl�e topic is i�nportant enough to read about. ;
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3�Her book, Rardes fo�•Renegades:How to Mnke Mo7�e Mo�zey, Rock Your Career; ,
arrc�Revel irt Yoaar Incfivic�`ualiry, is both witty and fascinating.
38 I'm not the anly bird to t9iink so eitl�ec At one time,t11e book was required read�ng ,
in the Leadership for Educational Ent�epre��etjrs Master's degree at Arizona State
University.I lea�rned th�s quite by accident when the faunder of the program,Dr. '
Ellie Perry invited me to speak to a cohort a few years ago. I was touting ti�e book as ,
well worth reading when a student lifted a copy for me to see."�h,excellent! I see
you're reading it,"I said."We ali are,"he replied. "It's a course requirement."
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3. An effective charter scllool executive understan�s that the slcills,
o�gcrr�i�ational valzres, and tlme allocatiorz requi�-ed of him or
11er are different from every ather emplayee in tl�e school. This
�.inderstandii�g guides hirn or t�er in selecting l�is ar her work
priarities. For exa�nple, ai1 executive may love classrooin
teachi��g, but he or she knows that classroom teaching is t��e
wrong tirzle allocatiol� far an executive beca�ise there other
thii�gs l�e or sl�e should be doin� instead, like att�nding weekly
Rotary meetings.39
4. An effective c��artez- school executive is coinmitted to 11is or
her own professional growth and development, as well as the
growth and development of the people r•e�orting to hiin or her.
The l�oard can get some sense of this coa��nitment by asking
the following questions:
• Can yau please share with us how many books you've
read in the past year and whicl� titles had the' greatest
impact on your thinking?`'0 � "
• Can you please share which professional jouimals you
subscribe to and why yoi� subscribe to tlle ones you do?
• Can you please sl�are the canferei�ces you've attended
and/or presented at i��tl�e past year?
• Have yo� recently purs�ied advanced degrees or
credentials?
• Can yau please s�are what kinds of pro�essional growth
yau have required of teachers and others reporting to you
in other scl�ools {or arganizations) that yo�'ve led?
• What are your current plans for professional growth?
The key here is, if your charter school is cornmitted to continuous
imp�ovement--as well it shauld be--haw can it be led by someone '
who doesn't exhibit that characteristic in thenls�lves?
39 The idea of mastering differing skills,organizational valties,and time allocation
based on one's organizational position is explained in wonderful detail in The Lead-
ership Pipeli�se,by Charan,Drotter,and Noel. ,
`�0 I'm increasingly suspicious and distnistfi►1 of leaders who haven't developed the '
discipline of reading 600ks. '
Charter Schoal Board University 12g
R-6
�
r
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5. An ef�ective cl�arter sctioal exec�itive uilderstands how to read '�
and interpret financi�l statetnents. He ar she uses financial data '�
ta maziage sciiool aper�tions. He or she ui�ders�anc�s fiilancial '`
state�nents well er�ough to explain basics to board inembers. �
�
6. An effective charter school executive is focused like a laser on �
studetlt outcomes. He or she u�lderstands that the right people �-
a11d instructional design (including curr�cu�u�n, assessment, and �
te�ching methods) are tl�e keys �o achieving those outcoi��es. �
�A5 SLlCI1, don't expect a talenteci executive to wil�ingly share �
decisian nlaking with tlle i�oard regarding these t�ings.} If the �
executive is coming to education fro�n another profession, he �
ar she v�Till hire a competent curriculum and assessment perso�i �,
or cansultant to help frame �1�e process. Either way, �n effective ,,
executive is relentlessly�ocused on student outcoil-�es. r
�
7. An effective c�ia�-ter schoal exect�tive possesses and uses "
�
superior oral and written comi�lunication slcills. (Be cautious -
�
about assuming published works are a suffic�ent measure ofr `
. �
writing skills. Yot� don't iaaow ha�v n�uch work an editor did to -
r
geY the �raaterial print��eady.) -
�
S. An effective charte�� schaol executive is goal-oriented. He or �
she regularly sets goal� for him or herself (often i�l writingj �
and expects others to do the sa�ne. He or she also inonitors �-
probrEss toward those gaals and inakes course ad�ustments as '
necessary. Most iin�ortantly,he o��she holds others caccountable r
for the accomplishinent of their organizational goals and _
res�ansibili�ies. '
9. Ai�effective charter schaol leader h.as accu�nulated professioi�al �
lcnawledge co�ering a wide range of aspects rela�ed to school �
management. More ii�portantly, the effective executive is �
humble enough to say, "I don't know the answer to that but I �
will find out." W11en the effective exec�itive doesn't Isiiow, he .
or slle usually knows to whom he or she can tu�-�� for expert ,
counsel. He or she wastes no time pursuing help when needed. !
�
�
130 Charker School Board Univer'sity
R-6�
10. An effective cllarter scl�ool executive is able to n�anage various
relatiaizsl�ips with the scl�nol's stakeholders including parents
�i�d parez��-led orgatlizatiot�s, teac��ers, support staff, other
leacters, students, autl�orizer staff, vendors, and board members.
Tl�is ciaes not i�ean, hawever, tl�at effeetive exeeL�tives inalce
all these people happy all tlle tinae. Mare ofter� than not, the
e�'fective executive isn't doit�g his or lier job right if everyone is
happy
11. Ai� effecti�e charter sc11oo1 executive 11as the e�no�ional
forti�ude ta withstaild criticisrn. Tl1is is an especia�ly importa�lt
consideratioil in any position dealing �vith other peo�le's
cllildren.
12. An effective charter school executive has expectations of the
Uoard to which he ar she will i•eport. These expectatioiis include
�eing able to count oi1 the board to do its job while not ii�terfering
with the execu�ive's job. A good way to as�ess a candidate's
expectatiQns of the board is ta ask him ar her ta articulate thein
in the interview. Here's a sample of what I wouid say as a
caildidate.
• I expect tl�e board to define the n�ajor student outcomes it
wants achieved.
� I expect thE board to deline�te tlirougl� written poliey the
limits of rny authority. Oi1ce delineated, however, I expect
the board not ta waffie.
• I expeet the baard to speak to me with ane voice.
• I expect the board to have palicies constraining the conduct
of board meix�bers so that none individually directs me or
my sta�f.
• I expect the board to evaluate ine only against its predefined
criteria.
• Whe�� I ain criticized for rny decisions, I expect the board
to support me so long as my decisions are ethical,prudent,
and iawfial. {Notice I said when, not if.)
Charter School Board Uni�ersity 131
_ ._. ,T _.;._� , �-
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� - _ .- - � ,.,, � � �w; '�,: r, ��-} .; `.�� � � ���; «.� `� �;, '
�������¢ , �- �` �� �`:� . - �zda�
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Ast�l�e readers noticed that the list of effecti�e executive qualit�es di�in't ,
contain anytl�i�g abaut possessing advanced deg��ees(except as they may �
relate to ci�r��ent }�rofessiona� develapinent in iten� four), acii�7i�istrator �,
certification,or years o�'admi�listrative or cjassroom experience.There's :,
a good reason far their omission: They I�ave little to clo tivitla being a�� ;
effective clac�rter�school leadei: Yn other words, cllarter schools cai� and �,
do hire effective leaders from ather professions. In facfi, only items one, �
six, and nine relate s�ecifically ta eciucation. Tlae otl�eY chcrracter"lSflCS �
CdY2 C0171Y!?Ol? t0 eff2CtlVE 2X2C2lldVeS l71 L7�1�7YOfeS510125. '"'
r.
��
�
As long as an executive new to the charter school arena is willing to �
�
ask qt�estioi�s, tu��� to others for assistance, and expand his or her own .�
capacities, any possible ki�awledge deficit in cl�arter schools presents no �
�
ins�irinountable leadersl�ip probleins.�' �.:
�
��
A few final words on assessing canc�idates in the hirii�g process.W�enever `�
possible, the inost effecti�e �neans of�ssessing a candidate's ability in `
�
a given area is to ask him to demo�zstrate his skills �o the board rathez- `
�.
tha►� asking tl�e candidate to tell the boarci about l�is sicills. For example, �
�
a think tank I usecE to wark for tested the writii�g ability of cai�didates `
�-
by placing thenl in front of a camptiter a�1d gi�ing them an hoi�r ta�vrite "
r'
a commentary o� soine otl�er pertinent doclune��t related to the position �
�-
for which they tivez-e a�plying. T�is exez-cise very quickly sorted those �
�
who could write fram those who couldn't. �
.�•
�
Similar deinonstrations are being inc�easingly used by sc�lools to assess =
teacher caudidates. With a little creative tihinking, your board should be �
able to devise ways for candidates to deinonstrate at least some of their :..
skills to the board, perhaps role playing, or brainstorming solutio�s to a �
particular problein. ;�
�
�� In my first year as a scl�ool leader,I was 30 years old and only about four years �
re�noved from having been a Marine Corps Sergeaiit.My only classroom experience "
�
had been as an adjlanct com�nunity college instructor. Fortunately for ine,most of[he r
school's dozen teachers exhibited the patience of saints while I figt�red out that they �
wanted to be led as faculty,not commanded like troops.Point being,I lean�ed how ''
�
to successfully nEn schools for the next 12 years,having come to it from outside the ,.
teachina profession. �
�
�
�
�
�
l32 Charter School Boa�'d University �
R-6
A truly talented exect�tive won't be the least bit offended at your
asking hin� to den�onstrate Ilis or her exp�rtise. Truth be told, the really
good exec��tives see it as an opportunity ta showcase �heir talents.
Besides wl�ich, if a candidate is too smug or arrogant to coinpiy witll
the board's �-ec�uest to demonstrate his oi- her slcills, he or she proUably
isn't the i�est person to be leading your school. As an old fi•iend of i��ir�e
lised to say, "A new broo�� always sweeps cleau." Qne inlpiieation �s
perfor�l�ance on the job will never excel tl}e inteiview.
For Further Consideration
If yat�r board is excel�ing at governing and it recruits �i� effective
executive, it prabably won't need to cond�ict a search��nore than every
se�en to ten years. When it does, laowever, the list pravided i�� tlzis
chapter can save you a lot of money in consultant's fees.
I
� Additioi�tal R�so�t•ces ' i
Charan, R., Drotter, S.J., & Noel, J.L. (2001). Tlze lecrdership
pipeline: Ho�1 to bz�zld the leadel ship powered cornpaf��t San
Francisco: �ossey-Bass.
Mornell, P. (1998}. 45 effective ��ays for� Izi��ing snzartl How to
pr�edr'ct tivin�rer.s and losers i�z t]ze increclibly expensive people-
reading game. Lerke�ey, CA: Ten Speed Press.
Charter School Board University 133
R-6
COUNCIL DEVELOPMENT AND TRAINING OPPORTUNITIES
Any Registration for Council Development and Training Opportunities will be coordinated by
the Town Manager's Office and/or Town Secretary.
• THURSDAY,JutvE 9, 10:00— 11:00 A.M.
O BUILD EFFECTIVE CITY COUNCIL RELATIONSHIPS WEBWAR
• July 21-22 or August 11-12
o TML Newly Elected Officials Trainin�
• Certification for elected officials (TMLI)
O HTTPS://WWW.TML.ORG/27g/CERTIFICATION-FOR-ELECTED-OFFICIALS-TMLI
• ICMA 2022 Council Orientation Webinar Series:
staff will provide links to each of the sessions through your Town email
o Session 1 - Intro to Form of Government
o Session 2 - Roles and Responsibilities of the Elected Official
o Session 3 - Understanding the Budget and Strategic Plan
o Session 4 - Public Relations
o Session 5 - Effective Leadership
o Session 6 - Ethics
�
f
�'l�i � �1ew�� ���cted :.� �it� ��f�c�a�s' �rie�t�t�ior�
'�� �c�u've got q��estions...we'v�got ans�e�-s.
- _ � '.; �.�`'�_-`'h.. _ . � e : ��, �
- Menu
Allen Program
Sessions are subject to change.
�u�y 2�, Zo22
7:30-8:00 a.m. Registration and Networking Breakfast
8:00-8:10 a.m. Welcome
8:10-9:10 a.m.
Be an Inspiring Leader
Betsy Price, Former Mayor, City of Fort Worth
9:10-9:25 a.m. Stretch Break
9:25-10:25 a.m.
Parliamentary Procedure: Being Aware of the Key
Rules
10:30-11 :30 a.m.
Understanding Your Financial Oversight
Responsibilities
Lunch on Your Own
Visit The Village at Allen for walkable restaurant options
11 :30 a.m.-1 :00 p.m.
(click on dine and drink) and Watters Creek for those a
short drive away.
1 :00-2:00 p.m. Governing Ethically: Understanding Your Influence
2:05-3:05 p.m. Fundamentals of City Regulation
3:05-3:15 p.m. Stretch Break
3:15-4:15 p.m. Interacting Constructively with the Media
4:20-5:00 p.m. Advocating for Your City
�uiy 22, Zo22
7:30-8:00 a.m. Networking Breakfast
8:00-9:00 a.m.
Your City's Revenue Sources and Economic
Development
9:05-10:05 a.m. Texas Public Information Act Required Training
10:10-11 :10 a.m. Texas Open Meetings Act Required Training
TML Municipal League -All Rights Reserved
�
f
�'l�i � �1ew�� ���cted :.� �it� ��f�c�a�s' �rie�t�t�ior�
'�� �c�u've got q��estions...we'v�got ans�e�-s.
- _ � '.; �.�`'�_-`'h.. _ . � e : ��, �
- Menu
San Antonio Program
Sessions are subject to change.
August 11, 2022
7:30-8:00 a.m. Registration and Networking Breakfast
8:00-8:10 a.m. Welcome
8:10-9:10 a.m.
Be an Inspired Leader!
Joe Serio President,Joe Serio Enterprises
9:10-9:25 a.m. Stretch Break
9:25-10:25 a.m. Parliamentary Procedure: Being Aware of the Key Rules
10:30-11 :30 a.m. Understanding Your Financial Oversight Responsibilities
11 :30 a.m.-1 :00
Lunch on Your Own!
p.m.
1 :00-2:00 p.m. Governing Ethically: Understanding Your Influence
2:05-3:05 p.m. Fundamentals of City Regulation
3:05-3:15 p.m. Stretch Break
3:15-4:15 p.m. Interacting Constructively with the Media
4:20-5:00 p.m. Advocating for Your City
August 12, 2022
7:30-8:00 a.m. Networking Breakfast
8:00-9:00 a.m. Your City's Revenue Sources and Economic Development
9:05-10:05 a.m. Texas Public Information Act Required Training
10:10-11 :10 a.m. Texas Open Meetings Act Required Training
TML Municipal League - All Rights Reserved
�
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T E X A S
MUNICIPAL LEAGUE
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TABLE OF CONTENTS
4 Texas Cities Lead the Way
6 City Property Taxes:Tremendous Bang for the Buck
8 Where Do Texas Cities Get Their Money?
11 City Property Tax Cap
sg Reverse IntergovernmentalAid
1� Cracking the Code:Citizen Safety and Protection of Property Values
zg City Economic Development
2o Cities Keep the Garbage from Piling Up
22 Putting the"Works" in Public Works
24 The Grovving Need for Water and Waste�water Services
26 Water Conservation
28 Funding the State Water Plan
go The Connection Bet�ween Infrastructure and Revenue Caps
32 The High Cost of Providing Public Safety
34 Annexation: It Isn't a Four-Letter Word
g� Zoning:A Primary Means to Protect Property Values and the Welfare of City Residents
38 Keeping the PoWer On:Cities and Electricity
4o Cities Refuse to Accept Utility Rate Hikes Without a Fight
41 The Texas Municipal Retirement System: Proven Success
4s Thriving Libraries ReflectThriving Cities
44 Texans Keep Healthy in City Parks
46 Investing in Tomorro�w's Leaders:City Governments Involve Youth
4� Advocacy Is Vital
48 About the Texas Municipa�League
��r,d�ea:'r.a�n u`LuF;�d4
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TE�►A ITIE
L EA D T H E V�/AY B Bennett Sandlin TM L Executive Director
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As you read this pubLication of HoW Cities Work, the 85t" Cities, the government c�osest to the people, embody
Texas Legislature has convened and is hard at vvork. The the idea that "We the people" should be in control. Cities
2017 regular session vvill not end until Monday, May 2g, provide the services that vcie cannot do vvithout. Those
2017. Betvcieen novv and then, �avvmakers vvi« consider services reflect the vvi«of the local taxpayers.They are not
thousands of bills. Unfortunately, many of those bills vvould, the kind of services people think of vvhen they say they
if enacted, erode municipal authority or othervciise limit the vvant less government. City services are the nuts and bolts
ability of Texas cities to carry out the important functions of our society.
and provide the vital services expected by municipal
residents. Starting vciith Texas' independence in 1845, the legislature
began creating cities to do its local �work. The Texas
HOW CITIES WORK • 4 • zoi7
Municipal League novv represents more than 1,15o cities of
every size,shape,and service level. The locally-elected city • The Ways in Which zoning authority protects
councils in those cities decide hovci to provide appropriate citizens and their property values.
services based on the Wants of their citizens.
• The importance of libraries and library funding,
Texas cities provide police and fire protection,the roads vve
drive on, local business development, the utilities vcie need • The value of municipal parks and recreation
to survive and prosper, the protection of property values programs.
through thoughtful rules that benefit everyone, and much
more. It costs money to provide these services, but keeping While some state leaders vvill try to reduce municipal
taxes lovci vcihile meeting citizens' demand for services is a revenue or chip avciay at municipal authority,the vast majority
core value of city officials, of Texans knovvs that their city leaders are trustvciorthy stevv-
Cities don't typically seek funding from the state, and they ards and should be allovved to exercise local control, To a
receive virtually nothing from the state, What cities need in very great extent, economic grovvth in Texas is the result
lieu of state funding is to be treated as partners in keeping of municipal efforts to ensure the availability of infrastruc-
Texas great, City officials vvant to continue providing local ture, public safety, and the quality of life necessary for job
services in the vciay they vvere elected to do. creation,State policymakers should be very reluctant indeed
to harm cities, because as our cities go, so goes our entire
Hovv Cities Work is a tool to help city officials explain hovci beloved state,
Texas cities are povverful engines of economic grovcith, as
vvell as safe and pleasant places for people to grovci up, We look forvciard to vvorking vciith all of you in these important
raise families, and retire, months ahead as vve advocate for municipal government in
In this publication, We highlight: Texas, If you have any questions, please feel free to contact
a member of the TML legislative department.
• The sources of municipal revenue and the vciays in
vvhich the legislature can damage that revenue. Thank you, in advance, for your support and assistance. �
• The value of building codes.
• Municipal economic development efforts and the
Ways in Which property tax caps threaten those
efforts,
• The status of municipal solid vciaste programs.
• Municipal transportation and public vciorks and the
importance of maintaining right-of-vciay authority,
compensation for use of rights-of-vvay, and . .
funding sources for drainage utilities,
• Municipal participation in utility rate cases. ���
��
• The provision of municipal vciater and vvastevvater . _ . �_ . � � �
services, including funding for the State Water �.— .
Plan.
• The connection betWeen infrastructure and � �� � � � � •
revenue caps. � "�
, ; � i r
• The high cost of providing public safety services. � --�-�- - �e� �-� , _
• The importance of annexation authority to the
future of Texas cities and to the state's economy.
HOW CITIES WORK • � � zoi7
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Texas cities depend heaviLy on property tax revenue. Property taxes help fund many of the services that residents demand
including police,fire,streets,and parks. But as Chart 1 shovcis,city property taxes constitute a smaLl portion of a typicaL home-
ovvner's property tax bill.
Distribution of Property Tax Collections
Source:Texas Comptroller's Biennial Property Tax Report
1985 Special 201� Special
Districts Districts
12% 12%
Counties Counties
16% �7�
Schools
52�
Schools Cities
Cities 55/ 16%
20%
Hovv do Texas cities provide so many services vvith such a Unlike other states, Texas provides no general-purpose
small share of a typical property tax bill? Is it vvith financial state aid to cities to help pay for streets, public safety, or
help from the state? Not quite. other city services.The state forces cities to generate their
HOW CITIES WORK • � • zoi7
oWn revenue, That's Why (as the chart beloW shoWs) per
capita state tax revenue is relatively lovv, vcihile per capita
local tax revenue is comparatively high.
U.S. Texas �
�
�� ��
��
Per ca ita state $2,681 $1,g55 �42nd) . ��
p ,
Percent local 418� 49�5�
But Chart 2 focuses on "local governments" (cities, coun-
ties, schools, and districts). What about cities only? For
this information, vve turn to a publication of the National �
League of Cities(NLC). Cities and State Fiscal Structure. r � #� ��,_
One section of this report tabulates, for each state, a sta-
tistic the authors refer to as "ovcin-source capacity."This is
a measurement of the extent to vcihich decisions made by
city officials actually determine the city's fiscal direction. � _�
Since Texas cities take care of themselves vvithout inter-
governmental aid, it comes as no surprise that Texas ranks
second the nation in municipal ovvn-source capacity.
The flip side of that coin, hovciever, is the report's measure
of state aid to cities. Here again, the NLC report replicates These tWo fiscal conditions, Which create the property tax
previous research: Texas trails only Georgia, Oklahoma, mess in Texas, are unlikely to change unless the State of
and West Virginia in state aid—the share of municipal rev- Texas takes one(or both)of tvvo actions:
enue that comes from state government sources.
1. Inject more state money into public services and fa-
These tvcio findings of the NLC report once again estab- cilities, especially public schools. This means even
lish these facts: (1)the State of Texas relies very heavily on more state revenue than vvas provided through the
Texas cities to generate the revenue necessary for mu- public school funding reforms of 2006.
nicipal facilities and services; (2) the state gives cities the
capacity to generate that revenue; but (3) the state gives 2. Open more revenue sources for counties and cities.
cities virtually no state financial aid.
Any other attempts to reduce the property tax burden in
In addition to forcing local governments to generate com- Texas vciill either be ineffective or vvill create unintended,
paratively large amounts of tax revenue,the State of Texas negative consequences.
also forces those local governments to rely too heavily on
property taxes. It does this by denying them other revenue In a nutshell:
sources. While this is especially true for public schools �1)Texas cities provide vital services that benefit their citizens;
vcihich rely almost exclusively on the property tax, it is also �2>Texas cities provide those services vciith less aid from the
true for cities and counties. In fact, of the $i,gi5 shovvn in state, as compared to other states; and
Chart 2 as per capita local government tax revenue in 2013 �3>Texas cities manage all this despite a very small share of
in Texas, a vvhopping $1,563 (8i.6 percent) came from the the totaL property tax levy and vvith reasonable annual in-
property tax. creases in those taxes. *
HOW CITIES WORK • ' • zoi7
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'�'I+'{ „ ,+ ����'���1 'd�ii+ial;�:f �'� �
Citygovernmentisvciheretherubbermeets ��" ' � +' ����� { p+ 1� ' '� I �
the road. Cities pave our streets, fight ' � , �. � M
crime and fires, prepare us for disaster, - i ; ' �
bring Water to our taps, take our trash � i ` F I .
avvay, build and maintain our parks—the � �_ . .
list goes on and on. These services cost = �,�,_; '� � ' � �';�;.�Ft'
money, This article describes the sources `:��;����� �t �
�,{'.t " �y�� rn�LF� '�� �
of municipal revenue and expenditures. , ,... ; �� �-r' i-
��, ��• �� ��a� � ,�. �«, �
��_.�.*- ;}�4 ` �' — +` I i 15
� _ �� �' t ���� 4i � �—.� Y��
A 2015 TML survey shoWs that municipal general fund Conspicuously absent from this list is financial assistance
revenue in Texas is made up of the follovciing sources: from the state.This is unusual—most states provide direct
financial assistance to cities in recognition of the fact that
General Fund Revenue cities provide basic services on vcihich the entire state
depends. (See the article on "Reverse Intergovernmental
Aid" in this publication.)
i��i��F�F„��,�•
�a�r.rs�i i�,�] Instead of revenue,Texas cities receive something equa«y
" Fi.iil['I11S!'F[:F+4 important from the state—broad authority to govern
�� themselves, including the authority to raise their ovvn
�{� 1'�x �lCable Fr,�n�i}ise revenue. This �ocal authority has vvorked to the benefit
2�� ����
of cities and the state for many decades and should
�_ •. ��' continue into the future.
� Flrr.trit.�I(LVHJ
- - _�ranrhiseFees
�'f��"�'�' ;�'� �:�tner �� Here's more information on each source of municipal
��� , �anci�ise
revenue:
Fr.es
,� ��pern,.t{F ees Property Taxes
�{ ,.court rine� ���; Property taxes are the Leading source of city revenue.
nii nti,rir • �� Though crucial to city budgets, city property taxes make
��uf�¢� - --� Iflterest Earr�:o7�,� up just a fraction of a property ovvner's total property tax
Fedrfal and{or —��9G _ _Y�ansf�rs trn��r U� bILL.
S�dk�Gfdflt5 Other furres
�^� �� Most cities under 5,00o population have statutory authority
to Levy property taxes at a rate of up to $1.5o per$soo of
assessed value. Most cities over 5,00o popuLation have
HOW CITIES WORK • � • zoi7
statutory authority to levy property taxes at a rate of up fines typically range from $20o for traffic violations, and
to $2.5o per $Zoo of assessed value. Despite this broad up to$z,000 for city ordinance violations relating to health
authority, the average city property tax rate vcias only $.52 and safety. Much of a city's fine revenue offsets the costs
for tax year zo15. of lavci enforcement and operation of the municipal court
system.
City property tax levies are tied by lavci to fluctuating
property tax values. As values increase, the city must Interest Earnings
adjust its rate or face potential rollback elections. In reality, When a city invests its funds, it must closely follovci the
such tax rollback elections are rare. City rates have held mandates of the Public Funds Investment Act. Because
relatively steady for years, both in terms of actual rates of the tvciin concerns of safety and liquidity, investment
and in terms of total levy as adjusted for inflation and rising income is a relatively small source of city revenue.
income.
Transfers from �ther Funds
Sales Taxes Many cities operate utilities and other optional services
Sales taxes are a major source of city revenue. Nearly 93 that generate substantial gross revenues. By lavv, the fees
percent of Texas cities levy a basic one-cent city sales for such services must closely offset the cost of providing
tax. The revenue can be used for any purpose other than the service. In addition to the cost factor, cities are
payment of debt. Many cities, though not all, also impose permitted to retain a reasonable "return," vvhich can then
additional sales taxes in varying amounts of up to one cent. be transferred to the general fund.This return amounts to
These additional sales taxes are knovcin as dedicated taxes, less than six percent of overall city revenue.
because their proceeds may be spent only for certain
purposes. Some popular dedicated sales taxes include Other Sources
mass transit, economic development, street maintenance, City revenue can take various other forms, including user
property tax relief, and sports venue taxes. All city sales fees for some services, amusement taxes, and hotel
taxes, including the basic one-cent sales tax, require a occupancy taxes.
local-option election of the citizens. Collection of sales
taxes is performed by the Texas comptroller,vvho"rebates" The Bottor ie
the city share on a monthly basis. The comptroller retains The state could put municipal revenue at risk in at least
a sma�� portion of the city tax revenue to cover the state's tvcio vvays. First, the state could increasingly look to cities
administrative costs. for revenue to fund state programs.When a state provides
direct financial assistance to its cities, such trading of
Right-of-Way Rentals revenue might be vvorkable. Texas is not such a state.
When utilities and other industries use city property to Texas cities receive virtually no direct funding from the
distribute their services, cities are permitted by lavv to state, and cannot afford to fund the state's obligations.
collect rental fees, also knovvn as "franchise" fees, for the Second, the state could erode the statutory authority
use of public property. Franchise fees are calculated by under vvhich cities raise their ovvn revenue.While cities are
various methods, depending on industry type. indeed subservient to the state, city officials hope that the
respectful nature of the fiscal relationship betWeen Texas
Permits and Fees cities and the state vvill continue for years to come.
Cities may collect fees
� � � � �; for issuing permits for
,;_ ��,_��� . _ , building construction,
�}�'" _ : .�:'� ��_ �_ environmental regulation,
, � _::�;�+; '�"'�. and for other services.
Because cities incur costs '- '
. - �, - - - - -
to regulate in these areas, ' " ' '
i{ � � � the permit fees must be ' ' ' ' ' ' '
�i'. '�1 3; � � • - �
� " tied to the cost of providing ' ' �' ' '" '
�`� " " ' • " --
.� � � � �; ,��� _ the service. ' ' ' ' '' '
.. • . . - • - .- .
� '�� • ,�: • - -
Court Fines ' � '� ' '
- � • •- • -• •- • •
_ �. ��� _ _ A city that operates a
�� _ � _ municipal court may
impose fines for violations
of traffic laWs and city
ordinances, Maximum
HOW CITIES WORK � � • zoi7
Other
Expenditures �' � '
3z�
General Fund Expenditures
��� - �
_.
Libraries 3% ��'�
,4.
��t•
_�
...-�.
Municipal Court z% �
Putting Local Debt in Context
The story about debt coming out of certain Austin think needed taxes. In reality,the$72 billion of school district
tanks goes something like this: the state has its fiscal debt ought to be thought of as a state debt because
house in order, but local governments are greedy, that's hovci the state has chosen to fund schools. Shift
profligate spenders running up the taxpayers' credit that $72 billion over to the state debt column and
card. It's a povcierful narrative, but it isn't true. a vastly different picture about vvhich governments
may be falling dangerously into debt emerges. In any
A recent report issued by the Texas Bond Revievv Board event, the numbers shovv it clearly isn't Texas cities.
shoWs total outstanding state and local debt for the
past fevci years. From 2011-2015, total outstanding local The recent focus on local debt (despite the fact that
debt increased from $Zg2.74 billion to $212.44 billion, a state debt is grovciing faster) likely relates to the reality
Zo.2 percent increase. Meanvcihile, total outstanding city that Texas state government, for better or vvorse,
debt increased from roughly $63 billion to $7o billion, has gotten out of the business of building nevv state
an 11 percent increase during the same time frame. For infrastructure vvith state dollars. Instead, locals are
the same period,total outstanding state debt increased expected to pick up the slack for things like roads and
from $40.5 billion to $47.og billion, a 16.z percent reservoirs.
increase. In other Words, local debt (and city debt> is
increasing at a significant�y slo�wer rate than state debt Consider the recent Water funding proposition that
in recent years. passed in November 2014 - it ultimately spends zero
state doLLars. Instead, through the use of a revolving
At$2i2 billion,the amount of total local debt is certainly fund, it encourages cities to take on debt to build our
significant. Hovvever, only a small portion of that—$2g state's important reservoirs and other vvater projects.
billion—is tax-supported city debt. Another $4o billion This is a perfect example of the state essentially
is city debt supported by the revenues of city utilities forcing locals to take on debt to do the state's Work,
and not by property taxes. The largest portion is tax- then blaming the same locals for having taken on the
supported school district debt, at$7z billion. debt in the first place.
School funding is a constitutional obligation of state Texas cities arevciilling to partnervvith state government
government. The state has chosen to discharge that to build infrastructure in our great state, but should not
obligation by creating local school districts that Levy the be considered scapegoats vvithin that partnership. �
HOW CI I I�S WORK • � O • zoi7
� ��:�# ���
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Ti�X CAP: D�E�N'T +� +� �
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}ADDRES� THE �REAL �.�y_.�.. � �-�-- , � i _��, �:.�
• '�'y"� ' 4 ��
PROPERTY TqX . .F#�
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PROBLEI�I IN TEXAS � � � � � � ��
..�_
AND [��ESN'T � �.
PROVIDE
�� r
MEANINGFVL � f �- F
- - �[ I�ELIEF � �.
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Everyone Who loves living in Texas has his or her oWn list of Last year, Lieutenant Governor Dan Patrick appointed a
things that make our state a great place. For some, it's the special Senate committee to examine property taxes in
people and our vibrant cities-along vvith the barbeque and Texas and make recommendations for reforming and
breakfast tacos - that rise to the top of the List. reducing property taxes. The committee has spent most of
this year holding hearings in cities all across the state.
One thing that's often mentioned as an attraction for busi-
nesses and people moving to Texas is our lovci taxes and, of In Texas, most of the revenue from property taxes,about 55
course, no income tax. The latest state rankings from the percent according to the State Comptroller, goes to school
Tax Foundation listed Texas as 46t" in the amount of com- districts. Cities only collect about 16 percent of property
bined state and local taxes paid by residents. taxes. But the Senate committee has refused to consider
or even discuss vvays to reduce school property taxes and
Even though the overall tax burden is lovv in Texas, there is they have pretty much ignored the fastest grovciing cate-
one tax that has alvciays dravvn the most complaints from gory of property taxes, vcihich is taxes levied by the more
Texans: the property tax. A statevvide poll last year found than 2,00o special purpose taxing districts created by the
the property tax vvas the most unpopular of the major state legislature.
and local taxes With 54 percent saying they vvere "dissatis-
fied"vvith the amount of property taxes Texans pay. Instead of focusing on the real causes of high property
taxes in Texas, Lieutenant Governor Patrick and the chair
HOW CITIES WORK • � � • zoi7
������������
of the Senate committee, Senator Paul Bettencourt of The state legislature depends on high school property
Houston, have made it clear they vvant to impose statevvide taxes to reduce the amount of state funds it has to spend
restrictions on city property taxes and effectively put a state on schools. A recent headline from the Texas Tribune tells
cap on the annual budgets of all Texas cities. the real story, "Rising local school property taxes ease
state budget vcioes." Under the state's "Robin Hood" school
Because their proposed solution - a four percent cap on finance scheme, 23o school districts vvere required to send
city property tax revenue increases contained in S.B. 2 - part of their local property tax receipts to the state treasury
does not address the real cause of property tax increases, this year.
it vviLL not provide reaL tax relief. If a four percent cap had
been in effect over the past decade, the average home- For example,this year the state"recaptured" more than $2g
ovvner in San Antonio vciou�d have seen a reduction in city million in property taxes from the Alamo Heights School
taxes of only$44 per year-or$3.67 per month. Any legisLa- District vcihich is about 4o percent of the taxes paid to the
tor vvho tries to convince Texas homeovvners that this is real district. The Texas Education Agency has estimated that
tax relief vvill end up looking foolish. the amount of local property taxes sent to the state vciill
increase from $3.7 billion in the current state budget to$5.1
Remember, city property taxes, on average, make up only billion in the next budget.
16 percent of property tax biLLs stateWide. And city property
taxes are not"skyrocketing"as some state leaders vvant you The League is not an expert on the school finance system,
to beLieve. From 2oog to 2014,the tota�amount of property but vcie do understand that the current system grevv out of
taxes Levied by Texas cities increased by onLy Zg percent the need to equitably distribute education funding and that
vvhi�e state revenue coLLections increased by 46 percent is an important goal.
during the same period, according to the State Comptroller.
But vvhen the legislature is using local school property taxes
The Senate committee has been a font of misleading to balance the state budget, it explains vcihy state lavvmak-
information about city taxes. Earlier this year, Senator ers vciant to divert public attention from the school finance
Bettencourt vvrote in a co�umn for a major daily: "In San system and try to blame Texas cities for high property taxes.
Antonio bet�ween 2005 and 2014, city tax levies have groWn
55 percent vcihile median household income has grovcm Imposing a statevciide cap on city budgets vvill not solve
onLy 22 percent." That statement is true on its face but the the problem of high property taxes and it vvill create other
comparison is misleading. "City tax Levies" refers to the total serious problems.
amount of taxes on a«property in the city and that amount
increases from year to year as the population grovcis, as Public safety - police, fire and EMS - is the largest item in
nevv areas are annexed into the city and as nevv construc- every city's budget. A cap vciould prevent cities from hiring
tion adds more homes and buildings to the tax rolls. San additional personnel, raising salaries and benefits,acquiring
Antonio is one of the fastest groWing major cities in the nevci technology(like body cameras) or dealing vciith under-
country so its total property tax co«ections vvill obviously funded pension systems, A cap vciould force cities to focus
increase from year to year. on funding basic,vital services and eliminate non-essential,
non-mandated spending like the economic development
But Senator Bettencourt carried his misleading compari- incentives that helped attract the Toyota plant to San
son to the extreme by vciriting: "In other vciords, an average Antonio and thus vvould reduce job creation and damage
famiLy faces a tax bill that is increasing tvvo-and-a-half the state's economic grovvth. It vciould also make our traffic
times as fast as income." That qualifies as "pants on fire." problems vciorse by limiting the amount of money cities vol-
When a nevci office building is constructed in San Antonio untarily contribute to state highvciay construction projects
and begins paying city property taxes, it increases the total vcihich amounts to vciell over$Zoo million per year,
amount of taxes levied and collected by the city but it does
not increase the tax bill of the average family or any other Decisions about city taxes and city budgets should con-
famiLy. tinue to be made by local voters and their locally elected
officials. This obviously is Working Well as businesses and
Such attempts to mislead and scare Texans about the tax people from all over the vvorld continue to flock to Texas
bills on their homes just distracts us and legis�ators from the cities because of the economic opportunities and quality of
reaL problem vcihich is the vvay Texas depends on property life they offer. Texans vciould be better served if state lavci
taxes to pay for public education. makers focused their efforts on their ovvn budget. yt
HOW CITIES WORK • � � • zoz7
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� - ���� � - - HOW CITIES WORK • � 3 � zoi7 � �x� ��'�
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Regular readers of the Texas Municipal League's Legis(ative more than $so7 million.
Update nevvsletter vciill recognize this article. It first ran in
2008, and is updated annually. The 2oi5 state fiscal year In 2008, the Texas Municipal League (TMU undertook an
numbers shovv that cities are still net donors of money to effort to determine hovv much the comptroller's office
the state. The State of Texas, unlike almost all other states, spends annually to provide sales tax services to local
provides virtually no financial assistance to its cities. State governments. The comptroller's office informed TML
aid, defined as a grant made by the state to cities from that "(t)here can be no separate accounting of vcihat costs
revenue generated by the state, is practically non-existent are ultimately attributable to loca� tax administration that
in Texas. Research conducted by numerous entities over vciould not be arbitrary and potentially misleading." A TML
many years has shovcin this to be true. The most recent committee vcias then formed to try to estimate the cost of
study, released in 2015 by the National League of Cities, collection to the state. The committee's estimate vvas at
found that Texas leads only Georgia, Oklahoma, and West most $z7.7 million per year, far less than the $Zo7 million
Virginia in state aid to cities. paid by cities, generating a "profit" of more than $79 million
to the state.
State aid flovcis readily in other states, particularly in
populous states. For instance, it is not uncommon for The comptroller's baseline budget is in the neighborhood
states to share state gasoline tax revenue vciith cities, or to of$2go million per year. Thus, the total local government
split other sources of state general revenue vvith municipal fee of more than $164 million is enough to cover almost 57
governments. percent of the entire agency's total expenses.
While city officials in Texas have seldom asked for state
financial aid, they are increasingly avciare of the numerous Local Participation in State Highvciay Projects
vvays in vcihich they are compelled to share city-generated
revenue vvith the state in vcihat can be described as a system The best vvay to describe "local participation" is to quote
of reverse intergovernmental aid. That's not necessarily a from a state document titled "Background and Need for
problem, so long as the legislature continues to treat cities Partnering." This state document makes the case that
as partners in keeping Texas great. the Texas Department of Transportation (TxDOT) faces a
funding shortfall because groWth in population, vehicle-
Of the numerous vvays in vvhich cities transfer revenue to miles per capita, and total vehicle miles have grovvn at
the state, three stand out: faster rates than grovcith in the highvvay system and grovvth
in revenue available for highvciay projects. Those trends,
1. The state's charge for administering the municipal according to the document,vvill continue.
sales tax.
2. "Local participation" in the cost of building and To help address this dilemma...
improving the state highvvay system.
3. State fees imposed on municipal court convictions. TxDOT continues to seek additiona( Ways
to fund the state transportation program.
For years, TxDOT has partnered With Loca(
The State's Charge for Administering the Municipal Sales pub(ic agencies to make transportation
Tax improvements on state highWays. This
Loca(participation has come in many forms,
When a Texan purchases a product that is subject to the inc(uding provision of right-of-vrray, financia(
state and local sales tax,the merchant collects the entire tax contributions, maintenance agreements
due and remits it to the state comptroller. The comptroller, and other forms... Cooperative partnering
in turn, remits the local share back to the appropriate local bet�reen state and (ocal agencies vrril(
government (city, metropolitan transit authority, county, be needed to meet future transportation
and/or special district). For providing this service and needs. TxDOT �xri(( depend on Locaf and
for performing other administrative, enforcement, and regiona((eaders to provide both leadership
reporting duties, the comptroller deducts tvvo percent of and commitment to he(p carry projects
the local share of the sales tax and deposits that amount in forvrrard...TxDOT is currently suggesting
the state's general revenue fund. to local agencies that they consider
increasing their participation in TxDOT
The tvcio-percent fee is high compared to the same fee in projects in order to expedite scheduling
other states. Many states charge one percent or less; five of locally desired projects.
states impose no charge at all. In Texas, the tvvo-percent
fee generated over$164 million in zo15,of vcihich cities paid
HOW CITIES WORK • � 4 • zoi7
In short, "local participation" may become a "pay-to- In recent years, the number and amount of state fees
play"system imposed by TxDOT on local governments collected by municipal courts have grovvn rapidly. For
that vvish to see highvciay projects in their area move example, on a typical traffic offense conviction, a municipal
forvciard, court defendant must currently pay $84 in state-imposed
fees before any city fine is collected, The follovving chart
Hovci much do cities annually contribute in local is a comparison of the present situation vciith fees imposed
participation? Over the last couple of years, cities just 14 years ago.
pitched in more than $Zoo million in cash and much
more in right-of-vciay donations and in-kind services In many vvays, municipal court collection of state fees
each year. In addition, the state gasoline tax paid by is similar to the state's collection of municipal sales tax.
cities accounts for many more millions of dollars paid In each case, one level of government is processing
by cities for the state transportation system. a tax or fee levied by another level of government, is
remitting it, and keeping a fee for providing those services.
Here's the bottom line, In most states, the state
government makes grants to cities to help those While there are similarities, there are also substantial
cities build and maintain city streets. In Texas, city differences.
governments transfer municipal revenue to the state
to help pay for the state highvciay system, For example, the state doesn't really"collect" the municipal
State Fees on Municipal Court Fines
Municipal courts in Texas collect funds on behalf
of the state for a vvide variety of state programs,
These state programs range from the Criminal Justice
Planning Fund to the Crime Victims' Compensation Crime Victim Compensation $15.00 $15.00
Fund. In most cases, the fees are imposed on persons
convicted of any criminal offense. For these collection .ludicial/Court $ 2.00 $ 2.00
efforts, cities are generally allovved to keep some personnelTraining
small amount of revenue as reimbursement for the
costs incurred to collect the fees and remit them to Fugitive Apprehension Fund $5.00 $5.00
the state.
Many city officials contend that state court costs Consolidated Court Costs $17.00 $17.00
adversely impact municipal courts in tvvo vciays. First,
the state's court costs are complicated to administer. Juvenile Crime/Delinquency $ 0.50 $ 0.50
While cities can keep a small percentage of the costs (PrairieVievciA&M)
as an administrative fee, that amount is not sufficient
to reimburse the cities for the bookkeeping and Correction Management $ 0.50 $ 0.50
administrative problems connected vciith this function. Institute(Sam Houston State)
Second,vvhen setting an appropriate fine for an offense,
a judge must consider the fact that the defendant vciill State Traffic Fine -- $30.00
also be paying state court costs. As a result, municipal
fine revenue is often loWer than it Would otherWise
be because the judge has considered the state court �ury Pay -- $4.00
costs When setting a defendant's total fine.
State Judges'Salaries -- $ 6.00
Municipal court clerks also point out that the state
requires that in the event of a partial payment, the Indigent Defense -- $ 2.00
state court costs must be paid first before the city can
keep any of the fine, This means that cities must do all Truancy Prevention Fund -- $ 2.00
the vvork collecting fines, but are not alloWed to keep
any money until the state court costs have been fully Total $40.00 $84.00
satisfied,
HOW CITIES WORK • � 5 • zoi7
� � �;, '` � sales tax; it's collected by the merchant. With regard to
��'� state fees on municipal court fines, hovciever, a municipal
court employee actually collects the fees and bears the
_� � brunt of any resulting fee-payer anger.
.�-�� � Second,the state controls the levelofthe municipalsales
�` tax, but cities certainl don't control the level of state
� y ,
�j� _. fees on municipal fines. So vcihile cities can t unilaterally
�� � _,�
.� � raise the city sales tax vvithout permission from the state,
!� r� . �---� the state can (and frequently does) increase the amount
_ � of state fees that cities must collect and remit.
�,. � � �. ,
� Hovci much state fee/fine revenue do munici al courts
_ p
� � . � � collect annually? For 2015, the amount vvas just over
' $217 million.
'�, �-� Conclusion
� � What's the grand total amount of reverse intergovern-
mental aid in Texas? After making various adjustments,
y� F the annual total is more than $25o million, just from
� these three sources of reverse intergovernmental aid.
� (Please note that simply adding the totals from the pre-
� vious sections yields a much higher amount. Certain
adjustments vvere made to that number in relation to
- � •�,� sales tax administration and court fees to arrive at$250
•'�yl���� million.)
M1
� And vcihy does this transfer of revenue from cities to
� the state matter? It matters because these transfers
� � � of resources result in either reductions in municipal �
services or increased local fees or taxes—most often
� � � � _ .�, the local property tax,vcihich is the only general-purpose
F���' � # � - municipal tax that a city council can easily raise or lovver.
'" � �
� � _ Texas taxpayers remain concerned about property
y' taxes. It is clear that some of the pressure on the
property tax results from reverse intergovernmental aid,
`� � , a system under vvhich governments that must depend
on the property tax (cities) transfer revenue to a level of
�� government (the State of Texas) that has many revenue
� sources.
� � It's easy to grasp vvhy some state legislators are tempted
to turn to cities and ask them to generate revenue for the
state. It's much harder to understand vcihy some of those
same legislators have been trying for several years to
4� limit the revenue-generating capacity of cities by placing
' caps on the municipal property tax. �r
� �
- �
�
�
�
� � ��
HOW CITIES WORK � � � � zoz7
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The building code of 4,00o years ago vvas simple but brutal. Scott McDonald, the City of Amarillo's director of the
According to an ancient Hammurabi code, "If a builder Office of Strategic Initiatives and the Building Officia�s
builds a house and does not make its construction firm,and Association of Texas representative on the Texas
the house collapses and causes the death of the ovcmer, Municipal League Board of Directors, points out that
that builder shall be put to death." "during these tough economic times,the enforcement of
construction codes is even more important."According
The first building codes in the United States, established in to McDonald, "The active enforcement of construction
1625, addressed fire safety and specified materials for roof codes not only provides a minimum standard for the
coverings. In 1630, Boston outlavved vvooden chimneys and structural and life safety components of the homes,
thatch roof coverings. In the late 177os, George Washington schooLs, churches, and businesses, it can also provide
recommended height and area limitations on vvood frame energy efficiency standards."
buildings in his plans for the District of Columbia. In 1788,
the nation's first-knovcin formal building code vcias vvritten in "Buildings constructed to meet updated codes and
Winston-Salem, North Carolina. Larger cities in the United energy efficient standards protect property values for
States began establishing building codes in the earlyl800s. yearsintothefuture,andtheyprovideasustainablestock
of housing and commercial options in a community," he
Today, most populous cities in Texas have adopted modern adds.
construction codes. The professionals enforcing current
building codes in Texas maintain the vigilance of the ancient Prior to 2001, Texas had no statevciide standard for any
code of Hammurabi, but vciith a significantly more civilized residential or commercial bui�dings. Each city chose
approach that emphasizes knovvledge and education. vvhich, if any, building codes to adopt for construction
Building code regulations enforced in Texas cities ensure vvithin the city limits, and each city amended its code to
minimum standards for safe homes, schools, vvorkplaces, meet local concerns.
and other buildings.
In 2001, the Texas Legislature adopted the International
HOW CITIES WORK • � ' � zoz7
Residential Code and the National Electrical Code as the structure must apply for a permit. City officials revievci the
standard building codes for residential construction in necessary information and issue a permit if the structure
Texas cities. Under the statute, cities are authorized to complies vvith that city's regulations. The amount of time
make amendments to these codes to meet local concerns. needed to revievv the permit application varies from city to
The legislature also adopted requirements that homes and city and from project to project based on several factors,
buildings meet energy conservation standards. including the complexity of the city's code and the project.
Because of many issues affecting each individual city
In 2005, the Texas Legislature adopted the International and building project, a blanket requirement that a permit
The Role of Municipal Fees in
Monthly Mortgage Costs
(Average of Eight Insurance 8%
Representative �
Texas Cities, 2003)� Taxes 25%
�
Municipal Fee
�(fees are embedded in principal
� and interestJ
Principal and 1.8% of monthly mortage cost
Interest 67%
Building Code for most commercial and multi-fami�y be issued in a certain amount of time vciould place an
construction, but nothing in the bill prohibits a city from untenable burden on city building officials.
adopting local amendments to the International Building
Code. Later sessions included revisions to the International Similarly, a city is not limited by statute as to the amount
Energy Conservation Code. the city can charge for building and related permits. Fees
vary vciidely based on several factors, including the number
Uniform building codes can make construction and and type of inspections and the sophistication of the city's
inspection easier and more cost-effective. Hovvever, permitting process.While some have claimed that city fees
because Texas is a vast state vvith many different climates are responsible for the rising costs of housing in Texas,
and topographical features, uniform codes serve only a survey commissioned by the Texas Municipal League
as standards, and each city is allovcied to amend codes shovvs that building and inspection fees constitute only
to meet that city's needs. In 2oog, the legislature added a tiny fraction of a homebuyer's mortgage payment (see
procedures that larger cities must follovci vcihen revievciing Chart 1). *
or amending their building codes.
Under most cities' codes, a person vciho vvishes to build a
HOW CITIES WORK • � � • zoi7
C�TY ECO1� �
�
n�v�� na� �� , :�-�
� . __ -
Texas cities are the first—and often only—engine of spent on basic industrial and manufacturing businesses,
economic development in the state, Until the controversial among a limited amount of other authorized expenditures.
Texas Enterprise Fund vcias created, only cities routinely The authority for some, but not all, Type B corporations
granted incentives necessary to attract nevci business to to engage in retail, commercial, and service economic
the state. With the Enterprise Fund up and running, larger development vcias restored in 2005.
cities have partnered vciith the state to attract such major
developments as a Texas Instruments facility and a Toyota TheTypeA/Type Bsalestaxremainsan importanteconomic
plant, Smaller cities are usually on their ovvn to attract development tool for many cities that have the available
business. land and vvorkforce to attract industry. Additionally, instead
of a Type A or Type B economic development sales tax,
Until the late sg8os, using city resources to attract business some cities have adopted a municipal development district
vvas arguably unconstitutional. In Zg87, Article 3, Section (MDD) sales tax that may be levied in a specified area
52-a of the Texas Constitution vcias added to make it clear in the city or in the city's extraterritorial jurisdiction, The
that economic development serves a public purpose. MDD sales tax closely resembles the traditional economic
From that point on, three major channels of city economic development sales tax, but the scope of projects that may
development began to open for cities; Chapter 38o be funded vciith an MDD tax is slightly broader,
agreements; the Type A/Type B economic development
sales tax; and property tax incentives, Property Tax Incentives
Chapter g 'greemen� Property taxes may be directly tapped to promote economic
development in tvvo vvays:tax abatement and tax increment
Chapter 380 of the Local Government Code authorizes financing, Both function either by forgiving (abatement)
cities to establish programs for grants and loans of city or by dedicating to improvements (increment financing>
resources for economic development purposes, Though any net increase in property tax revenue as a result of a
it is the broadest economic development tool for cities, business moving to tovvn or upgrading existing facilities.
Chapter 38o is often overlooked in favor of other incentives. Property tax incentives can never forgive or decrease the
Cities using 38o agreements must be careful not to simply present taxable value of the land and facilities upon vvhich
present a blank check to business and industry prospects. A they are granted, This key feature of the incentives—that
program providing for checks and balances on a business's all current taxes must continue to be paid—belies the
use of Chapter 38o money is required by lavci, Examples common stereotype that tax incentives are"giveavvays," On
of these checks and balances might be performance the contrary,vcihen done properly,tax incentives create nevci
agreements tying grant money to the creation of a certain taxable value that never vciould have come to tovcm absent
number of jobs, or requiring the business to stay in the city the incentive, thus lovciering the overall tax burden on other
for a certain length of time. properties.
Type A/Type B Economic D alopment Sales Tax Tax and Appraisal Caps Threaten
Economic Development
More than 50o Texas cities have adopted a Type A or Type
B economic development sales tax, Some cities have Proposals to cap, limit, or freeze municipal property tax
both taxes. The tax vcias created in sg8g and authority to revenue or property appraisals vciill have the unfortunate side
spend Type A/Type B tax money gradually expanded effect of undermining the rationale behind many economic
over the next decade to cover all forms of commercial, development tools, While the purpose of economic
retail, and traditional industrial economic development. An development is often to put nevci taxable value on the
important bill, H,B. 2g12, passed in 2003, H,B, 2g12 scaled rolls, tax caps vciill ensure that this cannot happen. Tax and
back the authority of some Type A and Type B economic appraisal caps restrict the very grovcith in appraised value
development corporations. Follovciing the passage of H.B, that tax incentives are designed to generate, undermining
2g12, the sales tax could no longer be spent on retail, the important role that cities play in facilitating job creation
commercial, or service industries. Instead, the tax could be in Texas. yt
HOW CITIES WORK • � � � zoz7
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Collection and disposal of garbage - both of vcihich are grovciing in Texas. disposedofapproximately32,37million
is one of the most recognizable and In Texas, "municipal solid vvaste" is tons of municipal solid vciaste in 2014.
Widely used city services, This vital defined to include Waste resulting That's about 6,58 pounds per person
service protects the public health and from or incidental to municipal, per day, an increase over the 2013 rate
environment. A city can choose to community, commercial, institutional, of 6,33 pounds. During this period,
operate its ovcin garbage collection and and recreational activities including the state's population increased Z,g
disposal system or grant a franchise to garbage, rubbish, ashes, street percent,
a private company (or companies) to cleanings, dead animals, abandoned
handle those tasks, autos, and all other solid Waste other
than industrial solid Waste. According
Waste generation is a function of tWo to the Texas Commission on
variables - population and economy Environmental Quality (TCEQ), Texans
HOW CITIES WORK • � O • zoi7
Texas Total and Per Capita for MSW Landfill Disposal
,�a : - - - , . . . . .
Did You Kno�w?
ao ` I , � �� � �� Texas cities have been authorized to provide,
� � . - � � � � or contract vciith a private company to provide
° �� 1#� ` - - � � � � � garbage collection services vciithin city limits
� ,{, ' � since s971. Texas la�w recognizes that this
8 � authority is important to preserve the public
� �-: - . . health and safety of all the residents of a
� � city. Uncollected garbage can easily result in
� ���� � . various health problems. This lavci routinely
� � comes under attack from certain groups, but
� the bottom line is that timely, efficient, and
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ . effective garbage collection through city
� � � � � �;, � � � � � � � � service prevents problems from occurring.
_ £ r =_£__= _ __ _ , _ _ __. Open piles of garbage attract disease-
��+�+•.�.n�+�o.�� • -P.� caa,��,vo��i � carrying rodents and insects and often Wash
- - - - � � into drainage systems vcihere they contribute
Source:TCEQ, Municipal Solid Waste in Texas:A Year in to floods and vvaterborne disease.
Revie�w - FY2o14 Data Summary and Analysis (October 2015)
Cities have statutory authority to offer 1g6o-2o13 Recycling
recycling programs to their citizens. � of Municipal
Recyc�ing helps reduce the production ��� ' Solid Waste
of solid vciaste that must be disposed ,., -� (MSW)in
of by a city and reduce the costs of . ,A "" �s - the United
operating a municipal solid vciaste � � � ��` �� � States
disposal system. Recycling may also - �" �"� � �
create more jobs than disposal. Of �c r, � ""
'^ _�•, t Source:EPA,
COUYS2, statevvide recycling mandates � �� _ Advancing
vvouldn't take into account the various � .t,, �^�� Sustainable
�- � � i� - Materials
factors that make different arts of � -� �,� ��,ti '.'TM
p �_ Management:
Texas unique. Recycling should IJe . „ ' zol3FactSheet
implemented locally IYl a vciay that IS . . , , ,,,;ti �y�, �y� i,�yp �yy5 � � ��a �� Uune 2oi5)
appropriate for each city. �r .�. �„�,,,,,,�K.,,:fw„�„ r+ N,.rrm r:��,i.�r.q
Where Does It Go After I Place It at the Curb?Hovci Much Does This Service Cost?
After household garbage is collected, it often goes to a facility kno�wn as a transfer station,v�here�waste is consolidated into larger
loads for shipment to its ultimate destination: a landfill or a Waste-to-energy plant. Recyclables go to processing facilities vvhere
they become ravv materials for ne�w products.
In 2013,52.8 percent of municipalsolid Waste generated in the U.S.vvas ultimately disposed of in landfills;l2.g percentvcias disposed
of through vciaste incineration�with energy recovery;and 34•3 percent Was recovered for recycling or composting.
According to data collected by the National Solid Wastes Management Association, the typical U.S. monthly household bill for
vvaste collection in 2003-04 ranged betvveen$12 and$2o per month.Collection and disposal costs have gone up in some commu-
nities for various reasons inc�uding the rising costs of fuel and equipment,as�well as the rising costs of comp�ying vvith nevv envi-
ronmental regulations. Despite these increases, residential trash collection and disposal is still a bargain for U.S.consumers vcihen
compared to other utilities and services like cellular phone and cable television service.
Sources:
EPA.Advancing Sustainable Materials Management: zoi3 Fact Sheet Uune zoi5)
National Solid Wastes Management Association,ResidentialTrash Collection:An Essential Service at a Bargain Price
HOW CI I I�S WORK � � � • zoi7
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Streets and Traffic With this activity sometimes comes a detrimental
effect on public safety, traffic floW, city infrastructure,
and efficient city administration. Major vciater lines have
Citizens expect to travel easily from one place to another, been breached during excavations, Traffic in many
They vciant their drive to vciork to be problem-free. A city's cities has become so heavy and ensnarled due to
public vvorks department makes that possible, Public vvorks activities in the ROWs that the stories have been front-
employees are constantly striving to keep driving conditions page nevvs, Other cities have experienced the cutting
safe by building, maintaining, and repairing city streets. of utility lines. City streets are being barricaded and
In addition, public vvorks employees maintain and repair torn up repeatedly, significantly shortening their life
street lights, sideWalks, and other infrastructure, The task expectancies and suitability for traffic.
of funding the maintenance of city transportation facilities,
vvhich benefits the entire state's economy, is a difficult Additionally, some utilities have taken the position
one for Texas cities. Unlike many other states, Texas cities that a city cannot require a utility to relocate facilities
receive no state aid to offset the benefits that city streets in the ROWs at their ovvn expense for public vvorks
provide, Other states return a portion of vehicle registration projects such as drainage or street construction, That
fees or gasoline taxes to cities for this purpose, but Texas position clearly contravenes the public interest, as
doesn't. Hovciever, the Texas Legislature has granted Texas Well as established lavv, because the primary purpose
cities the authority to impose a street maintenance sales of streets and ROWs is transportation. The ability of
tax to be used to maintain city streets, Many cities have a city to adequately regulate activities in its ROWs is
adopted this tax, paramount to the safety of residents.
Right-of-Way Authority and Utilities Right-of-Way Compensation
Many Texas cities are experiencing an unprecedented level Texas lavci prohibits a city from allovciing the use of
ofactivityintheirstreetsandrights-of-vvay(ROWs>.Thisisthe its ROWs for free, Thus, cities collect compensation
result of an explosion in neva communications technology, in the form of rent (based on various state and
the grovcith of competition in the telecommunications federal statutes) from utility providers such as video,
industry, and the expansion of electric distribution lines to telecommunications, and electric companies, Some
nevvly developing areas, have attempted to characterize this rent as a "tax," That
characterization is incorrect. Rather, the rent is a cost
HOW CITI�S WOF2K • Z � • 2017
of doing business for a utility that uses a city's property, Houston, San Antonio, Austin, Abilene, and several others,
(Just as a utility Would have to rent property or obtain an Beginning in the early sggos, these cities Were required to
easement from a private landovcmer.) Utilities such as develop a storm vvater management program that vvould
satellite providers do not pay the rent vcihen they have no reduce storm vvater pollutants. Many other Texas cities
facilities on city property. In any case, the compensation are subject to the "Phase II" general permit, The Phase II
is authorized by lavv and provides significant revenue for program began in sggg and requires more than 400 of the
cities. state's smaller cities to develop storm vvater management
programs as vvell,At a minimum,the programs must include
public education and participation, detection of unWanted
Local Participation: Cities Help Pay for State HighWays discharges into sevciers,construction site storm vvater runoff
controls, and pollution prevention measures. In addition,
The best vciay to describe "local participation" is to use a cities operating under the Phase II permit must issue
quote from a state document titled"Background and Need an annual report to the TCEQ that includes information
for Partnering." This state document makes the case that regarding the status of compliance vvith permit conditions,
the Texas Department of Transportation (TxDOT) faces a an assessment of the appropriateness of best management
funding shortfall because groWth in population, vehicle- practices, a description of progress toWard reducing the
miles per capita, and total vehicle miles have grovcm at discharge of pollutants to the maximum extent practicable,
faster rates than grovcith in the highvciay system and grovcith the measurable goals for each of the minimum control
in revenue available for highvvay projects, Those trends, measures, and an evaluation of the program's progress,
according to the report, vciill continue, TCEQ, in compliance vvith federal lavv, reissued the Phase II
general permit for small cities in 2013.
To help address this dilemma "TxDOT is currently
suggesting to local agencies that they consider increasing AllTexas cities subjectto the NPDES program are required to
their participation in TxDOT projects in order to expedite identifyandapplyanumberofbestmanagementpracticesto
scheduling of locally desired projects." reduce storm vciater pollution.Obviously,the monetary costs
of implementation of this unfunded mandate are high. �
In short, "local participation" may become a "pay-to-play"
system imposed by TxDOT on local governments that vvish
to see highvvay projects in their area move forvvard. Cities
pitch in more than $soo million annually in cash and much Municipal Drainage Utilities
more in right-of-vciay donations and in-kind services, In
addition, the state gasoline tax paid by cities accounts for As a means to protect citizens from the devastating
many more millions of dollars paid by cities for the state effects of flooding and to offset the costs of unfunded
transportation system, federal storm vciater mandates,the Local Government Code
authorizes Texas cities to establish municipal storm vciater
drainage utilities. The utilities are generally funded by fees
FEDERAL STORM WATER MANDATES AND MUNICIPAL on properties that are benefited by the improvements,
DRAINAGE UTILITIES The fees must be nondiscriminatory and must be directly
related to drainage,
Federal Storm Water Mandates
In 2003,the Texas Legislature enacted a lavv that exempted
During rainfall, storm vvater runs off impervious areas such state colleges and universities from paying municipal
as paved streets, parking lots, and rooftops, The storm storm vvater utility fees. The rationale for that exemption
vvater contains pollutants that may adversely affect vciater (presumably) Was that a taxpayer-funded entity shouldn't
quality, Thus, the federal Clean Water Act requires cities be required to pay a fee to another taxpayer-funded
to obtain a permit from the United States Environmental entity, In 2007, private universities sought and obtained the
Protection Agency (EPA) before allovciing the discharge same exemption. The exemption of private colleges and
of storm vciater from a storm sevcier system into rivers and universities has had detrimental effects on some cities,
lakes, In Texas,the EPA has delegated the administration of These private entities benefit from the flood prevention
the storm vciater permitting program(knovvn as the"National and storm vvater control provided by storm vciater utilities,
Pollution Discharge Elimination System" or"NPDES")to the and both public and private universities generally have very
Texas Commission on Environmental Quality(TCEQ), large areas of impervious cover that contribute to runoff.
The exemptions have resulted in a cost shifting to residents
Most medium and large cities in Texas currently operate and businesses,
under a "Phase I" permit. These cities include Dallas,
HOW CI I I�5 WORK • � 3 • z017
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T H E G R O�V I N G - �I�� ��� D FO R �
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WATER AN D WASTEWATER
SERVICES � �
The popu�ation in Texas is expected to grovv to 5o million Many vvater utilities in Texas vvere buiLt decades ago. Some
by 2070. AdditionaLLy, by 2070, municipal vciater use is systems have come to the end of their useful Life span,
expected to constitute the highest demand of all vciater and upgrades may no longer be sufficient. Some cities
users. Providing safe, clean, and re�iable drinking vciater to are even faced vvith having to compLetely rep�ace these
meet this demand presents a chaLLenge for Texas cities. essential utilities. Upgrading or replacing a vvater and
Investments in drinking vvater and vvastevvater systems vvastevciater system is an extremely expensive undertaking
protect public heaLth, aid in protecting the environment, that requires the commitment of �arge sums of capital
provide fire protection,and ensure that there is an adequate investment. Hovciever, the return is generally vvell vvorth the
�water supply to support the state's gro�wing population, �arge expenditure.
businesses, and industries.
MunicipaLvvasteWatertreatment � �
Adequate vciater suppLy is often a determining factor in plants prevent bi«ions of gallons _ .
economic deveLopment opportunities. Businesses and of pollutants from reaching our _ � �.�_
industries are going to choose locations vvith a stable and rivers and lakes each year. In ; � � � _
sufficient�water supply over those states or regions�without addition, the provision of safe � __�_�
quality vvater suppLies. drinking �water to our suburban � � _
areas has alloWed our state to � � �_ �_�
A recent vciastevvater survey found that America's drinking grovci at unprecedented levels.
vvater systems alone vciill have to invest up to $322 billion
over the next 2o years in order to keep up vvith the grovving Unfortunately, many Texas cities are struggling to keep
demand for drinking vvater and the nation's aging drinking up vciith the costs of complying vvith increasingly stringent
vvater infrastructure. Over the next decade, Texas cities federally and state mandated regulations. The budget
vvi« have to expend millions of dollars on vvaste and pressures associated vvith meeting these nevci standards or
vvastevvater systems to keep pace vvith the tremendous facing stiff fines from regulating agencies often force cities
population grovvth in Texas. In addition to meeting the to delay needed expansion of their vciater utility systems. �
grovving demands for vvater services and replacing aging
infrastructure, the investment is aLso necessary to ensure
compliance vvith the federa«y-mandated Clean Water Act
and Safe Water Drinking Act.
HOW CITIES WORK • � 4 • zoi7
TEXAS �r Population Projections
50,000,000 46,323.725
45,000,000 41,g24,167
40,000,000 37,732,422
33,712,020
35,000,000
29,650,388
30,000,000 25,145,561
z5,000,000
zo,000,000
15,000,000
io,000,000
5,000,000
0
2010 2020 2030 2040 2050 2060
2oso population is the official population count from the U.S.Census Bureau
zozo-2o6o represent projected population used in the zolz State Water P�an.
WAT E R D E M A N D � Projections
12,000,000
so,000,000
8,000,000
� IRRIGATION
6,000,000 � LIVESTOCK
� MANUFACTURING
� MINING
4,000,000
� MUNICIPAL
� STEAM ELECTRIC POWER
2,000,000
0
2oso 2020 2030 2040 2050 2060
Water demand projections for the livestock and mining vvater use categories
are simi�ar enough to be indistinguishab�e at this sca�e.
Source:Texas Water Development Board, State and Regional Population Projection for 2020-2070
HOW CITIES WORK • Z 5 • zoi7
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The heart of the vciater conservation issue is that, vvhile including municipal BMPs, vcihich are available at
everyone agrees that vciater conservation is important for vvvvvv.savetexasvvater.org.
Texas, city officials have traditionally resisted the imposi-
tion of a uniform, statevvide program that does not take Another conservation issue relates to mandatory conser-
into account the needs,financial and otherWise,of different vation Water rates. Cities have the exclusive authority to
parts of the state. set vciater rates vciithin city limits. Though there has been
proposed legislation in the past related to vciater rates, no
In past years, the legislature has enacted numerous bills such legislation has passed, The ability to set vciater rates
related to statevciide vciater conservation standards. The remains vciith each city's governing body, vcihich comports
requirementthatcitiesdraft,implement,and submitdrought vvith the Texas Municipal League's members'vievci that local
contingency and vciater conservation plans comes from control is best.
bills passed by the legislature in recent years, Additionally,
the legislature created the Water Conservation Advisory In recent years, bills have passed requiring that the
Council(WCAC) tasked vciith, among other responsibilities, Texas Water Development Board (TWDB) and the Texas
developing numerous Best Management Practices(BMPs), Commission on Environmental Quality(TCEQ)develop a uni-
form, consistent methodology and guidance for calculating
HOW CITIES WORK • � � • zoi7
Water use and conservation to be used by a city in develop- budgeted to pay for fixed or infrastructure costs and in
ing vciater conservation plans and preparing certain reports certain cases, to pay off debt. In some cases, the debt vcias
required by state lavv. The methodology and guidance issued to finance nevv vciastevciater plants or vciater-related
include: (1> a method of calculating total vciater use, includ- projects.
ing vciater billed and nonrevenue vciater used; (2) a method
of calculating Water use for each sector of Water users; (3) Each city has a unique perspective and resulting priorities
a method of calculating total vvater use by a city in gallons for expending resources to save vciater, Climate, population
per capita per day; (4) a method of classifying vvater users density, availability of vciater resources, and the ratio of
vciithin sectors; (5) a method of calculating vciater use in the industrial to residential vvater use in the city are but a fevci
residential sector that includes both single-family and mul- of the various factors that affect conservation decisions
tifamily residences, in gallons per capita per day;(6)a meth- across the state, Water conservation continues to be a
od of calculating vciater use in the industrial, agricultural, major issue in many cities in Texas, Cities should continue
commercial, and institutional sectors that is not dependent implementing the vciater conservation strategies appropriate
on a city's population; and (7> guidelines on the use of ser- for their specific community. �
vice populations by a city in developing a per-capita-based
method of calculation, including guidance on the use of `Interim Charge House Natura� Resources: Determine the
permanent and temporary populations in making calcula- sources of vciater used by Texans in the production of food
tions. and fiber, and, and determine the impact of crop insurance
requirements on producers. Uoint charge �with the House
The resulting "Guidance and Methodology for Reporting on Committee on Agricu�ture & Livestock)
Water Conservation and Water Use" is intended to guide ���,.,.��5.,.,
vciater providers through the process. This guidance is avail- ��� �t����'���
able at http://vcivvvci.tvcidb.state.tx.us/conservation/doc/
SB181Guidance.pdf.
,�.
While vciater vvas one of the main topics of the 2013
legislative session, feWer Water-related bills Were filed
in the 2015 legislative session, Leading up to the 2017 �
legislative session, the only interim charge relating to
vciater conservation vcias for the House Natural Resources Cities offer a variety of different programs
Committee and the Committee on Agriculture and to encourage vvater conservation.
Livestock to examine current vvater delivery methods and
vciater conservation goals for agricultural use and evaluate For example, the City of San Marcos offers:
vcihether there are more efficient and effective vvater-usage
management practices that could be employed in the Tiered Water Rate System
agricultural industry,` Water rates increase as consumption
increases,
Water restrictions, conservation education, and higher
prices have achieved the result of Texans using less vciater. Rebate/Incentive Programs
According to the League's survey, the average monthly The City of San Marcos provides rebates
residential consumption is decreasing each year (vvith a to those customers vvho purchase and
fevv outliers), averaging a total of 6,404 gallons in 2016 install qualifying vciater conserving items,
compared to 8,581 in 2002. Which method of addressing Irrigation System Evaluations
vciater shortages—restricting usage, repairing/replacing Free irrigation system check-ups for both
inefficient infrastructure, or scarcity pricing—is the best? residential and commercialvciater customers.
Whatever a city council decides is right for its city is usually
the correct method. In other vvords, local control is the best Indoor Water Surveys
method. Free indoor vvater surveys to customers
Interestingly, one side effect of lovver use is a loss of vvho vciould like to save vvater and money.
millions of doLLars in anticipated revenue to some cities. City staff vciill evaluate your home or busi-
For example, the City of Wichita Falls has reported that ness to make sure you are using vciater as
conservation efforts have resuLted in Water revenue do�wn efficiently as possible,
nine million doLLars from fisca� year 2012-2oi3 to fiscal
year 2013-2014. Anticipated vvater revenue is generally Public and School Education Programs
HOW CITIES WORK • � ' • zoi7
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The Texas State Water Plan is designed to provide for the mately compiles the information to make the state vvater
orderly development, management, and conservation of plan.The most recent iteration is the 2017 State Water Plan,
vvater resources in the state, The plan is intended to provide vcihich vcias adopted on May Zg, 2016.
that sufficient vvater vciill be available at a reasonable cost to The 2017 State Water Plan tells us that our population vciill
ensure the public health, further economic development, continue its rapid grovvth. Texas' population is expected to
and protect the agricultural and natural resources of the increase more than 7o percent betvcieen 202o and 2070,
entire state. The State Water Plan is the culmination of from 29.5 million to 51 million, vvith more than half of this
a regional planning process that the Texas Legislature grovvth occurring in Regions C and H. Water demands are
established in s997. Every five years, 16 planning groups projected to increase less significantly, by approximately 17
- one for each regional vciater planning area - assess the percent betvcieen 202o and 2070, from 18.4 mi«ion to 21.6
projected population,vciater demands,and vvater supplies in million acre-feet per year. Texas' existing vciater supplies —
their area for the next 5o years, Each planning group holds those that can already be relied on in the event of drought
public hearings and meetings to develop its regional vciater _ are expected to decline by approximately 11 percent
plan, vcihich lists the vciater supply projects needed to meet betvcieen 202o and 2070, from 15.2 million to 13.6 million
their vciater shortages. acre-feet per year. Water user groups face a potential
Once a regional vvater p�anning group adopts its region- Water shortage of 4.8 million acre-feet per year in 202o and
al vciater plan, the p�an is then sent to the Texas Water 8 9 million acre-feet per year in 207o in drought of record
Development Board (TWDB) for approval. The TWDB ulti- conditions.
HOW CITIES WORK • � � • zoi7
The 2017 State Water P�an provides a roadmap for hovci to The information in this plan is critical to ensuring that Texas
address the vciater needs that accompany our expected has adequate and affordable vvater supplies both novci and
grovvth by identifying vciater management strategies and in the future. If strategies are not implemented, approxi-
their associated costs for communities all across the state. mately one-third of Texas' population vciould have less than
Approximately 5,50o vciater management strategies that are half the municipal vciater supplies they vvill require during a
recommended in the 2017 plan vvould provide 3.4 million drought of record in 2070. If Texas does not implement the
acre-feet per year in additional vciater supplies to vvater user state vvater plan, estimated annual economic losses result-
groups in 202o and 8.5 million acre-feet per year in 2070. ing from vvater shortages vciould range from approximately
The estimated capital cost to design, construct, and imple- $73 billion in 202o to $151 billion in 2070.
ment the approximately z,400 recommended vciater man-
agement strategy projects by 207o is $62.6 billion. Water For more information on the 2017 State Water Plan as vciell
management strategies can include conservation, drought as resources on hovci to get involved vvith your regional
management, reservoirs, vciells, vciater reuse, desalination planning group and financial assistance for cities, visit the
plants, and others. Texas Water Development Board at
http://WWW.tWdb.texas.gov/. �r
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HOW CITIES WORK � � � � zoz7
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With the exception of construction, In fact, it can be argued that funds flo�w the other vciay—from local entities to the
repair, and maintenance of the state state. In recent years, the Texas Department of Transportation received almost
highvciay system, infrastructure in $soo million annually in revenue called "Local Participation" from cities alone.
Texas is primarily the responsibility of (Other entities provide local participation funds as vvell.) This is city money that
local governments. Streets, bridges, helps pay for improvements to the state highvvay system.
drinking vvater systems, and vvaste-
�water facilities are funded by local
entities. Although some loans and Chart 1
very limited grant funds are avail- Cost-Saving Measures
able for some vvater projects, the fact Percent of All Cities
remains that city streets, vciater sys-
tems,and vciasteWater utilities are built 2007 2oog 2011 2012 2013 2014 2015 2016
and maintained vvith city-generated Hiring freeze during
revenue.
past tWo years 4.g% 8.7% 17.g% 15.8% 7.6% 4�4� 3�8� 2 9�
Texas cities are on their oWn vvhen it Wage freeze during
comes to paying for these infrastruc- past tvcio years 2,g% 5,1� 23•$� 16,2� 5�9� 4•2� 3•4� 3•5�
ture projects. The paucity of state aid
to Texas cities is vciell-documented. ELiminated services 1.4� 2.2� 2.9� 34� 1.7% 1.5% 1.3% 0.6%
While most states (including virtually
all of the most populous states) pro- Laid off empLoyees 5.g% 6.6% 10.7% 10.2% 4.5� 3 8� 3 0� 14�
vide substantial financial assistance Postponed
to cities to help pay for infrastructure, capital spending 49�4� 50•0� 52•4� 43�1� 36•9� 29�7� 36•0� 28�7�
such grant programs generally do not
exist in Texas.
���", � au§4:; '�;
k � . . _� ���IIAII� ���i-F� ��� � s � _.
HOW CITIES WORK • 3 O • zoi7
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Much of the local revenue
that is used to fund infrastruc- Chart 2
ture projects comes from If Revenues Remain Constant or Diminish,What Will Cities Do?
the property tax, That fact percent of All Cities
raises an interesting ques-
tion: if the Texas Legislature
passes legislation that limits First Response 2007 2oog 2011 2012 2013 2014 2015 2016
or caps municipal property Postpone capital
tax revenue, vciill municipal spending 395� 45��� 22.6� 24.6� 24.1� 27.6� 28.5� 294�
investment in infrastructure Impose hiring freeze Zg1% 18.1% 423� 327� 32.1� z66% zzo% 16.4%
decrese?
Raise property tax io.o% Zo.6% 6,2% 4.2% 8.2% 7,6% 8.0% 6,6%
The ansWer is yes.
The evidence is in the Texas SimiLarly, vvhen asked to identify city streets and bridges. Those spend-
Municipal League's biennial hovci they vvould respond to dimin- ing cuts vviLL harm regional economies
fiscalconditions survey.When ishing revenue in future years, city and the state's economy.
asked vcihich cost-cutting officials aLmost alvciays select "post-
measures vvere employed pone capital spending" as the Without municipal investment in the
to balance the current-year top choice. (Please see Chart 2.> infrastructure needed for industri-
budgets, cities consistently al and commercial activity, the state's
identify "postponed capital Here's the bottom Line: Any legislation job creation and economic grovvth vvill
spending" as the most com- that vvould place nevv restrictions on be severe�y damaged. And the most
monly used tactic. (Please the ability of cities to generate prop- certain vvay to limit the construction
see Chart 1 on page 30.) erty tax revenue vciill result in reduced and maintenance of infrastructure is to
spending on infrastructure, particularly restrict the groWth of tax revenue. *
HOW CITIES WORK • 3 � • zoi7
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Ensuring that citizens have a safe city in �which to live and services;
vvork is of the utmost importance to the state. Cities strive • border security;
to promote the hea�th, safety, and vcielfare of a�l of their • hazardous materials response;
citizens. Unfortunately, providing a high level of public • response to pandemic disease and other public
safety does not come cheap. health disasters;
• drug task forces; and
For most citizens, it is almost an automatic response to turn search and rescue, along vvith a host of other
to government in times of need. In cities, that translates to activities.
spending tax dollars on public safety services.Cities expend
considerab�e resources anticipating vcihat the public at As the list illustrates, police,fire,and EMS are novv expected
large generally doesn't vciant to think about—emergencies. to protect our homeland and be ready to respond to
terrorist attacks vciith chemical, biological, and vveapons of
Public safety inc�udes traditional fire protection, such as mass destruction.That's a tall order, considering the cost of
fighting house fires; traditional police protection, such as standard public safety training and equipment.
officers patrolling streets for traffic violations and criminal
activity; and responding to numerous g11 calls. For example, it costs approximately$2,00o to provide basic
protective equipment for a single structural firefighter. Of
Hovvever, in today's vciorld, the task of providing public course, the equipment needed to enter a burning building
safety has expanded as threats have increased and citizen is specialized and much more costly than the standard
expectations have grovcm. Public safety novv encompasses: issue equipment.(See firefighter diagram.) In addition to the
expensive equipment necessary for firefighters to safely
• hurricanes and other natural disasters; carry out their jobs, they must also receive continuous
• preventing and responding to terrorist threats and training.This training often comes vciith a high price tag and
attacks; must be supplemented on an ongoing basis. yt
• federal homeland security mandates;
• emergency medica�services(EMS)and ambulance
HOW CITIES WORK • 3 � • zoi7
Helmet Texas Cities Assist vcrith
Median Salary for Police Disaster Response and
Officer and Firefighter and hood Relief
Police Patrol Officer: $381
$6o,z7o.00 plus Over the past several years, cities
benefits annually have played a major role in disaster
response, relief, and rebuilding
Firefighter: efforts as hurricanes, Wildfires,
$46,870.0o plus and tornadoes hammered Texas,
benefits annually According to Texas Rebounds,
Source: US Bureau of Labor . , ,� "PASS"alarm to a publication of the governor's
monitorfirefighter office, Hurricanes Ike and Dolly
While deployed caused the City of Houston
to sustain local government
, . �, $495 infrastructure damages of more
� � ' than $Zoo million. The City rushed
Firefighter pager ` � �� to repair vital infrastructure in
$459 '� '�� � the days follovving the storm,
'� -� � dedicating countless resources
t. to restoring necessary services
� � to citizens, The City of Galveston,
. �
�{ also hard-hit by Hurricane
� � - . Ike, expended $50o million to
-ti � repair and replace housing, city
Self-contained r} ` I buildings, and utility infrastructure,
breathing apparatus � � not to mention millions more
$4,268 � � to repair roads, revitalize the
- business community, and much
more, Some of these expenditures
��� � -r vciere ultimately reimbursed by
� ' � ` the federal government, but the
� � ' �` ability of cities to react quickly
Heat-reflective, �. � �
� � - i , � and decisively during and after a
fire-resistant coat � --� �-�f �� � natural disaster is an invaluable
$1,200 ;� � - service, In 2013, the City of West
� , � � }
t�� � responded to a fertilizer plant
�� � explosion that devastated its city,
� � �. The City not only paid the price
. , ~� of emergency response in dollars,
Gloves � �� - � but also lost many of its volunteer
- � , firefighters, one being the city
$87 - � secretary. Disasters like the West
�:� . explosion can lead to legislation
Heat-reflective, � , that seeks to impose additional
fire-resistant pants mandates on cities, but vciithout
$600 �;-�, commensurate funding, In 2014,
. ���+- � cities like Dallas have already been
� -� asked to assist With the costs of
Puncture-proof, Ebola response. The costs for
heat-resistant boots these types of emergencies vciill
�� ��� continue to fall on cities because
$358 � urban populations are often
the hardest hit by public health
Total cost of Firefighter Equipment$7,848 emergencies
HOW CITIES WORK • 3 3 • zoi7
AN N E�ATION :
IT ISN'TA FOVR-LETTER WORD
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Texas cities, unlike the cities of other states, don't receive Texas cities are the fastest-groWing in the United States.
general state financial assistance or state revenue-sharing. Evidence of the importance of unilateral annexation exists in
They don't ask the state to help fund the facilities and other states Where cities do not have that po�wer.The broad
services on vcihich regions and the entire state rely, But povver of Texas cities to annex has permitted cities in Texas
cities do ask that their authority to take care of themselves to share in the benefits of grovvth in the surrounding areas.
not be eroded. The povver to annex is one of those key According to many national authorities, this annexation
authorities,and to lose it vvould not only be very detrimental povver is the primary difference betvcieen the flourishing
to cities, it vciou�d also be detrimental to the economy of the cities of Texas and the declining urban areas in other parts
entire state. of the nation. If San Antonio, for example, had the same
boundaries it had in Z945, it vvould contain more poverty
Nonetheless,annexation povvers have routinely come under and unemployment than Nevciark, Nevv Jersey. Without
attack in the legislature. The residents of unincorporated annexation,Texas cities vvould languish economically,as do
areas rarely favor being brought into a city invo�untari�y, northern cities vciith limited or no annexation povcier.
and any city that has gone through a major annexation is
vvell avciare of hovv controversial the process can become, A 2003 report issued by The Perryman Group, a vvell-
Rural landovcmers and others have regularly turned to their respected economic and financial analysis firm, shovcied
legislators for relief from city expansions, vciith the result that overly restrictive annexation policies vciould harm
that bills to curb unilateral annexations have surfaced in the Texas economy by reducing gross state product,
every session for the past 4o years. personal income, sales, employment, and population. The
HOW CITIES WORK • 3 4 • zoi7
study concluded that voter approval of annexations vvould Over the six decades from Z95o to 2oio, Detroit suffered
essentially eliminate annexations and thus severely damage a popuLation loss of 61 percent. Ba�timore's popu�ation
the state's economy. declined 35 percent. Cleveland lost 57 percent of its
population and St, Louis lost 63 percent of its population,
The Perryman Group report concludes that restrictions on Without the ability to take in areas of grovcith, those cities
annexation vciould mean that "the entire character of the died.
Texas economy vciill be changed in a vvay vcihich notably
limits its capacity to support future grovcith and prosperity."
If you think those numbers are exaggerated, just look at
vvhat happened to four once-great American cities that Did You Knovci?
vvere prevented from grovciing. In Z95o, Detroit, Baltimore,
Cleveland, and St. Louis �were the fifth, sixth, seventh, and San Antonio's annexation of land on the south side
eighth largest cities in the nation in population. All four of the city set the stage for Toyota's decision to
of them vciere prevented from expanding their city limits, build a nevv manufacturing plant in the city.
Sixty years later, in 2010, all four cities had about the same
number of square miles they had in 1950. �
Land Area Sq. Mi. Population Rank City Population Population Median household
s95o 2oso s95o 2010 1950 2oso Change Income in 2013
Detroit 140 140 5 20 1,84g.568 713,777 -61% $26.325
BaLtimore 79 81 6 24 g49,7o8 62o,g61 -35� $41,385
C�eve�and 75 7$ 7 48 g14,8o8 396,815 -57� $26,217
St. Louis 61 62 8 61 856,796 319,294 -63% $34,582
In contrast to the four cities that experienced a death spiral due to annexation Limitations, look at vcihat happened in four
Texas cities betvcieen s95o and 2010 vciithout similar restrictions on their ability to grovv.
Land Area Sq. Mi. Population Rank City Population Population Median household
1950 2010 Zg5o 2010 Z95o 2010 Change Income in 2013
Houston 160 600 14 4 596,163 2,00g,453 252� $45�010
San Antonio 70 451 25 7 4�8,442 1,327,4o7 225� $45•722
Dallas 112 341 22 9 434,452 1,197,816 176% $42,846
Austin 32 297 73 14 132,459 7a9,390 497� $53,946
Certainly other factors vciere at play, but it seems clear that annexation authority plays a big role in the success of a city(and
therefore the state). More recently, the League commissioned a study of only southern states vciith similar demographics to
Texas. That study found that, among a comparison set of 13 states, three key findings emerge:
1. States in Which city councils decide Whether to annex have seen their cities groW faster over the past 25 years, both
economically and demographically,than other states that limit annexation,
2. In terms of annexation activity (as measured by change in city size) states in vcihich city councils decide vvhether to
annex have actually seen their cities physically grovci more slovcily from sggo to 2010 than other states that limit annex-
ation,
3, When measured by bond ratings tied to the issuance of general obligation bonds,states in vvhich city councils decide
vcihether to annex have better ratings than other states that limit annexation,
In short, municipal annexation is an engine that drives the Texas economy, and turning off that engine vciould be devastating
to the state's financial future. �
HOW CITIES WORK • 3 � � zoz7
motor vehicle sales tax revenue vciith cities.A survey conducted
by the National League of Cities found that cities across the
Current lavv provides numerous protections for rural nation receive 13 percent of their revenue from state aid.
landovvners on the outskirts of cities. For example,a city
is prohibited from annexing property that is appraised 3. In Texas,there is virtually no state aid to cities.Take a look
as agriculture or vvildlife management unless a city at a municipal budget and try to find a revenue �ine item called
first offers a "non-annexation agreement" to the land- "Transfer from State" or"State Financial Assistance."While such
ovvner. Many landovuners have accepted the agree- line items are common in other states, you vvon't find them in
ments, vcihich provide that the land vcion't be annexed Texas.
unless development of the property commences. If
a landovvner declines an agreement and is annexed, 4, But Texas has allovc�ed cities to annex.Cities have used that
both the Agriculture Code and the Local Government authority to bring adjacent areas into the city and into the system
Code prohibit a city from enforcing most regulations through Which cities finance the services and facilities that
that vvould interfere vvith farming, ranching, and certain benefit the region and state.
other operations.
5.To erode oreliminate municipalannexation authorityvciithout
considering the issues of municipal revenue and intergovern-
mental relations Would cripple cities and city taxpayers. If
Why Is Annexation Authority So Critical to the Texas annexation authority Were e�iminated,Texas Wou�d become the
Economy? only state in the nation that denies both state financial assistance
and annexation authority to its cities. Opponents of annexation
To understand the ansvcier to this question,one must look to cannot point to a single state that has restricted annexation
the most basic elements of municipal finance and intergov- authority Without implementing fiscal assistance programs under
ernmental relations. Which the state helps cities pay for the infrastructure on Which
the entire state depends.
1. Cities (city taxpayers) pay for a vcride array of services
and facilities that benefit entire regions and the entire
state. For example, basic activities such as mail delivery � �
couldn't take place if cities didn't construct and maintain �� � �
i��q5.
streets. The economy of Texas vciould crumble�without city �s ' � �'� �� � �.«�
investments in the basic infrastructure upon vcihich business ��:+y�f� ,� � �s � � �
and industry rely. Cities are centers of employment, health �-� �� � � � J
care,entertainment,transportation,and merchandising used �"''-•' ��'' ✓�" �
, �, ,-0 . �#�s
by non-city-residents throughout the region.This means that �� �• � - � �` .•- � � -
�► ,�: �c-,. �-.. , } '4
cities must support public safety services and a physical f � „ � � �����-� '�� �
; �:�.:- , ����-� �
infrastructure sufficient to serve a daily influx of visitors from ;� � �� �- �
-. � � �� �
throughout the metropolitan region. � ��,,� ..- x=�'� �'� ��•�
� � �� ��! �''` .� . �. i* s,
.�� . ��'� =',
2. Most states recognize that cities should be assisted in � � � � .��x � �� �� � '� �"
making these expenditures that benefit entire regions and �'� . � �
�' � { r 'c��'"'� .
the vcrhole state.Virtually every state transfers state-gener- ��� � - _ - � �� � •,� �'. , , .Y � "� �. �
ated revenue to cities to assist in the provision of services _�r�-.. , . ` - ��� �
� _ .`��.. � �J..
and facilities. They recognize that cities (city taxpayers) are �_ ., � _�.� � ' �� � �'�'���.� ,.- f �- .
� x�� .
making expenditures that benefit all residents of the state. '•` �- �.r�r{ �} �� M1 ��� - '�
� ��"�� �.-:-f� .. �� � � `� � ���
For example, most populous states give a portion of state � .• � f ��� �� {�'•. _j . # � ��
gasoline tax revenue to cities to assist in street construction ti�?�.� �,«- - ` '�'.��_ �� ��
�
and repair. Many states share vehicle registration revenue or �_- -Y��; - ' --!� ,' TM:1������,Kr • - '�}
� -�- �,. ��'� ;#+ � �
1���'�f �� ,� �. ` �� 1�
. .,� . } . �h � �
HOW CITIES WORK • 3 � • zoi7
; ,�� . +.� rk�4
� ��' * - '
� �. I� c J°x +
� ��� �. - �` Yi - � �. � �LL� �'
� � � -.� � �� ''�` .
� � � • - - • - '��.
� �
� � � '� .� ��Y,�_
Zoning is the division of a city into districts that permit requirements of the International Residential Code, have an
specific land uses, such as residential, commercial, appearance and value similar to nearby homes. Many cities
industrial, or agricultural. Zoning authority empovvers a take advantage of these provisions to protect property
city to protect residential neighborhoods, promote values and the safety of residents, vvhile at the same
economic development, and restrict hazardous land uses time offering viable housing alternatives for lovcier income
to appropriate areas of the city. It is designed to reduce families. "Manufactured and modular housing provides a
street congestion; promote safety from fires and other solution to affordable housing in appropriate areas under
dangers; promote health; provide adequate light and air; consciously adopted, vciell-thought-out regulations," says
prevent overcrovciding of land; and facilitate the provision of David Gattis, former deputy city manager in the City of
adequate transportation, utilities, schools, parks, and other Benbrook. The Texas Municipal League is not opposed to
public services and facilities. this type of housing, but strongly advocates the authority of
cities to retain local control over vcihen,vvhere, and hovci this
As vvith all issues that affect a city's residents, the povver to type of dvcielling is installed. �
zone is best exercised by the level of government closest
to the people. For example, a person from a small tovcm in 1
the Panhandle cannot possibly knovci vvhat type of zoning is
best for a large coastal city. � � � � � � �
Chapter 211 of the Texas Local Government Code contains � � � ' ' ��
many procedural requirements that must be follovcied � � � ' � ' � ��
vvhen zoning property, including strict notice and hearing � � ' � � ' � '
provisions. The requirements ensure that residents of the � � � �
city and affected neighborhoods have a strong voice any � ' � ' � ' � �
time a zoning change is considered. In addition, Chapter ' � � � ' ��
211 provides for the creation of a planning and zoning � ' � � � � ' � � ' � �� �
commission to make recommendations on the adoption of
initial regulations and to consider proposed amendments. � � � ' � � '
. . -. . .. - . . . .-
Also, a board of adjustment may be appointed to hear _'� _� . _ �_ . � � � �_ �
requests for variances from the regulations. '
.- . . . .- . -. .
Zoning authority is generally demanded by the residents of � �� �' � ' �'
cities, and citizens,through neighborhood and preservation � ' � � � � �
groups,vvho support it vvholeheartedly. ' � ��
. . . . .
In essence, zoning grants a city the authority to prohibit � � � � ' � � � �
detrimental uses and to promote beneficial uses. For � � � � �� � � � '
example, zoning authority allovvs a city to prohibit lead- � ' � � � � �� ' � ' � �
smelting plants or junkyards from being located in or near �' �
residential areas, thereby protecting the quality of life and �
property values for residents. Without zoning authority, the � ' � ' � � ' � � �
property values in a city vvould certainly drop. � �' � ' � � ' � � ' � �'
-. . . -. . ..-
. . .. - . .-
. . - .. .. . . .- . -. .
The Texas Manufactured Housing Standards Act allovcis � � � ' �� � � � �� �
cities to regulate the location of "manufactured homes,"
. - . . - � . - -.
vvhich must meet federal construction regulations. The � � � ' � ' � � ' � ��
Texas Industrialized Housing Act a��oWs cities to require � ' � � ' �
that "modular homes," vcihich meet the more stringent
HOW CITIES WORK • 37 � zoi7
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Cities have various interests relating to hovv they and their After deregulation, MOUs and Coops retain that monopoly
citizens get electric service, hovci cities vvith municipally status, unless they choose—by a vote of their governing
ovvned electric utilities provide service, and the prices that body—to adopt customer choice, The reasons for allovciing
everyone pays for electricity, Cities also receive franchise MOUs and Coops discretion to retain their monopoly
fees from utilities that use their rights-of-vvay, and they status are many, but one of the most important is that
have original jurisdiction over the rates of investor ovvned MOU and Coop rates are governed by a city council or
utilities in their cities, board of directors—the members of vvhich are elected
by the customers, The city council or board of directors is
Hovci electricity is provided in Texas is complex and based therefore accountable directly to the customers they serve.
on many moving parts in an alvciays changing puzzle, The
follovving questions and ansvciers provide a "primer" on the IOUs are also governed by a board of directors, but they
issues facing cities in this area, are accountable to their shareholders, rather than their
customers. The rates of investor-ovvned transmission and
Note:See the article in this publication titled "Cities Refuse distribution utility (discussed belovv) are regulated by the
to Accept Utility Rate Hikes Without a Fight" to learn more PUC in a vciay that should—in theory—cover costs of
about hovv cities vvithout their ovvn electric utility keep rates operation and allovv for a reasonable profit,
reasonable for their citizens.
What is electric deregulation,and vcihy should city
What are the different vciays cities and their citizens get officials care?
their electricity?
In Zggg, legislation Was enacted to deregulate the portion
Cities and their citizens generally get their electricity in of the state that is served by IOUs. MOUs and Coops are
one of three vciays; (1) from a municipally ovcmed utility given the option to participate in the deregulated market
(MOU); (2) from an investor ovcmed utility (IOU); or (3) from by"opting in"to competition. Hovvever,to date no MOU has
a rural electric cooperative (Coop), Each of those providers opted in.
usually has a monopoly in the areas they serve, based
on a certificate from the Texas Public Utility Commission Prior to deregulation being fully implemented in 2002, a
(PUC), (Note; a fevci areas of the state are served by river single IOU performed all the things necessary to provide
authorities and municipal povver agencies.Also,vvith regard service to customers vciithin its designated service area.
to an IOU,only the transmission and distribution component In simple terms, the legislation "broke up" or "unbundled"
discussed belovci has a geographical monopoly in the investor ovcmed utility monopolies, Those utilities vciere
deregulated market.)
HOW CITIES WORK � 3 � • zoi7
divided up into different components; generation, market as one that has created lovver prices. For a number
transmission and distribution, and retail service, Some of reasons, that is questionable. It vciould also appear that
utilities sold one or tvcio of those parts of their business, MOUs aren't convinced, and that their citizens prefer the
vvhile others created subsidiary companies to run them. consistently lovcier prices and better service that they
provide, It's a case of"if it ain't broke, don't fix it," MOUs can
Generation companies make the povcier vciith povver plants, vciait and see if opting in to deregulation vciould really benefit
vvind farms,and other means,Transmission and distribution their customers. Also, an MOU that opts in is essentially
companies move the povcier from the generators to stuck vciith that decision. Further, opting into competition
other parts of the state vciith huge transmission lines, and vciould require an MOU to undertake the complex and
ultimately distribute it to the customers through smaller expensive process of breaking up its service into the
distribution lines. three components of the deregulated market (generation,
transmission and distribution, and retail).
While the generation and retail portions of the market are
novv deregulated, the rates of transmission and distribution What are recent criticisms levied against MOUs?
utilities are still regulated by cities and the PUC. That is
necessary because the companies that generate povcier Some MOUs have been criticized recently for transferring
must have a reliable vvay to get that povcier to the retail some of their profits to the city's general fund, Interestingly,
companies vcihich actually sell the povver to customers. even larger cities that transfer large amounts of revenue
have electric rates that are comparable to, or lovver than,
The retail companies are numerous and essentially IOUs serving the deregulated market,
speculate as to hovv much generation vciill cost them, They
then offer price plans to consumers accordingly. They In addition, cities may or may not charge their MOUs
are the ones vciith vcihich customers in a deregulated area franchise fees for the use of the city's rights-of-vciay. Thus,
interact.Customers can svciitch retail companies to try to get the transfer is often analogous to a franchise payment
the best possible rate. that the city vciould receive from an IOU that uses the city's
rights-of-vciay. In any case, it is currently up to each city's
Certain areas of the state—including the Panhandle, El council to decide hovci to handle transfers, Another vciay to
Paso, and certain areas in the northeast and southeast look at transfers is that they are very similar to the return on
portions of the state—are served by IOUs, but have not investment that IOUs give back to their shareholders. But in
been deregulated. Those areas are not a part of the main the case of an MOU, the "shareholders" are the taxpayers
transmission grid in Texas, so deregulation is impractical. of the city, Transferred revenue is used to pay for services
(police, fire, EMS, streets, and so on) that are used by the
Whether deregulation has been beneficial to cities and their customers of the MOU. The transferred revenue is used to
citizens remains the subject of heated debate. One thing keep property tax rates lovci, vcihich benefits the taxpayers
is certain; deregulation has changed the vciay cities in the served by the MOU,
deregulated market purchase povcier for city facilities; one
of the vvays cities and other political subdivisions do that is What are electric franchise fees?
by a process called aggregation. Aggregation means just
What it says; cities join together or "aggregate" to purchase Electric franchise fees are fees paid by IOUs or Coops (and
energy at a better price than they could obtain themselves, in some cases, MOUs that provide service in other cities)
(Note; state lavv also authorizes citizens to aggregate, but that use a city's rights-of-vvay to provide service, Both state
the logistics of that process have made it all but useless, lavci and the Texas Constitution provide that a city may not
Previous legislative efforts to allovci cities to automatically allovci a private entity to use city property for free.
bundle-up their citizens and negotiate on the citizens'
behalf have failed.) The most vciell-knovvn aggregation Some argue that franchise fees of any type are a "hidden
group is called the Texas Coalition for Affordable Povver, tax" on utility service. Of course, the municipal position is
vvhich represents more than soo cities. that the fees are authorized by state lavci, In fact, the Texas
Constitution prohibits a city from giving avciay anything of
Why aren't MOUs opting into the deregulated market? value (for example, the use of city property) to a private
entity. Thus, the city position is that the fees are nothing
Even though they are not required to do so, MOUs have more than "rental" payments for the use of city property. �
the discretion to opt in to the deregulated market. Many
state leaders continue to applaud the Texas deregulated
HOW CITIES WORK • 3 9 • zoi7
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Texas cities have a long history of participation in the Both PURA and GURA allovci for cities to be reimbursed by
ratemaking process for both gas and electric utilities in the utility company for their reasonable rate case expenses
the State of Texas. Prior to the enactment of the Public associated vciith participation in ratemaking proceedings, In
Utility Regulatory Act (PURA) in Z975 and the Gas Utility providing for the reimbursement of rate case expenses in
Regulatory Act (GURA) in Zg83, utility rates vvere set exclu- the statutes, the Texas Legislature has acknovciledged the
sively at the city level, vciith any appeals of municipal rate important role that cities play in protecting citizens from
ordinances decided in the courts. unreasonable utility costs, Because these expenses are
ultimately passed on to consumers by the utility, cities are
Currently, under PURA and GURA, cities have original alvciays cost-conscious. Cities must balance the cost of
jurisdiction over the utility rates vvithin their city limits, This participation in a ratemaking proceeding against the need
means that the Railroad Commission (RRC) and the Public to protect the interests of their residents. In prior cases,
Utility Commission (PUC) have original jurisdiction over gas hovvever, municipal participation has resulted in a net
and electric rates in service areas outside city limits and savings for ratepayers because the utility's rate increase
also vciithin the city limits of those cities that have ceded vcias reduced by an amount far in excess of the expenses
their original jurisdiction to the agency. In addition, the PUC incurred by the cities. Cities' participation in utility ratemak-
and RRC have appellate jurisdiction over rate ordinances ing proceedings has proven time and again to be a good
and orders of cities concerning electric and gas utility ser- value for consumers. �r
vice vvithin a city's limits,
Recognizing the important role cities play in the regulation City coalitions have found expenses like these vvhich
of utilities, hundreds of cities across the state participate utilities tried to pass on to customers:
in ratemaking proceedings at both the PUC and the RRC
in order to ensure fair, just, and reasonable rates, as Well ' Hotel expenses of nearly$1,00o per night for
as adequate and efficient services for the city and its resi- executives to stay at a Ne�w York City hotel.
dents, • Tens of thousands of doLLars vvorth of art for the
utility's office.
Historically, cities have formed coalitions to represent the ' Dinners in Ne�w York City, Dallas, and
collective interests of cities and their citizens before the Phi�adelphia restaurants costing more than
regulatory agencies and courts, By forming coalitions, cit- �20o per person.
ies have been able to present a strong voice for consumers ' More than $1.5 million in empLoyee "financial
for more than 3o years, This has served to reduce the costs incentives."
that cities and their residents pay for electric and gas ser- A private, investor-oWned utiLity is allo�wed to incur
vice, Cities' active participation in rate cases demonstrates expenses like those listed above, but the company
their concern for reliability, quality of service, and the pric- itself(i.e., its shareholders), not the utility customers it
es their citizens pay for gas and electricity. In numerous serves, shouLd pay for those costs. It's unreasonable
instances, vciithout city participation, rate increases vciould to ask to raise customer rates to cover these kinds
have gone into effect Without any party scrutinizing the
utility's application. of expenses, and cities are the first line of defense
against such requests.
HOW CITIES WORK • 4 O � zoz7
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Many states around the country are faced vvith huge to a majority of city employees in Texas. The reforms have
deficits in pub�ic vciorker pension plans. That has prompted stabilized benefits and lovciered city contribution rates,vcihile
lavvmakers in those states to seek large-scale reforms in ultimately using fevver tax dollars to fund pensions. They
their retirement systems. Over the last feW years, many �will also require training by pension system employees.
states have undertaken major efforts to address those
deficits by converting public pensions from defined benefit There are numerous reasons vvhy TMRS has been so
to defined contribution pLans, vvhich are simi�ar to a 4o1(k). successful. TMRS relies on an advisory board of Zg
As those funding crises across the country continue, the members, including TMRS retirees, elected officials,
drumbeat for "reform" in Texas pensions vciill continue to pension experts, as vciell as representatives from both labor
grovv louder. and employer groups. This advisory group thoroughly vets
all legislative proposals vcihile moving forvciard only vciith
In Texas, the Texas Municipa� Retirement System (TMRS) those that have consensus. The unified front during session
is responsible for the administration of a majority of city provides for easy passage of the needed reforms.
retirement plans covering both public safety and civilian city
empLoyees. The system is made up of 85o member cities, Although the drumbeat for reform may persist throughout
102,00o contributing members, and 43.00o annuitants. the next legislative session, TMRS has proved to be a vciell-
funded model for pensions around the country, It should not
TMRS has taken great strides in recent sessions to make be included in discussion about other pension reforms. *
improvements in the system that provide retirement benefits
HOW CITIES WORK • 4 � • zoi7
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"Libraries allovv children to
ask questions about the vvorld
- J and find the ansvvers, And the
�xronderful thing is that once
a child learns to use a library,
. _ the doors to learning are
alvvays open,"
Laura Bush �
�� � �.-� The Texas Library Association
�� � - � � (TLA) reports that there are 561
� �, public libraries in Texas, With an
� � '"'� additional 314 public branches and
, bookmobiles. Public libraries—both
�' city and county—consistently rank
� ��, high among taxpayers in terms of
_ community services.
Libraries impact the local economy
and vcrorkforce development.
� In a 2008 public opinion survey,
� conducted on behalf of the TLA, 83
` � percent of Texas voters believed
that public libraries support the
economy through job skills training,
career and job information, and
resources for local businesses. A
_ �_ � recent study conducted for the
� � . � — '-- � � Texas State Library and Archives
'� Commission (TSLAC) documented
���. � various,specific examples of libraries
� (1) enabling businesses and self-
employed individuals to improve
# their economic activities;(2)assisting
F individuals to obtain employment;
and (3> providing educational and
occupational programs that meet
the needs of Texas communities
� and regions, Some businesses—
particularly those requiring a highly
skilled vciorkforce—look to the city's
� � library as a barometer of local
� commitment to vciorkforce readiness.
IIOW CITIES WORK • 4 � • zoz7
� �
Libraries impact literacy and education. Public
library patrons include preschoolers, afterschoolers,
homeschoolers, distance learners, and researchers.
Through story time hours,reading programs,English second
language classes, and other local services, they represent Texas Public Libraries:A Great Investment
the public's bridge to structured educational campuses.
The zoo8 TLA public opinion poll found that Texas voters
vvere nearly unanimous in their belief that public libraries A study found that, in 2011, Texas public libraries
create educational opportunities for all citizens (g7 percent coLlectively provided $2.407 billion in economic
agreed). benefits Whi�e costing less than$0.545 bilLion. That
is a return on investment of $4.42 for each dol�ar
Libraries impact community. Communities value their city invested. This chart from the study shovvs hovv
libraries not only as centers of information and learning, Texas compares to some other states and cities:
but also as a gathering point for ideas and discussion. The
2008 TLA public opinion survey found that 95 percent of
Texas voters believed that public libraries improve the
quality of life in their community.Approximately 75 percent
of public libraries serve communities smaller than 25,00o in
popuLation. In smallTexas cities,the library may be the only
community gathering place. STATES
Co�orado $4.99
As shovcin in the accompanying chart, cities are the largest Florida $8.32
source of income for public libraries in Texas. * Indiana $4.76
South CaroLina $4�4g
Texas Public Libraries: 2015 Income by Source Texas-Statevciide $4•42
Wisconsin $4.06
CITIES
_ ■c;ty���io CharLotte $4.61
SouthWestern Ohio $3.81
■County 19% Texas-14 cases $4•19
■Other 3.7%
Tab(e 71. Return on Investment in Se(ected Reports
❑Federal.04% Note.� Summary statistics Were unavai(ab(e for
Phi(adelphia and Seatt(e.
■School District.4%
Texas voters get it! In a 2008 public opinion survey,
■State.02% g4 percent of Texas voters agreed that pubLic
libraries are a good vaLue for the tax doLlar.
Source: Texas State Library and Archives Commission, Sources:
Texas Public Library Statistics, Statevciide Comparison Dec.2o12,Texas Public Libraries: Economic Benefits
Statistics: Z997 to 2015 and Return on Investment, Prepared for TSLAC by
Bureau of Business Research, IC2 Institute, Univ.
of Tex. at Austin. Fal� 2008, KRC Pub�ic Opinion
"Whatever the cost of our fibraries, the Survey conducted on behalf of the Texas Library
price is cheap compared to that of an Association
ignorant nation."
Walter Cronkite
HOW CITIES WORK • 4 3 � zoz7
�� � � � - � ..�. .���� . .�ALTHY
-��� E I N C I TY PA R KS
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HO\�' C TIE� `�R'ORK � � � �
City parks are the front line in the battle of the bulge, and they help keep
Texans feeling their best at home and vcihile avciay.Texas cities face extreme
vveather, modern lifestyles, and funding challenges in maintaining fitness.
The Texas
Texas cities provide programs that improve the quality of life for individual
participants and the overall community. All Texans, including youth Economy
and seniors, benefit from the opportunity to increase their health and
reduce stress. Communities are strengthened by opportunities to build Keeps Healthy
partnerships, enhance diversity, and learn tolerance through teamvvork. .
A 2006 study by The Perryman Group found that the physical health of in Local Parks
individuals and environmental contributions are often the first benefits
people associate With local parks. People vvith the best access to both built
and natural facilities are 43 percent more likely to exercise 3o minutes most • Parks contribute to
days of the vcieek, clearly iLLustrating the importance of local parks in the residential and commercial
fitness movement. real estate values.An
analysis of approximately
According to the American Planning Association, there is evidence that 3o studies found a positive
vvhen cities provide parks, it can make communities safer. City parks impact of 2o percent on
also encourage youth to step avvay from their televisions and computer property vaLues abutting or
games for real social interaction vvhile playing basketball, softball, soccer, fronting a passive park area.
gymnastics, or simply enjoying sunshine and vciildflovciers.
• Local parks across the
City parks provide outdoor recreation resources such as pools, softball state lead to the creation
fields, and Frisbee golf courses. Cities also provide indoor recreation of 45,623 jobs through their
activities for sports, arts, and nature programs. While most cities have maintenance and operations
hiking trails, some cities are investing in nevci interests such as dog parks activity, capital investment,
and skate parks. Many cities even provide classes to encourage hobbies and direct tourism.
and various self-help classes such as income tax and language skills. yt
• By adding the effects of
� operations and maintenance,
=:: ,' capital spending, and
"�� �'�• ' � ��:�� r�'�' t�4 tourism, a total gross impact
�� � *' �,��������;.
�:.:M.� �� , .', ��•°;, � {�_- can be derived, Across
�' �.7 �H �� "�I.��. '
k�� . .:�,-f ����;_t , �-��,.�}.. ;�r� the state, the total impact
`' .�+ . � r..� -
�;:. _ � ��"" +{ },tiN��i+�..� �'!.�� G-.�., _�: �.ry of local parks leads to an
�+'y �'�� �x' . ���- �` `���; ,=��.� addition to business activity
�w.' . -�. ~:� .
`•� �`r�'J�-���" �,K�� ��x'• � � 4 ������. . . _�+�� -'�.���� ` �,� including $6•439 billion in
�., �c�.+�-"� ` �r, ..` - - `�y{:�;±�'���,,=.,� � "' I�`�'�J spending.
+'� � .r. �,: ��.�. . �,.Y��-�- '�.",:� •�._.� ,�� ; � .: �� � ..
j w r-�� :�_. �� -.t. -y� ;.
{ i k ,7 i#' #� ,:„,�ty l� � .`'' � _' {����"{`ykr�µ.
� ,�� .,� � �.��`. �f '-}�` �xr���- V��� ���`� � �`� • The incremental net fiscal
r*� r :t .� * � F y +"�-
A��� ' �� '� �����` ` ' �-�� ` � revenue to the state
'. - , -� •y-f �,. �,��-� •-�'fs_,'x � � -��} ;�
� �� . � "r�.. r ;±� government from local parks
� } �
�', ���� . �•�.��� �� *��,-�' � activity is approximately
� : -- � � � . �-�. � , $171,6 million per year.
Y'�' . j '���•,�T'J}-�i +�! _ ~+� Y � X
�y
� �' ���, � rl
- ��. , � � . , Information from Sunshine,
� - �:� .
� ���
� -��- -# � ��;.,,. .�' ` � ' Soccer, and Success: An
�f'`i;
;.��. �;��;�c� •. � � '��:.� � Assessment of the Impact of
•..�:�•�; ��-
��.5� �.�e �x-"' �� ' � ��� Municipa( Parks and Recreation
�:�• _ � ; - -�� � w��,: � .
F �•_:�, ' .__„ # � � •� Faci(ities and Programs on
''''� _ _ � � '��"3� Business Activity in Texas by The
- Perryman Group for the Texas
Parks and Recreation Foundation
� � . . . Y - '+4ry+ . ' y'� �5;�,} �.�.4. �� -. ' .. " �� in December 2006.
� �r {,y, �I �I� ,-}4
. r- 5��� �� ' `U ��� t�' +�� :��`�� , i-+�.'
'��FY - _ r 'i ���i� i�'' �1�ll
� ���3 J1��'. � +_. ' ��1��� #� . ' ` �1�1
HOW CITIES WORK • 4 5 • zoi7
I NVESTI NG I N TOMORROW'S
LEADERS: CITY GOVERN M ENTS
INVOLVE YOUTH
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Many Texas cities have created specia�programs to participate in community service projects, provide
engage and involve youth.These programs can take input to city staff and elected officials on city policy
many different forms—from presentations at local matters, deve�op and organize youth activities, and
schooLs, to speciaL recognition programs; mentoring serve as role models to their peers.
or internship programs, to formal youth advisory
commissions. At the heart of these programs is a City officials knovci that, vcihatever the format,
desire to educate youth on the mechanics of city deve�oping relationships vvith the city's youth is an
government, provide an outlet for youth to voice investment in tomorrovv's leaders and in the city's
their ideas and concerns, and make sure that the future. �
city is nurturing their future leaders.
Some of the most comprehensive youth programs
are formaLyouth advisory commissions(YACs).YACs
are often authorized by city ordinance; have a Well-
defined mission statement, bylavvs, and application
process; and meet reguLarly. YAC commissioners
HOW CITIES WORK • 4 � • zoi7
- . . - . .
• . . .
• - • - .
. • -.•
• •-. • - •
••
- -• - - - • - ADVOCACY I S V TA�
-.. - .
. . -.
-. . . ... --.
� The Texas 85t" Legislative Session began on January Zo, 2017. Before, during, and
after the session, League staff vvorks directly vvith legislators on items of municipal
interest. HoWever, our influence is directly affected by your city's efforts to be
heard. Help your city plan an active and consistent role in the League's legislative
effort.
Stay Well Informed
The League provides several vciays for members to stay informed about Legislative
issues. The Legis(ative Update is the primary Legislative communication betvveen
the League and its members. It is sent electronically as part of the TML Exchange
email to member city officials on Fridays.
The legislative portion of the League vciebsite (vvvv�w.tml.org; click on "Legislative
Information") is another important information source. There you vvill find a link to
the current issue of the Legis(ative Update nevcisletter, as vvell as an index to past
issues of the nevcisletter, summaries of legislative hot topics, and the League's
Legislative program.
The 2oi7 legislative session vvill address many issues that vciill involve Texas cities
and their ability to meet citizen demands for services.The League's best advocates
for protection of municipal authority are its members—elected and appointed
officials from cities of all sizes and geographic areas. TML needs your participation.
Contact Legislators Early and Often
Your legislators need to hear from you, or they're forced to make decisions on local
government issues vvithout fully appreciating the impact they vvill have on cities in
their district. Meet formally at least once a year prior to the session to revievv key
issues. Ask if phone caLLs, emails, letters, or personal contact vvorks best for them
during the session. Encourage your legislators to Work With League staff, as Well.
Keep the League Informed
The League lobbying team inc�udes Director of Legislative Services Shanna Igo,
Assistant Director of Legislative Services Monty Wynn, Legislative Liaison JJ Rocha,
and you. Alvciays send copies of your correspondence to and from legislators to
the League. League staff can vciork more effectively vvith your legislators vcihen
vve knovci vvhat you've said and vcihat you received in return. It also allovcis us
to incorporate your locaL circumstances into our commentary. Emails can be
forvciarded to legislative�atml.org, and copies can be faxed to 512-231-7490 or
mailed to the League office.
Stick to It
It's a fact of life in public policy that things take time. Your consistent participation
in the legislative process is essential to long-term success. �
HOW CITIES WORK • 4 � � zoi7
directors (one from each of the state's
A B O U T largest cities), past TML presidents still
in municipal office, a president and
a president-elect, and tvcio ex officio
directors from the TML risk pools,
The Board appoints an executive
director to manage the affairs of the
League under the Board's general
direction. Bennett Sandlin is the
current executive director, and has
been serving in this role since October
2010.
Today, TML employs a staff of 32
full-time employees and has six
departments: Administrative Services,
Affiliate Services,Communications and
Programs, Legal Services, Legislative
Services, and Member Services.
MUNICIPAL LEAGUE What Does TML Do?
One of the principle purposes of the
League is to advance and represent
the interests of Texas cities at the state
Whether you are a nevci or a seasoned Every TML region elects officers, and federal levels.
elected official, TML has the resourc- including a representative vvho serves
es, tools, and training to heLp you suc- on the TML Board of Directors, and The Texas Legislature meets for 140
ceed in your leadership role. conducts regional meetings at least days each odd-numbered year and
tvciice each year. The TML Board rep- meets frequently in speciaL "called"
Since its formation in Zg13, the Texas resentative must be an elected offi- sessions. There are hundreds of bills
Municipal League's mission has been cial from a city vciithin the region, and that adversely impact cities among
to serve the needs of inember cities serves a tvvo-year term of office vvith a the thousands of bills introduced each
and advocate for members' interests. maximum of tvcio full terms. Legislative session. Most vvould erode
the authority of Texas cities to govern
Membership in the League is To help address the functional their ovvn affairs or impose mandates
voluntary, and is open to any city in professional development needs of that do not provide a commensurate
Texas. From the original 14 members, member officials, TML has 21 affiliate Level of compensation.
TML novv has more than 1,15o member organizations, Affiliate organizations
cities. More than 16,00o mayors, represent city officials engaged in The League, vvorking through its
councilmembers, city managers, city specific professional disciplines. For Legislative Services Department,
attorneys, and city department heads example, the Texas City Management makes every effort to assure that bad-
are member officials through their Association (TCMA) is the professional for-city bills are defeated and bills that
cities' participation. association for city managers in Texas, help cities operate more effectively
TCMA is its ovcm association, as vciell as are passed.
Hovci is TML Organized? a TML affiliate vvith a representative
on the TML Board, Each affiliate group Through the years, thousands of
TML has 15 sub-state regions that vvere has its ovcin membership criteria and proposals thatvvould have undermined
formed in Z958 and are the League's dues structure that is separate from city government have been defeated.
grassroots. Regions exist to promote the League's. The League's legislative track record
interests in city government on a is one of unpara«eled success.
regional level, foster the exchange of TML is governed bya board of directors
information among cities in the region, composed of a representative Hovci Does TML Develop Policy?
and help the TML Board of Directors from each of the 15 regions, a Protecting the interest of Texas cit-
develop policy that represents the representative from each of the 21 ies during each legislative session
state's diverse interests. affiliate organizations, eight at-large requires considerable planning to
HOW CITIES WORK • 4 � • zoi7
estabLish legislative priorities.WhiLe the Legal Services
TMLAFFILIATES TML Legislative philosophy is based on
protecting the abiLity of cities to govern The League employs full-time attor-
Association of Hispanic Municipal their ovvn local affairs, positions must neys vciho are avaiLable to provide
Officials(AHMO) be taken on hundreds of issues that legal information on municipaL issues
affect cities. to member cities, as vvell as example
Building Officials Association of Texas documents to assist cities in drafting
(BOAT) The process of adopting positions on ordinances and other required legal
Government Finance Officers Association �egislation begins a full year before the notices. . The legal staff provides cities
ofTexas(GFOAT) regular legis�ative session convenes. With information on changes in federal
In January of a non-legis�ative year, and state �a�ws and regulations, as�well
Texas Association of Black City Council the TML president appoints members as city-related deve�opments in the
Members(TABCCM) to legisLative poLicy committees to courts. During legisLative sessions, the
Texas Association of Governmental address specific issues. Each "spe- legal staff is frequently called on to
Information Techno�ogy Managers cific issue" committee is made up of provide testimony to legislative com-
(TAGITM) approximately 20-25 members. These mittees on a variety of city issues.
committees meet t0 revievv ISSU2S
Texas Association of Mayors, SUi'YIYYIdI'IZ2CI in poLicy briefing books, In addition,the �egaL staff is avaiLable to
Councilmembers and Commissioners
(TAMCC) as vcieLL as other issues brought up by deliver vciorkshops on a variety of legal
committee members. Subcommittees subjects to small cities problem soLv-
Texas Association of Municipal Health may be appointed to tack�e some of ing clinics, affiliate organizations, and
Officials(TAMHO) the more complex issues. regional groups.
Texas Association of Municipal
Information Officers(TAMIO) Those "specific issue" committees Information and Research
combine to make up the General
Texas Chapter of the American Planning Government Committee, vcihich meets The League vvas formed in Zg13 to
Association(TXAPA) once to cover any issues not addressed provide information to member cities.
Texas City Attorneys Association(TCAA) by those committees. Today, this is still an important service.
TML staff has information on virtually
Texas City Management Association The final reports of these commit- every topic affecting Texas cities and
(TCMA) tees are forWarded to the Resolutions can be reached by telephone, snail
Committee, �which meets during mail, or email.
Texas Court Clerks Association(TCCA) the TML AnnuaL Conference. The
Texas Fire Chiefs Association(TFCA) ResoLutions Committee is comprised of The League Library and fi�es contain
members from cities across the state. thousands of books, magazines, and
Texas Municipa�c�erks association, inc. The committee revievvs these reports, periodicaLs that are available for use by
(TMCA) as vveLL as any resolutions submitted member officials. League publications
Texas Municipal Human Resources by the generaL membership. After a are another important member service.
Association(TMHRA) decision is reached by the Resolutions In addition to Texas To�xrn & City, the
Committee, the resolutions are then League pub�ishes a number of books
Texas Municipal Library Directors considered by the TML genera� mem- and pamphlets to keep its member-
Association(TMLDA) bership at the annual business meet- ship informed on emerging municipal
Texas Municipal Utilities Association ing held the last day of the annual issues.
(TMUA) conference. The TML Board adopts
a legislative program based on these TML also conducts severaL annua�sur-
Texas Police Chiefs Association(TPCA) resolutions. veys that co«ect information on vvater
and Waste�water rates, taxation and
Texas Pub�ic Purchasing Association The League uses this process to deter- debt leveLs, and general fisca� condi-
(TxPPA)
mine vcihich issues are most important tions.
Texas Pub�ic Works Association(TPWA) to Texas cities and hovv to best aLLocate
its Legislative resources. Conferences and Training
Texas Recreation and Park Society
(TRAPS) TML conducts a variety of conferences,
Workshops, and Webinars to enhance
the knovv�edge and skills of municipal
officials.
HOW CITIES WORK • 4 9 • zoi7
The TML Annual Conference and Federal Representation
Exhibition is one of the nation's larg-
est gatherings of municipal offi- Through its membership in the TML REGIONS
cials. The 2017 Annual Conference National League of Cities, the Region 2
vvill be held October 3-6 at the Southern Municipal Conference, and AmarilloArea
George R. Brovcm Convention Center other similar organizations, TML has
in Houston. In addition to ke note a voice in Washin ton, D.C. Workin Region 3
y g g Caprock-
sessions, Workshops, and the annual vvith these groups, TML ensures that LubbockArea
business meeting, the conference the voice of Texas cities is heard not
features an impressive exhibit hall only in congressional offices, but a�so Region 4
Permian Basin Region-
vvith more than 35o companies pre- in the headquarters of various feder- odessa area
senting products and services that al agencies.
benefit Texas cities, Region 5
Rlsk PoolS Red River Valley-
Wichita Falls Area
The Leaguealsoofferstraining oppor-
tunities that are designed specifically For more than 4o years, the TML Region 6
for elected officials, The Elected risk poo�s have provided Texas cities Hub of Texas-
Abilene Area
Officials' Conference, co-hosted With quality risk coverage specifically
by TML and the Texas Association designed to meet municipa� needs. Reg�on�
of Mayors, Councilmembers and These pools are separate entities, Alamo Region-
San Antonio Area
Commissioners, vvill be held in Allen, but maintain a close administrative
February 16-18, 2017, This event relationship vciith TML. Region s
focuses on key issues for nevcily Where the West Begins-
elected and veteran city officials on The TML Intergovernmenta� Risk FortWorthArea
topics like economic development, Pool (TMLIRP) vvorks to reduce the Region g
media relations, infrastructure, citi- cost of property and casua�ty risks Heart of Texas Region-
zen engagement, revenue sources, in Texas cities. In addition to provid- Wacoarea
government trends, and leadership, ing a stab�e risk financing system, Region Zo
the TMLIRP offers education to its High�and Lakes Region-
In addition, TML holds several Nevcily members to avoid and reduce risks, Austin Area
Elected City Officials' Orientations control losses, and stay informed on Region 11
and Workshops each year, The 2017 other aspects of risk management. coasta�Ber,d Reg�on-
summer orientations vciill be held July Corpus Christi Area
13-14 in Round Rock, and August 3-4 Benefit coverage for municipal Region sz
in San Antonio. The vciinter vvork- emp�oyees and their families has Lo�r✓er Rio Grande Valley-
shop vciill take place in December become a major expense item in virtu- Rio Grande va��ey area
via a series of four Webinars, These ally every city budget.Cities through- Reg�on 13
sessions offer training on the basics out the state are holding the line on Nortr,centra�Texas Region-
of serving on the governing body, these costs by participating in the Dallas Area
and provide an overvievv on the fun- TML MultiState Intergovernmental
damentals of cit re ulation, finan- Em �o ee Benefits Risk Poo� (TML Region 14
Y g p y San Jacinto Region-
cial oversight responsibilities, ethical Mu�tiState IEBP). HoustonArea
governance, council-staff relations, Region 15
economic development,Texas Open The League Today Tyler-
Meetings Act, and 11'lOfe, Longvie�wArea
TML is committed to helping city
TML conducts other timely vciork- leaders in Texas meet today�S gOV- Region 16
Golden Pine and Oil Region-
shops and vciebinars for both elected erning chal�enges. The League Beaumont-Lufkin Area
and appointed officials throughout prides itse�f on 104 years of service
the year, including the Economic to Texas cities, and �ooks forvvard to
Development Conference; Public providing the resources, knovci�edge,
Funds Investment Act Training; and advocacy to support city officia�s
Budget, Tax Rate, and Audit into the future. �r
Workshops; Leadership Academy;
Small Cities' Problem-Solving Clinics;
Grant Writing Workshop; and more,
HOW CITIES WORK • 5 O � zoz7
�*'
TML
T E X A S
MUNICIPAL LEAGUE
EMPOWERING TEXAS CITIES TO SERVE THEIR CITIZENS.
Texas Municipal League
1821 Rutherford Lane, Suite 400,Austin,Texas 78754-5101
Phone 512-231-7400 • Fax 512-231-7490 •vcivvW.tml.org
Council-Manager
Form of Government
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� � � � � � � � � � Frequently Asked
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� � � � � � � � Questions
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I��� Leaders at the Core of Better Communities
What is the council-manaqer form of qovernment, which
is used today by so many cities,towns, and counties?
Council-manager government combines the strong political
leadership of elected officials with the strong managerial
experience of an appointed manager or administrator.All
power and authority to set policy rests with an elected
governing body,which includes a mayor or chairperson
and members of the council, commission, or board.The
governing body in turn hires a nonpartisan manager who
has very broad authority to run the organization.
Born out of the U.S. progressive reform movement at
the turn of the 20th century,the council-manager system
was designed to combat corruption and unethical activity
in local government by promoting effective management
within a transparent, responsive, and accountable
structure.
Since its establishment,the council-manager form has
become the most popular structure of local government in
the United States.The form is also widely used throughout
the world in countries such as Canada, Australia,the
Netherlands, New Zealand,and the United Kingdom.
How does council-manaqer qovernment work?
The elected council or board represent their community
and develop a long-range vision for its future.They
establish policies that affect the overall operation of the
community and are responsive to residents' needs and
wishes.
To ensure that these policies are carried out and that
the entire community is equitably served,the governing
body appoints a highly trained professional manager on the
basis of his/her education,experience, skills,and abilities
(and not their political allegiances). If the manager is not
responsive to the governing body, it has the authority to
terminate the manager at any time.
How can council-manaqer qovernment benefit my
community?
A city,town,or county benefits from the council-manager
form of government in a number of important ways:
1. Political power is concentrated in the entire governing
body.The mayor and council share legislative functions
2. Policy making resides with elected officials,while
oversight of the day-to-day operations of the community
resides with the manager. In this way,the elected
officials are free to devote time to policy planning and
development
3. The manager carries out the policies established by the
elected governing body with an emphasis on effective,
efficient,and equitable service delivery
4. Because decisions on policy and the future of the com-
munity are made by the entire governing body rather
than a single individual,council-manager governments
more often engage and involve their residents in
decision making. Residents guide their community by
serving on boards and commissions, participating
in visioning and strategic planning,and designing
community-oriented local government services
5. The form is flexible enough to adapt to local needs and
demands. For example, some communities elect their
councils at large, while others elect them by district or
by a combination of an at-large-and-by-district system.
Also,the mayor can be directly elected by voters or
selected by and from among the council.
What is the role of the manaqer under council-manaqer
qovernment?
The manager is hired to serve the council and the
community and brings to the local government the
benefits of his/her training and experience in administering
municipal or county projects and programs.The manager
prepares a budget for the council's consideration;recruits,
hires,terminates, and supervises government staff;serves
as the council's chief advisor;and carries out the council's
policies. Council members and residents count on the
manager to provide complete and objective information
about local operations,discuss the pros and cons of
alternatives,and offer an assessment of the long-term
consequences of their decisions.
Appointed managers serve at the pleasure of the
governing body.They can be fired by a majority of the
council, consistent with local laws,or any employment
agreements they may enter into with the council.The
manager makes policy recommendations to the council for
consideration and final decision.The manager is bound by
whatever action the council takes,and control is always in
the hands of the elected representatives of the people.
What is the role of the council?
The council is the community's legislative and policy-
making body. Power is centralized in the elected council,
which,for example,approves the budget and determines
the tax rate.The council also focuses on the community's
goals, major projects,and such long-term considerations
as community growth, land use development, capital
improvement and financing,and strategic planning.The
council hires a professional manager to implement the
administrative responsibilities related to these goals and
supervises the manager's performance.
What is the role of the mayor or chairperson?
Mayors or chairpersons in council-manager communities
are key political and policy leaders,and their specific
duties, responsibilities,and authorities depend on the
organization's charter. In council-manager communities,
typically the mayor or chairperson is a voting member
of the city council who presides at council meetings,
represents the city in intergovernmental relationships,
appoints members of citizen advisory boards and
commissions(with the advice and consent of council),
assigns agenda items to committees,facilitates
communication and understanding between elected and
appointed officials,and assists the council in setting goals
and advocating policy decisions.
What value does a professional manaqer contribute to a
community?
Professional managers contribute value to a community
because they:
• Work in partnership with elected officials to develop
sound approaches to community challenges by bringing
together resources to make the right things happen and
produce results that matter
• Bring a community-wide perspective to policy
discussions and strive to connect the past and future
while focusing on the present.They help the governing
body develop the long-term vision for the community
that provides a framework for policy development and
goal setting
• Promote ethical government through commitment to a
set of ethical standards that goes beyond those required
by law. Managers who are members of ICMA subscribe
to the organization's Code of Ethics,which requires
them to"affirm the dignity and worth of the services
rendered by government and maintain...a deep sense
of social responsibility as a trusted public servant"
• Encourage inclusion and build consensus among diverse
interests(including those of elected officials,the
business community,and citizens) by focusing on the
entire community rather than the centralized interests
of one or two individuals
• Promote equity and fairness by ensuring that services
are fairly distributed and that administrative decisions
(such as hiring and contracting)are based on merit
rather than favoritism
• Develop and sustain organizational excellence and
promote innovation. Professional managers focus
relentlessly on efficient and equitable service delivery,
policy implementation, and evaluation.They align
the local government's administrative systems with
the values, mission,and policy goals defined by the
community and elected officials.
Does it cost more for a community to adopt the council-
manaqer form and hire a professional manager?
Many local governments have found that their overall
costs are actually reduced under competent management.
Savings can come from decreased operating costs,
increased efficiency and productivity, improved
revenue collection,and effective use of technology.The
economic health of the community may also benefit from
implementation of improved business development and
retention strategies.
What kinds of communities use the council-manaqer
form of qovernment?
In 2007, more than 3,500(49 percent) of the 7,171 U.S.
cities and towns with populations of 2,500 residents or
more operated under the council-manager form.This
structure is also used by more than 370 counties. More
than 92 million people in the U.S. live in communities that
operate under this form.
Is the council-manaqer form popular amonq larger
communities?
Of the 247 U.S.cities with populations greater than
100,000 residents,144(58 percent) use this form of
government. Larger cities and counties that use the form
include:
• Broward County, Florida (pop.1,623,000)
• Charlotte, North Carolina (pop.540,000)
• Dallas,Texas(pop.1,188,000)
• Fairfax County,Virginia (pop.969,000)
• Las Vegas, Nevada (pop.535,000)
• Mecklenburg County, North Carolina (pop.695,000)
• Oklahoma City,Oklahoma (pop.506,000) (continued)
(continued)
• Phoenix,Arizona (pop.1,321,000)
• San Antonio,Texas(pop.1,144,000)
• San Jose, California (pop.894,000)
• Virginia Beach,Virginia (pop.425,000)
• Wichita, Kansas (pop.344,000)
How can a community adopt the council-manaqer form
of qovernment?
Most communities can adopt council-manager government
through a charter, local ordinance,state enabling law, or by
voter referendum. For information on how your community
can adopt council-manager government,contact your state
municipal league or association of counties. You can locate
the addresses of these organizations on the Internet,or in
the back section of ICMA's Municipal Year Book, which you
may find in your local library.
Once a community adopts council-manaqer qovernment,
how does it choose a professional manaqer?
The vacancy usually is announced in the ICMA Newsletter,
and managers, assistants,and other individuals from
across the country are invited to apply. Interested parties
apply directly to the council, which reviews the applications
and interviews qualified candidates. ICMA makes no
recommendations regarding candidates.Additional
information is available in ICMA's Recruitment Guidelines
Handbook. To download a copy,visit http://jobs.icma.org
and click on "Recruitment Guidelines Handbook" under
"Resources."
What kind of educational and professional experience do
professional local government manaqers possess?
Nearly 67%of managers surveyed by ICMA in 2006
indicated that they had earned a master's (usually in
public administration, business,or public policy),or
other advanced degree. Respondents to the same survey
said they had spent an average of 19 years in the local
government management profession.
Do professional local qovernment manaqers have a
membership orqanization?
Yes. ICMA (the International City/County Management
Association) is the premier local government leadership
and management organization that serves as the
professional and educational "home"for appointed
professional managers and administrators. ICMA's
membership also includes directors of state associations
of local governments,other local government employees,
academics,students,and concerned citizens who share the
goal of improving local government.
ICMA's mission is to create excellence in local
governance by developing and fostering professional
local government management worldwide.To that end,
the organization provides technical assistance and
publications for management professionals to help them
improve their skills and increase their knowledge. ICMA
also serves as a clearinghouse for the collection, analysis,
and dissemination of information and data about local
government.
Why is membership in ICMA important for a professional
local qovernment manaqer?
In addition to gaining access to valuable resources and
lifelong professional development opportunities, managers
who belong to ICMA are bound by its Code of Ethics,which
states that every member of the organization shall act with
integrity in all personal and professional matters so that
they will merit the respect and trust of elected officials,
employees, and the public.This stringently enforced Code
specifies 12 ethical principles of personal and professional
conduct, including dedication to the cause of good
government.
ICMA members believe in the effectiveness of
representative democracy and the value of government
services provided equitably to residents within a
community. ICMA members are also committed to
standards of honesty and integrity that go beyond those
required by the law. For more information,contact ICMA or
visit http://icma.org/ethics.
Finally, ICMA defines professional management and
recognizes individual members who are qualified by a
combination of education and experience, adherence to
high standards of integrity,and an assessed commitment
to lifelong learning and professional development.
ICMA members who meet these requirements may earn
designation as an ICMA Credentialed Manager. For more
information on ICMA's Voluntary Credentialing Program,
visit http://icma.org/credentialing.
Are there other, independent orqanizations that support
council-manaqer government?
The National Civic League(NCL)is America's original
advocate for community democracy.This nonprofit,
nonpartisan membership organization is dedicated
to strengthening citizen democracy by transforming
democratic institutions. NCL accomplishes its mission
through technical assistance,training, publishing, research,
and promoting the All-America City Awards, America's
original and most prestigious community recognition
program.
Founded in 1895, NCL serves as a clearinghouse for
information on methods of improving state and local
government.The League's Model City Charter, now in its
eighth edition, has endorsed council-manager government
since 1915.
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re ar� n ounc � s or
.
eir or
by Julia Novak and John Nalbandian
he legitimacy of an individual councilmember's power comes directly from
the electorate, but respect and influence cannot be presumed; they have to
be earned through action. The manager's position, however, comes from
professional qualifications to manage and provide policy guidance. In
contrast with members of the council, the local government manager and
professional staff benefit from a long-term familiarity with issues, special-
ization, and technical expertise and also from an organizational structure
familiar to all.
As we know, linking politics and the work of a governing body with the
management of government involves an ongoing set of tasks and challeng-
es. The idea of council-manager government is that political and adminis-
trative realms can be in partnership and not dependent on the system of
checks and balances that characterizes our state and federal governments,
where separation of legislative and executive powers is valued.
The relationship between the manager and the elected officials sets a tone
for the entire local government. Although some elected officials shy away
from acknowledging a team or partner relationship between and among
members of council and between the council and the staff, it is critical
, , . , _ _ _ that the professional manager prepares the council for its
How managers can help build WOrk.
council capacity is going to In part, this takes place as the manager helps the coun-
be the topic of the authors'
presentation at the Eldon cil build its capacity to work as a body, earning respect for
Fields Colloquium,Wn��n W�ii one another and in an effective partnership with staff. In
be held at ICMA's 2009 An-
nual Conference in Montreal, this article, we set out some of the ways the manager can
Quebec,Canada,sePc. i 3-i 6. facilitate the building of council capacity.
�
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�LT� Public Management August 2009
�
CENTRAL TASKS OF A council and staff use the same words, ORIENTATION
GOVERNING BODY they speak a different language. Ideally, the orientation process begins
In a formal sense, the role of a govern- The tools we identify below are befare the election, when individuals
ing body is set out in a rypical state- intended to enable a willing council to declare their candidacy for council.
ment such as "the council is charged deal with difficult issues by building The manager's opportunity to prepare
with providing overall leadership for council capaciry. An important piece them begins then: open the doors of
the local government by enacting laws of that capacity is an effective parmer- ciry hall to the candidates and provide
and allocating resources for programs, ship with staff. them with nonconfidential correspon-
services, and activities." Individuals dence and copies of agenda materials.
are elected by voters who, in turn, TOOLS TO BUILD GOOD After the election, meet individually
expect the council to listen to their GOVERNANCE with those elected to find out their
concerns and address their individual Adopting policy in open session where concerns; offer to allow them to ex-
issues. political values are constantly collid- plore areas of community business of
As accurate as these phrases are, ing is not for the faint at heart. What particular interest.
they do not fully convey the work of can the manager do to prepare the As soon as practical after the elec-
the council, and they are insufficient council, largely made up of amateur tion, the manager should arrange for
to help new councilors understand politicians (no disrespect intended), a full orientation for new members
what is expected of them. In fact, for its work? of the governing body—invite the
short phrases only rarely capture continuing members to attend
the council's work. Local norms � as well—and provide them with
and tradition are as impartant as It is essential to put "Government 101." Brief them on
any charter when it comes to un- current issues, the status of long-
derstanding the council's Work. new members in range plans and capital projects,
In addition, the composition of and the budget process. In its ori-
a council can influence how the contact with former entation, Shoreline, Washington,
council and the individual mem- Councilmembers covers both the basics of inembers'
bers see their roles. service on the council as well as
To be effective, councilmembers who are regarded specific government projects (see
must talk about their wark, what as exemplars and� the box on page 26).
they think is expected of them, and Provide tours of operational
what they expect of each other. If possible, make facilities. Let them see the garage
where the ciry cares for its fleet
OBSTACLES TO EFFECTIVE them part of the and even the shop where it stores
GOVERNANCE orientation. and maintains its lawnmowers. A
Although councils differ, three ob- tour of water and wastewater treat-
stacles to council effectiveness are ment facilities is fascinating and
fundamental. First, councils that allows the behind-the-scene work-
are willing to deal with big issues will First, we want to emphasize that ers who do the city's business every
have to confront conflicting political staff can help prepare the council for day to shine.
values. These values include repre- its wark, but the council is respon- But also remember that if staff pre-
sentation, efficiency, social equity, sible far that wark, and the council pare the agenda for the orientation,
and individual rights. Choices among bears a good deal of responsibiliry for the agenda likely will be based on
values are not choices between right building its own capacity. The goal is what staff inembers think the council
and wrong, and councils searching for a partnership, and staff inembers who needs to know in order to be effective.
"correct" answers to policy issues are take too much responsibility for the Every new councilmember must face
bound to become frustrated. council's work may actually create a two crucial questions: How do I get
Second, councilars must confront dependency rather than an effective my issues on the political agenda of
the difficult values work they are re- parmership. other councilmembers and staff? How
sponsible for in the absence of hierar- In our collective 50 years of expe- do I influence other councilmembers
chy—the mayar is not the boss. How rience working with and far elected effectively? Rarely do staff-developed
many jobs have you had where no one and appointed local government orientations include discussion of
was in charge? professionals, we have seen several these kinds of questions.
The third obstacle is the difference practices that are effective tools in That is why it is essential to put
in perspective between council and managers' tool kits to help overcome new members in contact with former
staff—differences that are often dif- the barriers to council and staff work- councilmembers who are regarded
ficult to understand because while ing effectively. as exemplars and, if possible, make
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ICMA.org/pm Public Management August 2009 �r�
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a body, during its time in office. The
most effective councils hold annual
sessions where goals are revisited,up-
dated, and validated.
These sessions, like the orienta-
tion, should be seen as annual events
New Councilmember Orientation so there is no debate on whether
they should take place. Goal setting
Shoreline,Washington occurs most effectively in a retreat
Part I•Nuts & Bolts environment where the entire day
I. Council meetin s (or two) is set aside for the purpose
g of reaching consensus on council
• Open Public Meetings Act priorities. Having department heads
• E-meetings/public records attend these discussions provides
2. Council rules and procedures staff with important context for un-
• Various types of council meetings:Business meeting,study session,work- derstanding the "why" behind the
shop dinner meeting,and executive sessions priorities.
• Agenda process As part of setting goals, the council
and staff should come to an agree-
• First council meeting:Swearing-in ceremony and election of mayor ment on how the council wants to
3. Council-staff communications be informed about progress on goals
4. Council office and objectives. During the retreat the
• Council correspondence process:E-mail,letters council can also focus on improv-
• Business expense policy ing working relationships within the
• Miscellaneous:Council voice mail,Web site,e-mail,payroll,health benefits, council by discussing norms and be-
conferences,council photo havior and exploring personal styles
in a guided discussion with a trainer
Part II:Council Goals,Boards & Commissions,Projects, Issues and facilitator.
5. Council goals An explaration of styles should not
be minimized. It is important because
• Council goal-setting process: Retreat all councilmembers are equals. The
• 2008-09 council goals/council work plan unintended consequence of equal-
• Council Work Plan quarterly reports ity is that no one has the power and
6. Council boards and commissions authority to resolve conflict or set or
• Council of Neighborhoods legitimize plans and direction.
• Library Board In the absence of the hierarchical
• Parks Board structure we are all accustomed to day
• Economic DevelopmentAdvisory Committee in and day out, a gathering of equals
who are dealing with problems for
• Planning Commission which there are no correct answers
7. Projects and emerging issues highlights differences in ways indi-
• Long-range financial planning vidual members exercise influence,
• City Hall project how much information they need, the
• Point Wells extent to which they see themselves
• Aurora corridor project as a group, how they deal with con-
• Parks bond projects flict, and even the kinds of concerns
individually they think are worth
8. Wrap-up considering.
• Additional information/briefings/tours?
REGULAR ONE-TO-ONE
MEETINGS
them part of the orientation. Im- RETREATS AND GOAL Although the formal relationship is
portantly, these exemplars should SETTING between the manager and the coun-
represent a range of styles so new During a council retreat, probably the cilmembers as a body, nurturing in-
members can become acquainted most important activiry of the govern- dividual relationships is an important
with and relate to at least one for- ing body is spending time articulat- component of creating a productive
mer councilmember. ing what it wants to accomplish, as working relationship between council
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�� Public Management August 2009
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and staff. At a minimum, the manager
should have one-to-one time with
members of council at least once
each quarter. Many managers visit
much more frequently with individual
councilmembers.
This is especially important when
the council itself is divided. If the Council-Staff Communications Guidelines
manager meets only with members of Shoreline,Washington
the majority the manager plays into
the perception that the staff is sup- Governance of a city relies on the cooperative efforts of elected officials,who
porting the majority at the expense of set policy and priorities,and city staff,who analyze problems and issues,make
the minority. Although the manager recommendations,and implement and administer the council's policies.Here are
is bound to implement the policy ad- general guidelines to help facilitate effective communications between the city
opted by the majority, the relationship council and city staff.
the manager develops must be with
the body as a whole as well as with . Channel communications through the appropriate city staff.
each individual who makes up the . All council members should have the same information with which to mal<e
body.
Local government managers clearly decisions.
are spending more time than ever with ' Depend upon the staff to respond to citizen concerns and complaints as fully
councilmembers. What is not clear is and as expeditiously as practical.
the changing role of department heads • The city council sets the direction and policy—city staff are responsible for
in light of the new allocation of the administrative functions and city operations.
manager's time. It used to be a bonus • In order to provide the council with timely information,please strive to sub-
to find department heads who could mit questions on council agenda items ahead of the meeting.
understand the council's politics and
• Respect the will of the"full" city council.
the work of the manager's office.
Today, that need has become im- ' Depend upon the staff to make independent and objective recommendations.
perative because the manager does ' The city manager and staff are supporters and advocates for adopted council
not have sufficient time to spend with policy.
department heads. • Refrain from publicly criticizing an individual employee.Criticism is differenti-
ated from questioning facts or the opinion of staff.
APPROPRIATE ACCESS TO • Seeking political support from staff is not appropriate.
DEPARTMENT HEADS
Having the council interact directly
with staff can be a touchy issue for DOCUMENTED BUSINESS THE COUNCIL MUST
some managers, but it is a direct PRACTICES MANAGE ITSELF
consequence of managers having to The day-to-day business of govern- The manager's job is to create oppor-
spend more time on the politics of the ment involves responding to corre- tunities far the council to be prepared
jurisdiction. The primary council-staff spondence, e-mails, and constituent so the members can operate in an en-
relationship should be with the man- requests. Establishing a practice of vironment of mutual understanding.
ager, but allowing councilmembers how to handle these items ensures Each of the steps outlined in this ar-
access to department heads can actu- fair treatment among all members of ticle can help create the environment
ally build trust between the council the governing body. Some jurisdic- far effective governance, but there
and the manager. tions call these rules of procedure, will be exceptions.
Open dialogue between the man- and they are adopted by resolution Individuals sometimes ignore rules,
ager and the department heads about and govern how the council con- and toxic personalities sometimes cre-
how that interaction happens and ducts itself. ate challenges for professionals. But
what is shared back with the man- Topics include everything from do not forget—difficult personalities
ager ensures that the manager is receiving and responding (or not) to on the council create a challenging
properly informed and the council is public comment at public meetings and uncomfortable environment for
well served. Shoreline, Washington, and when it is appropriate to use the council itself. This is not just a
has developed written guidelines for official letterhead, to how items get staff problem, and often there is no
council-staff communications that placed on agendas and how many silver bullet.
strike an appropriate balance (see the logo shirts each councilmember re- In the end, the council must man-
box on this page). ceives—and everything in between. age its own behaviar and seek compli-
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ICMA.org/pm Public Management August 2009 �—�
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ance from its own members. Staff can � �
do only a limited amount to support � _ � � _ _
V ♦ 1 � � 1
a dysfunctional council, and inviting
councilmembers to vent to the man- In the May 2009 issue of PM, readers were asl<ed to submit their"two-
ager and staff about other councilors
at worst can create an expectation minute elevator speech" that explains to someone they've just met or
that it is the manager's job to some- that helps a citizen quicl<ly understand what they do for a living. Here are
how fix the council. That simply can- the replies that were received:
not happen.
My two-minute elevator speech does not last two minutes. I tell the pub-
BENEFITS OF LEADERSHIP
In their training video, Leadership:An lic that any success I have had comes from having the ability do what I am
Art of Possibility, Ben and Rosamond told. In my role as a city manager,the city council sets the policy direc-
Zander talk about the art of leadership tion,and it is my job to use the resources of the city, in partnership with
as creating a possibility to live into the city employees,other governmental agencies, not-for-profits, busi-
rather than a standard to live up to. nesses,and citizens to carry out that policy with the highest degree of
Preparing the council for its work lays
the groundwork for establishing an success possible.
environment where the council-staff —Michael Van Milligen
partnership can flourish and good City Manager
governance can be supparted by good Dubuque,lowa
management. ctymgr@cityo fdubuque.org
Julia Novak, ICMA-CM, is regional vice
president, Management Partners, Inc., C�n- Being part of a team of ethical professionals dedicated to facilitating our
cinnati,Ohio,and is a former city manager community's success—that is my role in local government as a deputy
(jnoval<@managementpartners.com). John city manager.
Nalbandian is a faculty member in the Pub- My job is to assist the city manager in her efforts to implement tan-
lic Administration Department at the Uni- gible policies and programs that will shape the progress our city council
versity of Kansas,Lawrence,Kansas.He is a
former councilmember and mayor in Law- seel<s to aChieve.
rence,Kansas (nalbandj@gmail.com). Day to day, I apply best management practices to ensure that public
resources are being used effectively and efficiently for the community's
benefit. I do that by leading a department focused on neighborhood
services—the municipal functions that directly affect residents,like solid
Upcoming waste,transit,code enforcement,and animal services.
As a professional manager, I maintain open lines of communication
with division supervisors and field staff about the city council's goals and
objectives and the city manager's direction.As a neighborhood services
team,our common mission is to ensure that the work we do every day
Contents. complements and is consistent with the direction that our elected offi-
cials wish to lead the community.
The work is fun,exhilarating,and very challenging.The best reward
■ Public Safety comes when we hear from a resident that a job is"well done!" and we
Communication see in our performance measurements that progress is being made in
providing the highest quality services at the best value to taxpayers. Local
Systems government management is a great field,and I hope to pursue my career
in it for years to come.
■ No Pre-Existing —codyTubbs
� � Deputy City Manager
Conditions Elk Grove, California
ctubbs@elkgrovecity.org
�
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�j Public Management August 2009
�
� � � � � � � � � � � � ` �
� 1 � 1 1 1 . I 1 •
1 ' ' . . 1 ' ' 1 1
�r,� '}r If you need help addressinq the most critical issues in your
�. r jurisdiction, from community problem-solving,to police and
� a
�• �� �# fire merqers to smart growth codes, consider ICMA. If you
� � ���'4'
�• • � - • � want a team of local government management experts who
� -
. �'� can provide your community with a solution that will
improve the lives of your residents, hire ICMA.
For nearly 100 years, ICMA has provided technical consultinq
support to local governments nationwide. We've helped large
i . � � � and small communities solve some of their most critical
i '' I
i problems by offerinq support in the following areas:
� � �~ � � � � �
� �� _ _
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�`'����� � - Call 202-289-ICMA
�. ,� -
F ���r ,� '# � Email us at customerservicesC�icma.org
, .�,� -� _ .
x�' "� - -�— Or visit us online at icma.org/consultingservices
.
�UFF}� R�.JLE� o�G��� G�V�R.N.ANCE
Goaernance Rules
a Rule #1 �larity of Man�ate
�ffective governance �nd administratian requires the presence �f � clearly
estahlished mandate (gener�lly se# in the �egislativn, byl�ws or constitution, �a�h
governing bady (in most instances, t�e Council} must understand not only what
pow�rs it passess�s but also what authority car� be de[egated to any operational
or advisory boards and committees.
o R�uie #2 Clar�ty of Auth�rity
(n 2�ddition to understanding the l�gislated mandat�, the degree of authority of
each of thvse roles mus� alsa be made clear. This aut�rority may be conveyed by
legislation but also will likely need to be clarified by bylaws, policies and
praced�res.
c� Rule #3 Puhlic Accounta�ailRty and Respansirreness
An effecti�e gavernance model (or decision-making system) must also reflect the
basis of ar�y demacratic in�titution — r�liance upon the �ndorsement af the public.
Deci�ions must be based on a clear sense of what is in the best Enterests of #he
public (or the m�mb�rs of the organizatian or bo#h}.
o Rule #4 Clear Sense of Purpose
�rganiza�ivns r�quire a clear understandi�ng as to its purpose as state� in its
mandate, goals, o�jecti�es and strategies. T�is Es essential for the �rg�ni��tion to
maintain r�l�var�cy and focus and ta be accountab�e for ac�hieving its �argets.
o Rule #5 Full Disclosure
A bas9c principle of sound �ouernance is access by the governing body to the
necessary ir�formation whach it musf have in order t� m�ke inf�tmed decisions.
This is one of the compo�ents of a soun� decision-making process and is central
�J[rearge S. L:uf`I`and Associ�les Ltd. I
CUFF'S RULES of GOOD GOV�RNANC�
to the level af confidence exhibited between the gaverning bady and its chief
afficer(s).
c� Rule #fi 5ense of Inte�ratian
Most org�ni�ation� �re multi-fac�ted and invalved with many issues.. Each has
the �ery real potenti�l of reflecting confusion in pUr�ose. An important principle is
that all companen#s must be viewed as operating fram the samE page.
o Rule #7 Saund Rel�tionship: Go�erning Body and Chief Officer
The relationship af the gaverning body to its CE�ICA� �if any) is critical to how
well the overa�i system is run. This relafianship must refiect respect and
confidence at a minimum in order to survive.
o Rule #8 Independence of the Co►�erning Body
Whil� the governing body may receive inpu# from a wide variety of sources, #he
act of governing is its respansi4aility. The anus is clearly on it ta �nsure that th�
organizatio� is being governed ap��apriately.
o Rule #9 �rientation �nd Successinn Ptanning
This rul� reflects #wo related and necessary "boaker�ds" of sound governance-
�dministrative system. At the autset af any t�rm #he go��rning bady (shoulck
r�c�i�e a thorough briefing from the senior adminis#ration as to expected roCes,
relatior�ships, powers, key issues, etc.
� Rule #1D QngQing Performance A�sessment
Any system ar model of governance must include a m�chanism or prac�ss to
�nsure thaf it is �erfvrming as anticipated and, if not, that carrective steps are
being t�ken. While it may be difficuft fior any go�erning �ody ta car�duct a self-
assessment, i# is not impossible nar all that unusual.
r� Genrge B_�uffar�d Associates Ltd. ?
?. Great leaders are 9ecure
I , ennugh tu plar a lesser role
� when warranted.
ie � Great leaders are secure enQugh
���'�� ��'���r ���� � in themsc��es to take on a lesser
� L � role if chac is whac ir rakes ta
ma�e the ball Forward. 5clf-
����.t Mak� �reat . �anfidenre is key ro greacness
• and absolutc�y necessary to expe-
rience the Ii�erry and freedom
L������ �4��l�� to lead demonstrably without
1 C•L� regard co tirle or posiriosi. Gzear
leaders have no qual�ns about
eadership is mnre art thai} : laying aside rheir pc�sirional role
scicnce, and e�ery leader : in order to demonstrate m their
gy Darothy BurtQn knnws thac when dcali��g ; rean� rhe imporrance af na�
: with �eople, tw❑ plus two wilf not : allawing �osition to interFere
.�3 � always ec�ual fviir. 5ome days, it will � wirh rhe accvmplishmenr af a
: equal f�e or six. These are the rimes � gaal. Great leaders dn insiinc-
� rhar rry leaders' sau]s, no[ [o menLivn : [i�ely whar needs ro be done,
? : their patiezice. Good leaders are good � wit�iaut waitii�g around f'vr
� : ro ha�e, 6ur in order for a cicy or an : someone co d❑ ir.
arganixa[ian ta rise and remain at the
� top, great leaders are a must hrave. 3. Great leaders l�now their
"�aood" is nn longer good ei�ough. : team.
' Those who are good simply mainrain, = Grear 3eaders know weLl the
hile those whv are grear artain to � members af their team and
�eights where oniy the sFrong sur�ive = know haw ta le�erage indi-
and where only Lhe great nnes t�iri�e. " �id�ial scres�grhs in order ra
� Greatness doesn't just happen; great : :niiiiinizc weaknesses ihat could
: leaders make ir happen. And here are = damage che whale. They recog-
ei�hF great ways they ha�e learned ro = �iixe the �a[ue and capacity oF
: do that: each team member, what each
� - reani member l�rings ta rhe
1. Great leac��d vut o� a : table, and just how much ea�h
� � sense of p;i.,,inn, not duty. can handle on his or her place.
Grear lea.lc•r� are passionare '
� alonuc .G•liar they dn. �1'hey arc : 4. Great leaders are persuasi�e,
�� not lilcc L�1� guy }�alf-asleep in � putpnse�ul, and s[rategic
the dc�iaur eommercial, wlio cnrnmunicatars.
� stum6les ❑ut ��the house each � Great feaders work to obtain
�r morni�ig be�ause he hrrs rn mak� : buy-in to their �isian, goals,
�Ii�do�,���rs get up ; and mission by appealing and
and� � n and : relating to others in a langiiagc
�•igor,he�ause[Faey ook forward � and in eoneepts 5y which
ta making the donuts. They dn � they can rclate acid under-
���ia� rhey� dn no� hzcause they : srand. They connecr easily and
hrtve to, but because ihey would : eff�ecti�ely wit� ❑thers at their
he no gaod to then�sel�es ar � level of understandii�g. Great
anyane else i�Ehey didn't. leaders understand rhe Founda-
tional importancc ❑f the law
�Q T E % A 5 T O W N 8 G � 7 V • FEB1�l1AFiY 2013
man on the to�em pafe and : of parti�ipativn. Great leaders � ptacess o� de��eloping orhers
that, if misisifornied, he nr : Participate and mari�ate, bue : intn the leaders chey know they
she tould hinder exerution of � t�e�er dictate From on high, can 6ecome.l'hey are iiot at alI
the �isian ar worse, topple the ; intimidated l�y others' poten-
whole team. Lea�ing nothing : 7, Great leaders seek wise : rial fat greatness a�d wi�l pour
to chat�ce, gr�at 1cadErs ha�e ; eounsel. into their li�•es what is needed
learned ro gain buy-in fram che : �reat leaders u��derstand ihat : to fully de�elop that poten�ial.
bociam up. rhey don'r ha�e al� the answers :
aeid,in humility,seek,welcon�e, ; Good—ar great? CJnly you get
5. Great lea�ers ne�er abandon � and ne�er fo��Iishl,v shu�� the : tn decide ynur degree ❑F greatn�ss.
the nnission ar allaw ennntions ; wise cnunsel of others. : Therefore, ir begs rl�e quesrian: Why
to dictate cheir ac�inns. ' settle for be'sng a"good" lEader,w�en
Grear leaders perse�ere, ne�er � S. Great leaders make those : you can !�e a GREAT one? �t
lnse fo�us, acid Far the sake of : around them Esetter.
the team and mission, realixe � Great lcadcrs ❑�ten see the : Darothy Burton is rt farmer four-term
they dosl'r ha�e chc luxury oF ; greatness in those others ha�e � c•ity counralwoman r�nd rn�cyor pra �em
allowing their pri�ate errxorions : n�erlookcd. They ha�e ihe � for thc City of Du�zcrznville, Texas; �
ro dictare �heir pu6lic actions. � innare abiliry ca laok �eynnd : ,for•mer 6orard rraem6er of the Natianr�l
They recogniae thar they are : w�1at they see to the potential of � Lerrgue of Cities Women in Marnicaf�al
the sta�idard bearers and ha�c � what others could be, nat what : Government,• ranc� rt former irssistant
learned �a nor gi�e way ta : they currently may or may not : regianal director of ahe I�Irrtranal Black
pettiness or negarive ❑r angry : be. Grear leaders rake the cime : Caucars af Loc�xl E7ected Ufj�icials. Her I
emari�ns, which could ha�e : t4 me�ltor, Tcach, demonstrate, : w�&site is wxuw.dorothy6urron.corn.
i
long-tcrsn damagi�ig effc�ts. : model, :inci ser inra mocian the ; '
And fear is ne�er an apriQn.
Great Iea�ers can't be 6ullied
and will always make decisions
based upan che 6esr inccresc 0��0
❑F t��e ream and organixa- '
:� �,. ��
tie�n. They may Feel a� rimes �► �
�ear�ul, hu� great feaders fight �
through fear, dismiss doiibters
and critics, an�3 push ahead co r � ,
complete the mission. ► �
G. Great leaders Ecnow how to
af�irm and haw ta can�'rvnt. � �
Great lcaders always affirm �
che persan, huc confrant the - ' �
problem—ne�er the other way ::•�, , , � .
arQund. Great leaders builc{ up � ' ' �
and ne�er tcar down their teain ``' _ �
:: � � � • -
meml�ers or su6ordi nares, espe- � � � _ � � .
cially in frvnt oF others—nor ' �� �
will they allaw anyane else t❑ �
do ihe same. Tt�ey value thase �-�6 - - - _ �-
wti❑ add �alue tQ the team '�� ; � �- _ _ `•-r:_ �
and tinderstand that e�eryonf°, - -
e�en [heir best tcaFn mcmber
e�cry nnw and then, has a 6ad > � � �
day. They also afFirm by �vay � � : � �
XEBFUARY 2U13 • T E 7( A 5 7 ❑ W N 8 C 1 7 Y 75
-�
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_-= I � � � � � �
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By K�Vin Frazell, Director of Member 5er�ices,League of Minnssata Cities
i
I Reprirrted frorr�Minnesata Gities,a publication af the League of Minnesota Citres
I
� y
� � � .
� .�� � _ Na dQubt abvut it�, your
.
� ' � ``� � �+ role as r� cauncilmember
- , � ��► � � .� � .
_ ' r, is impQrtant to yaur city.
ti' - -
� � y - B�t th� p�rt y�� p�y �s
_ �
'� -.` � s � , , ' � � � distinct from that of tdae
�' � � city rtaf� It's import�nt to
� � � _� � � � � _ � understand the dif�'erence
�� 1 _`� � � � '� 6etween council and staf�'
� �� � rales—r�nd how the two
� ' � �� j� � camplernerat each ather to
f-
.. i� L �� J � � acca�rtplish the city's gacxls.
�.�l .
�
s a newly elected ciry coun- are distinguished 6y the separation suggested instead a model ❑F laoking
eilmernl�er, you probably between pnlicy and adminiscration; at che work af che ciry on four le�els—
ha�e a lot you want ta that is, council sets policy, and sta�f establishing o�erall mission, adopting
accomplish. A large part administers it. While in the broadesr specific poIicy, administering rhat
of your success will 6e sense, that may be a helpful first way policy, and tending to the day-to-day
determined by your ability to work to think a6ui�t things, in practice it is details of managing the Ciry. 5�ara
well with others. After all, you can't a little ton simplistic. In fact, the line abser�ves that in eacli of these Four
accomplish much alone; you are now 6etween poli�y and adrtxinistration areas, both elected affscials and staff�
part of the�ity team. ean �e a Fu�zy nne, �arying based an ha�e �rital roles to play, but that t�e
flne key part af che ieam yvu'll cominuniry politics, �he strengths and 6alance of responsibiliry varies in each.
be rely�ng on is the ciry stafF: It's preferences of the current�ouncil and
impartant t❑ understand the distincr staff, and ihe issue at hand. � Missiora has to do with answering
roles thar coun�ilxnembers and sta£f che 6roadesr quesrians af
metnbers play in doing the work of FDlll' I�V@IS �f CI�Wprl( go�ernieig—why does the city
the ciry. ]�� 5�vara, professor of public admin- exist? What does it do? Whom
Tt is often said tF�at [ha[ the roles istration with the 5choal oF Pu61ic does it ser�e? What ser�vices should
of rhe elected ❑�#icials and staff pffairs at Arirona SCate L1ni�ersiry,has it pro�ide?
lg T E ?[ A s r a w N & C I 7 Y • ,7V[VE 2fl73
i
As eiecced represecirari�es,che • �inally, management is all of rhe of ele�ced afficials, you �an 6e a part
mayor and coun�il predasninate at day-to-day detaii it ta[ces to make of ensuritig your ciry has a great team
this le�el and are the anly ones a ciry run—direcring sraf�; making ry get things accomplished. �
wha can gi�e the final answers to purchasing decisions, issuing
these questions, Sur scafF pro�ides repares. Managemettt is almast Differe�t primary cnnsideratians
�itaI suppotr in gi�ing ad�ice, entirely �he responsi6iIiry af staff, Jahn Nalbandian, professor i�i �
I
analycing what might need to be although the �auncil F�rn�ides the Schnvl of Publie AfFairs and
do�ie, and ofcen in 6eing the insti- braad��ersighr anci gi�es Feedback Administration at the Ll�iiversiry of
tutional memary ❑f I�aw che city ❑n how well offi�ials helie�e things f{ansas and a Former elecred ciry afFi-
got ro where it is �oday and why. are a�aerating, oftest thraugh the cial, has characterized the difFcrcnce
annual perFnrn�ancE re�iew of the �ery suceitictly with a couple of key
+ Paliey simply means pLirring rhe � chief adrninisrraci�e aFficer. quesrions. For ele�red oFfcials, I�e
toals ❑f go�ernas�ce in place— nffers, [he key quesrion is "What da
adopcing ordinances, rarifying new As yau work wi�h your ciry staff you hear?" while for staFf ihe i�npor-
prajects and programs, appro�isig at all af these levels, you may 6e tatic thin� is "What do you know?"
che nperating ar�d capital budgers. � surprised rl�ac rheir �iew r�F rhings "Whar do yau hear?" is the polit-
Again, in a c�emocra�y, nn�y will often Ue quit� differ�nt From ical questinn. In other words, whai do
� the e�ected nFficials ean rr�ake rhase � yaurs as an elecrrd nffirial. Perha��s rhe cirixens of yaur ciry wanr? What
' fin:il determi�iations a�zd take � yaur itiitial reaction may be that staFF ' are they saying when chey get toget�ter
� actinn. Bur r�e staff inembers play � is l�eing nonresponsi�e or abscruc- ar c�mmon locations like rhe cafe or
I a role 6y bringing their proFes- tionist. $ut, as in so many places little league base�all field? Whai are
� sinnal expercise rn the cable. They in life, r�sere can aecually be great they saying in che newspaper ❑r in
� ad�ise a�ad support the CQll1ZCII stre�igth in d'sFferencc. IF you come to onlin� hlags and f�rums? Whar da
in adopting poli�y that will be I ap��retiare rhe scaFf perspecci�e, and they say to you in the grocery s�ore?
effective in a�hieving its inici�ded i help thezn u:idersta�i� the perspecti�e
purpnses.There�'ore,the sraF�'s role
in poliry is abvue equal to the
elected officials' role. �
I ,
■ Administrrttion is the work oF �
putring ragerher rhe organicarional �
stru�ture tn implemcnt policy
r�r, more sirr�ply pur, tQ maise �
things actually happcn! What will
be rhe major deparrmenis af rhe
ciry? Who will re}�orr tn whom?
Whar faciliries and eqiFipment ate
needed to su}�port the work af �
rhe ciry? '
Here the lc�el of in�vl�ement , ' ' ,
by the staff begins re�exceed char of � � � �
thr clectc�offcials. $ased on their � _
prQFessinna� expertise and experi- �
encc, the stafF will usually make . -
recnnimendatians to ihe counci� � �� �,
ahout ltaw best to structure rhe � �=-'
�ity. '1'he cvuncil stormally re�iews . � j <�+}' � ���'��., .` ��i'- �
and ratiFes such majar decisions, � =- _ _
I but depcnds heavily ❑n staff for ��'
0� �0
�•
re�ommendations. ��i�'' • , , , , -
y•
❑�i-.�' - � � + 1 1
JVHE 2013 • T E H A 3 i O W H 8 C I T Y 19
�_�
This is �he ques�ivn rhac righcly The arienracion may also include Clear expectafrons �or all
conne�ts e[ected otficials tv �l�ose rhey a cour oF city Faciiizies with att eyr i Ano�hcr 6csicfit o�goo� communica-
represenr. Seasoned scaff inem6ers co un�fersranding rhe issues rha� li� tion is rhac e�eryane knows what ro
undersra�id and pay attenriun ta th'ts ahcad—streers that need major repair, expe�t. ❑ne way ta ensure this is to
quesciarx as well, but ic will n�i be uriliry��lants thar need ra 6e expanded, sez a"nv surprises"rule Fve yvur meer-
their primary focus. and business parks that need ro he ings.This means t3iat at meetings, na
"What do you knnw?" is rhe �i11ed up. lf your ciry dnes nvr ofFer Une wili he surprised l�y unexp�cced
proFessional q�iestion. Wh.�t Fa�ts suth formal vrienta�ion sessians. items being added to the agenda ❑r
sup�zorr ihe need to build a ciew consider askif�g yotsr chicFadminisTra- S��stantsal new (and perhaps contra-
p�ihlic works faciliry? Which rnad �i�e officer iF he or she cauld set u� nersial} infarmarion being presented
desi�n will 6esr mnve traFfi� chrough informal meetings and tours for yQu, that you are exp�cted ro digest privr
downrown?Wliat ty�es of rhecks anci Thac cammirmen� t❑ g�ad ro making a decision.
� � balances iFi the tinance department com�munication shauld �onrinue I Anor�er important way to �:ee�
� will ensure che praper use of ciry wirh the information yau and staFf everyone, c�unc:il and szaff alifce,
Funds?What is nc�past history of rhis exchange prior t❑ eac� meeting oF the worlcing fram the same page is tv ha�e
issue in our �iry? Ca:i we realistirally ciry council. Sta!'f wil� usually pro�ide a missian scatement, s�s-acegic plan,
affor� it? Is it I��,al? Thraugh e�u�a- I � agenda For the meeting a�com- and at Ieast a list ❑#work goals and
riors and experience, scaFF memhers panied !�y repnrts a�id memns [hat �,xr�jeC�s ��r y�ur ciry. LurchisYg Fram
lu�aw�ow to answer suc1� questions. prepare you for the discussian and fr�r 'sssuc to issue at ea�h meeting rends
Mosr rr�ajor decisians ha�e co �oring on rhe scheduled items. ra lead rn Frustrar'son and a waste nF
in�orporate 6Qth cJucstians, arid the Smaller �ities with a small sraF� resources.
strangesr counci! a�id staf�' teams may have �he a�iliry to pra�ide on�y Ha�e a facus v:i ❑urcarnes related
�ecome a�epr a[ 6riiiging those enfli't �imi[ed written infart�tarian rhat � tv agreed-upon needs of the cominu-
complementary perspec�i�es togec�er. wi�l he supplemented wich a Urnader � niry rather than n�z persosial agendas.
Fvr example, the question ❑f how ❑ra! repart at the meeting. Either way, An�f Fnally, undersranc� that ❑nce
best ct� design a sireet tn ma�e traffic yuu shauld feel free and welcome ry � th�se ❑u�con�es and rhe ex�ecraeians
through the down�own needs 5oth the canta�t ciry staff prsar ra any meering � for performanGe are ❑utlined by rhe
prnFessional is�put of traffir engineers, to ask questions or ha�e furrher dis�us- cvun�il, the �etails aF administration
but equaUy, clze political insig�rs af sions tha� [�elp prepare you for t�sc arr usually best leFt up �o sraf�:
the counci] a6out �ow the people of cnun�iE meeting. At tl�e end ❑f [he day like mosi
tl�e rity actuaIly use daw:itawn and Fur yaur part, remem6er rha� I huma:i relatians, �he relarionship
how they would like rheir rity tr�louk. comm�inication is a twa-way streed hetween elected vf�-icials and ciry staFt
The scafF �annot r�ad your i�ind. �omes dawn co�7ne�f mucual respecr.
Cre�ting � gpod relationship Let them know w�a[ yau need. Respe�r for roles, respe�i For�iFfering
As you brii�g rhes� ��iF�erenr perspec- Demanstrate opersness, hvnesry, and i pers}�e�ti�es, and respecr far the goad
ti�es to the work of ihe city, how Can transparenCy in your own interactians � intentinns of 6orh to dis�lay an atti-
yau hclp c��sure thar your reiarion- wizh scaff, and usually you will find rude ❑F publi� ser�i�e rhat focuses
ship with [he staff is a praducti�e and �at they uphald rhe satne sran�axds nn tl�e needs ❑f tlie �ommuniry and
murually rewarding one? in r�eir interactions wieh you, irs ritizens. When y�u demansrrare
First and foremast is govd comm�i- Feel Free to express yoLir vpinians respe�t For ❑thers and set an expec-
nicarifln. 5caff shauld hclp you under- and explare rh�sughts with stafE. Bu� rativn tl�ac chey wi17 respect y�u.
stand and negotiate yous new duties remember that they cannQt and shduld �Qu wil] 6e weli ❑u your way to
as an elecred of'ficial in yaur eiry. noc take work direccivn frvm yau as an ha�ing a gteat relatio��shi� wirh your
After eacf� e�e�tion, many cities hnld indi�idual member oF t�ie cdun�il; ��e ciry staff yk
a �ormaJ nrienza�ion session fvr new gd�erning body has co speak wicli ❑�e
members ❑t the coun�if where they �vice thraugh majariry�ote. ynu »iny rortrr�rt ICevi�r Frrtzell at
meet with departmeni heads ro �e G51-?51-1?IS or k�rrrzrllL�lrnr.arg,
briefed ❑n the ❑perations l�eaded
by each.
20 T E X A 5 T❑ W H 8 G � T v . �i��JE ?0}�i
104 THE ONTfaRGET BOARD MEMBER THE 8 INDISPUTABLE BEHAVIORS OF ONTARGET BOARD MEMBERS 105
�a �������� ��� w�r� by setting targets and bound-
aries, giving them to the staff and letting t�em do
the work.
Appendax 9
�o �ss�s�������°�rn�n�e by checking to see if the orga-
nization has hit the target and avoided the risks.
�n i t l �� r
7a P�°���gc� ����i�al��e in orientation, ineeting atten-
r � r r� dance, preparedness, participation, disc�ssion,
focus, and the avoidance of conflicts of interest.
�e R����� ���� to the owners on the progress toward
OnTarget Board Members do the following: "hitting tlie target."
�e A�� �n ���aalf of their owners—they identify their
owners, seek their views and values, and use them
in decision making.
2. ��ow �he�r job, the business of the organization,
and their duties under law, and they continually
educate and orient themselves.
�, Set tar�e�s for the organization—they determine
certain outcomes for certain beneficiaries at a certain
cost based on owners' wants and on knowledge of
the internal and external business environments
and then the board writes them down for staff.
4. �de���ff3� the �Ilsks in the organization that are
unacceptable and write them down as boundaries
on staff actions.
���i
NATI�NAL CHARTER SCH�OLS INSTITUTE nationalcharterschools.org � (989}774-2999
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THE FIVE DYSFUNCT�ONS OF CHARTER SCHOOL BOARDS
vy
Brian L. Carpenter, Ph.D.
CEO
Natio�al Charter Schools Ir�stitute
Overview
Bestselling author and executive business con- seen boards that were flat-out incompetent. In an-
sultant Patrick Lencioni is on to something. In his other organization, failure by the board to provide
book, The Five Dysficnctions of a Team, he explains proper financial oversight resulted in an embezzle-
why business teams of all kinds faiL More impor- ment case involving the executive director and the
tantly, he explains what they need to do to succeed. FBL Extreme, yes, but it illustrates how serious
Though I haven't yet met Lencioni, I credit him problems` can arise when boards don't function
with the idea for the title of this essay. properly.
The idea of writing something about school Years of such observations have led me to con-
board dysfimctions has been percolating in my inind clude that boai-ds ha�e common dysfunctions. The
for sorne time. As a superintendent of schools in the purpose of this paper is to improve the performance
private sector for twelve yea�-s a�ad as a charter of charter schools by helping board members under-
school board inember the past several years, I have stand what some of those common dysfunctions are
often had a front row seat to tlle dysfunctional and how to avoid or remedy them.
things school boards do. Not that board dysfunction Pd love to claim ariginality of thought here, but
is limited to schools: I have also witnessed dysfunc- much of what I will say has been written or said by
tional behavior as a inember of otl�er goveining others—often better than I could write or say it.
boards. All told, my hands-on experience--ar Nevertheless, my desire is for this brief piece to ig-
should I say, my seats-on experience—with boards nite passion in charter school board members to
presently totals something in excess of twenty years. commit themselves to making their boards into
Duriiig these years, I've sat through Iengthy models worthy of imitation. For further study, I
board discussions about such important things as the strongly recommend reading the works of Fatrick
color of trim for new offices, how teachers should Lencioni and John Carver, both of whozx� are listed
approach the coiatroversial issue of Santa Claus, and in the references section of this paper.
wlaether a particular student deserved a detention. Finally, I'd like to dedicate this paper to my
I°ve seen shouting matches and power plays that friend and mentor, Dr. Bruce Lockerbie. Bruce is
would make Machiavelli blush (and here I should chairman and founder of Paideia, an agency that
note that names in this paper have been changed to works with schools, churches and nonprofit organi-
protect the guilty). One board on which I served as zations that want to improve their leadership. Thank
superintendent was so divided that one-half of it you, Bruce, for your years of wise counsel and for
threatened to sue the other half. And if such provin- being the first to provoke serious thought in �ne on
cial behavior weren't depressing enough, I've also the subject of effective school board leadership.
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The Thing Charter School Next, depending on the order of
Boards Have In Common the agenda, the board will discuss
old business, new business, and
One of my favoz-ite quotes about other business (as opposed to just
board dysfunction coines from t1�e barsrr�ess). It will spend several hours
late busiiless genius, Peter Drucker. rehashing and reviewing decisions
In one of his inany outstanding that already have been made by the
"there is one thing books on leadership, Management: school leader. It may discuss adopt-
that all boards have in Taslrs, Responsibilities, Pt�crctices, ing policies about which it generally
he asserted that "there is one thing has insuff cient training and knowl-
common ... They do �hat aIl boa�ds have in cominoiz ... edge (e.g., does your school have a
nOt funCtlon." They do not fianction." (1974, p, good AHERA policy?}. The board
(original emphasis) �2�) (original einphasis}, will listen attentively to adminis�-a-
As a charter schooi board inem- tive presentations about field trips,
ber that can be a hard piIl to swa�- essay winners or other feel-good
P�fier Drucker iow. After all, you have the best of infonnation. Finally, as the meeting
intentions, you volunteer your time winds towa�d the end, no issue that
and skills, and you are probably suc- any single board member wants to
cessf'ul in your other roles in life. raise is considered inappropriate or
You may even serve on several out-of bounds. At some point, usu-
other boards. But the assertion that ally near e�austion, the board will
all boards do not function, coming adjourn, only to repeat the process
as it does frorra the luminous next�nonth, and the next month, and
Drucker, suggests that we ought to so on.
ask ourselves what would make him Some boards rr�eet between meet-
say that. ings tlirough committees. Often,
One need not consult the Oracle these committees do Iittle more than
of Delphi to understand why— reach a foregone conclusion or serve
especially anyoiie who has served as a smokescreen or end-run tactic.
on a charter school (or other} board What is the result of all this
for any length of time. The dysfunc- largely pointless activity? Charter
tion is obvious.Think about it: What schools which fail to pert�ornn the
does the typical charter school board rrery thing for which they were cre-
meeting look�ike? ated: stasdent achievement. Some
First, it generally meets monthly, charters aren't even rivaling the
- which is way too often. When achievement of their nearby local
enough board members are present districts.
for a quonrrrz�r as I like to say, a With whom does the ultimate
quarrel—the meeting is called to responsibility for this failure lie?
order. The chair then asks if every- The legal conclusion is inescapable;
one had a chance to review the min- Regardless of whether the schoal is
utes and the financial statements. self-managed or the management is
Most board members will then pe- contracted through a se�rvice pro-
r�se them for the first time. A reso- vider, the final responsibility rests
lution to adopt them will be with the board of directors.
passed—though many board mem- This being the case, it's time to
bers don't know how to read and consider how to avoid the five dys-
interpret financial staternents. functions of charter schoal boards.
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D�sfunction #1 wants; the management detennines
Managing vs. Governing how to achieve it (within board-
defined Iimits).
The difference between manag- Whenever a board performs the
ing a�id governing a school is like roles, tasks or responsibilities of
the difference between coaching an management, it becornes dysfunc-
NFL football team and ownii�g one. tional.
Although it's not a pei-fect anal- Consider the �'ollowing example
agy, in football, a coach is hired by from a conference I a�tended a �'ew
the owners to iun the team and years ago. A board mernber in the
he's held accountable an the basis af audience boasted to the rest of the
the teain's perfonnance. There is no g�-oup (mostly other board mem-
such thing as a successful coach bers) that individual board mernbers
without a winning tea�n. in his school conducted teacher
With perhaps a notable exception evaluations. That's as dysfunctional
or two, the owners of the team do as it is misguided. Schaal board
not tell the caach which plays to call members aren't usually qualified to
or otherwise how to do his job. evah�ate teachers anymore than
In charter schools, the baard gov- Wendy's board members are quali- ���arter school boards
erns for an owner. But who is the fied to evaluate restaurant ernploy- goverrl SChoo1S 3z1 the
owner? Obviously, the board does- ees. sense of a trust. This is
n't own the school as with a football Even if occasianal charter school
team owner. And it isn't the rnan- baard members are qualifi�d to do why board members
agement company, even if it owns so, perfonning the role of manage- are sometimeS referred
the building. It is the pa�blic who rnent puts the board at risk of alien- to as trustees—people
ultimately owns cha�-tez schools. ating the schoal faculry and staff, as
Thus, charter scl�ool boards gov- well as potentially inviting the en- who control something
ern schools in the sense of a trust trance of a union (see Carpenter, on behalf of the owner.
This is why board members are 2006}--an occurrence the board will
sometimes referred to as trustees— likely reget_ C�t��ter SChool trusteeS
people who cantral sornething on Instead a�' evaluating, hiring and have the authority to
behalf of the owner. Charter school firing personnel, chaasing curricu- go�,e� �e school on
trustees have the authoriry to govern lum select�ng test instruments and
the school on behalf of the public. reviewing routine student discipline behalf of the public."
The management of a school matters—all of which are manage-
functions similar to a�'ootball coach- ment functions the board should
ing team. Management in a school prescribe the outcomes it wishes to
has direct supervision of the teach- achieve, establish (through policies}
ers, staff and students. Management the boundaries in which the out-
should possess the expertise neces- comes are to occur and then hold the
sary to run the school on a day-to- management accountable by evalu-
day basis. The head administrator ating those outcomes.
should be evaluated by the board as For boards that need further help
to how well he or she is achieving defining governance responsibilities,
the objectives of the board,just as a 1 recornmend the book,Boards That
faatball coach is evaluated accord- Make a Difference (Carver, 2006)_ It
in�g to the ob�ectives o�'the owner. In unpacks the mystery o�' how to
essence, the board says what it cease managing and start governing.
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��lATIONAL CHAR7ER SCHOOLS [NSTITUTE nationaicharterschools.org � (989)774-2999
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D S�unCtion #2 rectives to school leaders, foizn
cliques, interfere with management,
Misappropriating raise issues at the board ievel that
Board Authority arise froin personai agendas, anci/or
pose as the spokesperson for the
Too often, chartez- school board staff or parents or soine segment
meinbers mistakenIy believe that tl�e thereof.
"Devising proper �ines authority which tl�e board possesses �n reality, the only time a board
of authority and re- to govern the school is possessed by membe�-possesses authority is when
each board inei�nber individually. It he or she is sitting in a board ineet-
quiring fihat individual is not. Some board i�nembers go so jng, as part of t11e wl�ole board, or
board members ad- fa�as to behave as if what they want when he ar she has been duly ap-
he�e to them b Cast- accoinplished individL�ally is the po�ted to act on behalf of the board
�' same as what the boa�-d wants ac- (Such as, being part of a committee
ir�g fihem as boa�'d pol- complished. A friend who is an au- —something that shouid be used
thorizer told me of a comicai exam-
icy can go a long way sparingly, if at all, since board com-
pie of this: A board member ordered ��ees diminisl� the board's ability
toward eliminating the school leader to install a bicycle
to hold the CEO accountable)
"loose canrton" rack because she wanted her child to �earver, 2006).
problems." ride a bike to school. In contrast to individuals running
In schools in which Pve served, �-o�d the school imposing their
individual board members have: Q�,n agendas, a functional board
• Telephoned me at home ' speaks with one voice. It does this
(sometimes on weekends)to only when it passes a resolution
dispute student discipline (regardless of the actual�ote count).
matters involving children of Indi�idual board member opin-
their friends ions which may be stated in board
• Spent or encumbered school meetings are not binding on tl�e
funds on pet projects without school's adininistration. How could
board authorization they be? No matter how talented,
• Directed traffic and staff at there is no superintendent that can
school drop-offlpick-up time szmultaneously satisfy multiple indi-
without being asked to do so �iduals with conflicting opinions.
• Authorized fundraising De�ising proper lines of author-
• Polled teachers for opinions ity and requiring that indi�idual
about the strategic direction board members adhere to them by
of the school casting them as board policy can go
a long way toward eli�ninating
Quite thankfully, renegades such "loose cannon"problems. Also, new
as these are usually just one person board members should receive an
on a board. E�en so, one board orientation which explains the gov-
member who thinks he or she pos- erning philosophy of the board.
sess the authority of the board— Lastly, waste no time as a board
especially if he or she happens to be in remo�ing an individual board
the chair—can interfere with the member who consistently refuses to
effective governing of the entire abide by the policies of the board to
board{Kissman,2006). act and speak as one. Schools run
Such individuals often gi�e di- better without such members.
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D sfunction #3 school. The CEO should tllen be
�' delegated with the necessary author-
Creating "Revolving Door iry to achieve them. Tr�e account-
Accountability" ability comes from assessing the
school's perfonnance against the
Prior to selecting a CEO, the pre-defined outcomes.
board should decide what is to be Besides student achievement,
accomplished by the school. Board which is clearly the primary deliver-
expert .Tohn Carver refers to these able for any charter school leader,
accomplishments as "Ends," de- the board should also ensure that �,
fined as those things that are to be school finances are being appropri- A good starting point
accornplished, for whom and at ately handled. Every board should for determining ends is
what cost. (Caiver, 200b). receive regular financial stateinents for every board mem-
Only once the board icnows what including balance sheet, statements ber to read the contract
it wants, is it in a position to search of cash flow, and income and ex-
for so�neone whom it may hold ac- pense. that exists betweei� the
countable to achieve it. lt is also advisable for the board board and the organi-
A good starting point for deter- to hire its own auditor to peniodi-
inining ends is for every boa�-d cally review tliese statements and to zation that approves it
rnember to read the contract that �onduct an annual audit. to operate and receive
exists between the board and the If you think this is too expensive, state funds (i.e., its au-
organization that approves it to op- I can assure you it is a bargain com-
erate and receive state funds (i.e., its pared to dealing with the oc�asional �orizer or sponsor�.
authorizer or sponsor}. These con- crooked CEO who steals money, as These contracfually
tractually agreed-upon outcomes happened in an organization on agreed-upon outcomes
should be the minimal basis of CEO whose board I once served. Few of
- accountabiliry. us on the board expressed conceni should be the minimal
What is more often the practice, about not receiving good financial basis of CEO account-
however, is that a board hires a reporting until it was too late.
CEO without any forethought as to And it's not just embezzlement ability."
how he or she is to be held account� against which the board should
able. As my friend Br�ce Lockerbie guard. The board also needs to pro-
says, oftentirnes the first job evalua- tect the school from incompetent
tion the CEO gets in such cases is management which can cause a
written on a pink-slip. The board school to close due to insolvency.
then repeats the process with its next For a sobering example of this, read
CEO, thereby creating a `�evolving the California Charter Acaderny
door" to the schoal Ieader's office. story in chapter four of Hopes,
This is board caprice, not account- Fears, &Reality(Lake, Hill,2005).
ability, and it is highly detrimental Finally, if you have a talented
to building a good school. CEO who is accomplishing what the
Beyond those outcornes which baard has defined, show your appre-
the board is contractually abligated ciatian to him or her. You'll be do-
for the schoal to achieve (the very ing your schaal a favor since it is
essence of the charter school idea), well-known that talented school
the board should develop additional leaders are in short supply. Keep the
policy objectives that are consistent door to the CEO's office voluntarily
with the mission and visian of the locked—from the inside.
5
OO 2007 Nationai Charter 5chools Instit[�te Rev October 08
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�s•�
�NA7IONAL CHARTER SCHOOLS 1N5T1TUTE nationalcharterschools.org � (9$9}774-2999
�� ��
�
Dysfunction #4 • Rest��oom usage schedules
Wasting Time • Field trip details
on Administrivia For boards seeking not to waste
time on administrivia, I recommend
I don't recall where I first heard three things.
the word "administrivia." Someone First, establish a baseline for
coined it to refer to the thousand- yo�board by having soineone keep
and-one details invol�ed in running a minute-by-minute running sum-
a school. I like the word because it mary of how the board spends its
"kids in your school captures so well, the tendency of tiine during two or three regular
school boards to spend unbelievable meetings. Put the findings into one
will live with the edu- amounts of ti��e on insignificant of two columns. One column is for
cation they're getting things, or at least things that are far minutes spent on student achieve-
less significant than student achieve- ment. The other column is for eve-
from you for the rest ment.
rything else. Compare the two col-
of their lives. Isri t it A former superintendent friend umns. If yow board is spending less
worth at least half oiice told me that in his observation, � half its time on student
school boards spend 75 percent of achievement, the board is wasting
of the board's �eal time talking about things that time on administi-ivia. (Obviously,
regular meeting time really don't matter. By the time �ere are other important topics that
to discuss how well �ey're two hours into this bog, boards need to discuss, but they
board members are too tired to de- shou�dn't consume half of a typical
the school is prov�d- vote even 15 minutes to talk about meeting.)
ing that education?" improving student perforrnance. Second, read Patrick Lencionx's
This sa��ne friend says that if charter vook, Death by 11�leeting. It contains
schools invert this model and spend some excelleiit lessons about the
75 percent of e�ery meeting w�•es- st�ucture of ineetiiigs. Although the
tling with the difficult issues of stu- book is geared toward management
dent performance, charter schools meetings (not to be confused with
would become the most successful bflard go�ernance meetings}, some
schools in the country. of Lencioni's ideas and insights are
What issues do boards waste applicable to charter school boards.
their time on, if not discussing stu- F'inally, exercise the discipline of
dent performance? Well, the sky taking the long view of things, Ask
really is the limit. Here's a sample yflurselves as a board if"xyz" issue
of discussions I've endured: �S going to be of any importance in
• Paint colors on exteriar five years. If it isn't, delegate it to
classroom doors the CEO and move on.
• Fillxng secretarial positions Student achievernent will always
• Content on classroom bulle- pass this litinus test because kids in
tin boards your school will live with the educa-
• Cheerleader skirt length tion they're getting from you for the
• Selecting a contractor to rest of their lives. Isn't it worth at
repaint an exterior sign least half of the board's regular
• Extra-curricular activities meeting time to discuss how well
• Recess protocol the school is providing that educa-
. Tennis court resurfacing tion?
6
OO 2007 National Charter 5choots knst'stute Rev October O8
Q-1
�.a:
�NATIONAL C�1AfiTER SCHOOLS INSTITUTE naYionalcharterschools.org � (989)774-2999
�; �d
�
Dysfunction #5 The functional board recognizes
tl�at it needs to develop itself. To do
Failing to Develop so, it devotes ti�ne in its board meet-
Its Own Capacity ings and resources for that purpose.
lt may watch an informative pro-
There was a time when a school gram, ClI5Cll55 a book or invite an
board could do its job with little or outszde expert to present informa-
no expertise required. A hundred tion. Board members shot�ld also
years ago, if yo�.� could read and ci- seek to educate themselves outside
pl�er,you probably would have been board meetings by attending an oc- "A hundred years ago,
considered well-quaiified to help casionat seminar and by staying in- if you could read and
govern a school. formed of broader charter schooi
Not an�nnore. trends. cipher, you probably
These days, schools are complex This doesn't mean that every y�ould have been con-
organizations. The list of things charter school board member should
about whicl� charter school board possess the same depth of knowl- sidered well-qua�ified
membei� should have a working edge as the school leader. That to help goverr► a s�hool.
knowledge include, but are not lim- would be absurd. Not anymore."
ited to,the following: lt does mean, however, that
board members should recognize
• No Child Left Behind Act that they cannot govern properly
(NCLB} without a certain level of under-
• Individual with Disabilities standing. �t is completely legitimate
Education Act(IDEA) for boards to invest time and reason-
o Sizeable a�nounts of state-level able amounts of school funds neces-
public school code including sary to acquire it.
your state's charter school re- On the charter school board on
quirements which I currently serve, the board
• Financial reporting devoted time for several months to
• Contractual a�ee�nents discuss a book on governance which
• Funding,building, and mainte- everyone agreed to read. We also
nance of school buildings regularly invite our school leader to
• Employanent law educate us on vazious issues involv-
• Management companies ing student achievement.
• Student achievement and per- lf you're reading this as a charter
formance measures school board member, tt�at's a good
• Good governance indicator you take your role seri-
• Policy development ously. But if others on your board
• Negotiating skills aren't developing theu knowledge
• Union tactics through further training, discussions
• The politics of school choice ar�d reading, their negligence will
• Marketing impede effective govemance.
The above sample of items illus- The references at the end of this
trates just how complex the charter paper are a good place to start. Pick
school sector is. Regardless, board a resource and resolve as a board to
members have the responsibility to begin spending a few m�inutes each
know this stuff. What to do? meeting discussing it. This action
alone would improve most boards.
7
O 20D7 Nationai Charter Schools Institute Rev Dctober DS
Q-1
�•�s
�NATIONAL CHARTER SCHOOLS lNSTITUTE nationalcharterschools.org � {989}774-2999
� •
��
Refexences & Recommended Resouxces
Carpenter, B. L. {200b). Charter schaol board university: An int��odt�ctory catcrse to effective cha�te��school
board governance (lst ed.). Mount Pleasan�, MI: National Charter Schools Tnstitute.
Carver, .�. (2002). John Carver on board Ieadership: Selected writings from the creator of the world's most
provocative and systematic governance model. San Francisco, Calif.: .�ossey-Bass, A Wiley Co.
Carver, J. (2006). Boards thcrt make a difference: A new design for�leadership in nonprofit and public argani-
zations (3rd ed.). San Francisco, CA: Jossey-Bass A Wiley Imprint.
Chait, R. P., Ryan, W. P., & Taylor, B. E. (2004). Governance as leadership: Reframzng tl�e work of nonprofit
boards: John Wiley & Sons.
Charan, R. (2005). Boards that deliver:Advancing corporate governance fro�n compliance to campetitive ad-
vantage {lst ed.). San Francisco, CA: Jossey-Bass.
Druckez�, P. F. (1974). Management: Tasks, r�esponsibilities,practices ([lst ed.). New York,: Harper
& Row.
Kissman, K. (2006). Taming the trozcblesome board mernber. Washington, DC: BoardSource.
Lake, R. J., & Hill, P. T. (2005). Hope, fears &reality: A balanced look at American charter schools in 2005
[Electronic Version], 96. Retrieved November 2005 froin http:llwww.crpe.orglncsrpl
pubs/2005_HopesFears.shtml.
Lencioni, P. (2002). The five dysfunctions of a team:A lectdership fable (lst ed.). San Francisco:
Jossey-Bass.
From fhe CEO of fhe Nationa! Charter Schools lnsfifufe
Affiliated with Central Michigan Universiry in Mount Pleasant, Michigan since its in-
ception in 1995,the National Charter Schools Institute is committed to advancing quality in � ;�:'
the charter school sector through publications, conference pz-esentations and tailored techni-
cal assistance to charter schools.
If you found this publication meaningful, I invite you to visit our Web site at
w���.��lic>��1IC.����te�-��4��c���.��-_� where you will find similar monographs on a variery of Brian L Carpenter,Ph.D.
topics including board govemance, administrative leadership, evaluating research and
mor�-all free of charge. As long as proper attribution is given, you're welcome to print
and distribute as many copies of these as you like.
If you would like to discuss the prospect of board governance training or other kinds of
tech�xiical assistance, please e-mail me at Uc��-���:��t�.���z:;�l�ta�sxz�l�i��rte��sc��c�c�1s.��z�s�, or call the
Institute at(9$9) 774-2999 (Monday through Friday, $:00 am to 5:00 pin,EST).
Finally, any feedback you might wish to suggest to improve this, or a�ly of our publica-
tions,would be valued.
s
�O 2007 iVational Charter 5chools Institute Rev October 08
Q-1
THE SMITHSONIAN GOVERNANCE DEBACLE:
TEN LESSONS CHARTER SCHOOL BOARDS CAN LEARN
AT SOMEONE ELSE�S EXPENSE
Brian L. Carpenter, Ph.D.
CEO
National Charter Schools Institute
Introduction Value Proposition
James Smithson, the British donor whose estate If you have time to do the reading, the committee
initially funded the creation of the Congressionally reports are fascinating. They are candid and detailed.
chartered Smithsonian Institution, might well regret You can learn an immense amount from these reports
his bequest if he knew what's been going on at his about how seriously things can go wrong when
namesake. sloppy board governance is the organizational norm.
Due to the actions of the Smithsonian's immediate Most charter school board members, while desir-
past secretary—its senior executive—the organization ous of good governance, however, do not have the
is in trouble. Among other issues,the secretary finagled time to study hundreds of pages of board committee
a stratospheric salary, submitted lavish expenses for reports, regardless of the quality of those reports. In-
reimbursement, engaged in conflicts of interest, and stead, by synthesizing the committee reports into a
spent a substantial amount of time fulfilling obligations few thousand words, this monograph holds forth a
serving other corporate boards. Though his actions simple value proposition: In exchange for a brief in-
were all egregious, responsibility for them ultimately vestment of board meeting time to read and discuss
rests where it always does in a non-profit organization: this monograph, your board can consider whether it is
with the governing board. making similar governance mistakes and correct
As a result the board's failure to provide proper them. There are also lessons for authorizers to con-
oversight, the sprawling conglomeration of museums, sider in their oversight of boards.
galleries and a zoo, which currently receives about 70 Overvlew�
percent of its annual billion dollar budget from US
taxpayers, may lose more than face. A House appro- When board members default on their oversight re-
priations subcommittee cut the Smithsonian's proposed sponsibilities, bad things happen to good organizations.
2008 funds by four percent, an amount equal to $26 Consider the Smithsonian Institution, whose board ne-
million (Trescott, 2007). Although the Senate will have glect has recently been highlighted in the news—neglect
to concur for this cut to take effect, the action has the �at has tarnished that organization's name and may re-
Smithsonian's attention. The governing board—the sult in a partial loss of funding.
Board of Regents—recognizes that it must quickly rem- In a series of articles beginning in January, 2007, The
edy its colossal failures. Washington Post reported a variety of issues that re-
Enveloped in a hailstorm of adverse media, Con- vealed poor governance. The Smithsonian board, for
gressional ire and public disgust, the Smithsonian example, either blithely consented to, or was ignorant of,
Board of Regents formed two investigative committees outrageous executive salaries. While the distinction is
in March, 2007, each independent of the other. Both hard to discern, the results are not: at the top of this se-
were given the charge of assessing what went wrong, lect class, Lawrence M. Small, Secretary of the Smith-
and more importantly, with recommending solutions to sonian,then his seventh year in that position,was receiv-
the Smithsonian's problems. The committees reported ing current year cash compensation totaling $915,698—
their findings in two reports,both of which contain valuable more than twice that of a US President (whose annual
lessons for astute charter school boards and authorizers. salary is $400,000).
O 2007 National Charter Schools Institute 1 Rev. March 2009
* With some minor edits,the overview originally appeared as a column by Brian L.Carpenter in the Charter School Monthly,Aug 2007. Q-3
In addition to this tidy sum, Small Small's actions were, the real prob- members arrive at meetings with their
was reimbursed for a bewildering lem lies with a board that opted to rubber stamps in tow, conducting
assortment of expenses. Many of be more lap dog than watchdog." school affairs like they're running a
these were so unreasonable that Very well, you say, but what family-held business. They are incog-
Senator Charles R. Grassley (R- does any of this have to do with nizant that their laissez fai�e decision
Iowa) characterized Small as living a charter school governance?Plenty. making is harmful to their school and
"champagne lifestyle [that] turns out Some charter school boards act to the broader charter movement.
to be Dom Perignon" (Grimaldi, like lap dogs. They approve murky Like the Smithsonian board, such
2007). Taxpayers may find this par- transactions improperly benefiting boards forget (or ignore) the fact that
ticularly repugnant because the management, their family mem- charter schools are public institutions;
Smithsonian, as the Post notes, is a bers, or individual board members. and that each board member has a duty
public institution. Some boards fail to exercise due to the taxpayers who fund the school.
However, the board's failure to diligence with respect to school fi- It hasn't been that long since the
exercise its fundamental duty of or- nances; they recklessly approve, for charter warld played its own rendition
ganizational oversight didn't end example, whopping increases in of the Smithsonian tragicomedy. Re-
there. Additionally, the Post reported capital indebtedness, thereby sad- member the California Charter Acad-
that Small also served as a paid di- dling the school with a strangling emy scandal of 2004? Failure by the
rector of an insurance company that debt load, the responsibilities for boards and the authorizer resulted in
collected more than$500,000 a year in which will exist long after manage- the overnight displacement of 10,000
insurance premiums from the Smith- ment has changed hands. Many students as 60 schools under CCA
sonian. One seems hard pressed to boards "delegate" auditor selection collapsed (Rotherham, 2005). The
characterize such a relationship as any- to management, forgetting that the movement ended up with a shiner
thing other than a conflict of interest. word "independent," as in the term visible to the country when the story
Consider a few other unethical actions "independent auditor," means that was carried above the fold on the
such as management directing book- the auditor should be independent front page of The New York Times
keeping to reclassify an expense to of the management. (Dillon,2004).
cover Small's tracks, and it smells like Even worse, in some cases, char- It's true, in these two examples,
there was a skunk at the picnic. ter school boards are largely com- the organizations suffered due to poor
Failing to see these as problems,the posed of longtime personal friends executive leadership. Rather than ex-
chair of the board's executive commit- of management—and even relatives cuse sloppy governance, however,
tee initially defended its executive in some states where the law al- these examples should serve to
(Grimaldi, 2007). Thus, as The Wash- lows. Instead of engaging in gov- strengthen every charter school board
ington Post editorial board opined on ernance as a solemn responsibility member's resolve to govern well.
March 1, 2007, "As distressing as Mr. on behalf of taxpayers, these board There is much at stake.
Primary Source Documents for this Monograph
Two committees, a Governance Committee (GC) and an Independent Review Committee (IRC), conducted investigations and produced
reports independent of the other. The reports,number 54 pages and 112 pages(plus 280 pages of supporting documentation),respectively.
Both reports,along with numerous articles from The Washington Post,constituted the sources of information about the Smithsonian in this
monograph.Links to the committee's reports appear below,while The Washington Post articles can be accessed through its archives(for a fee)
at www.washin_t�onpost.com.You can download copies of both committee reports by entering the following links into your Web browser:
The Board of Regents Governance Committee.(2007).Report of the governance committee to the board of regents,June 14,2007.Re-
trieved July 28,2007,from http://newsdesk.si.edu/releases/Governance_Committee_Report.pdf(In-text citations in this monograph refer to
this report as"GC")
Bowsher,C.A,Potts,S.D.,&A.W.Pete Smith,Jr.(2007).A report to the board of regents of the Smithsonian Institution[Electronic Ver-
sion].Retrieved July 31,2007 from http://www.si.edu/about/regents/documents/IRC re�ort.pdf.(In-text citations in this monograph refer to
this report as"IRC")
O 2007 National Charter Schools Institute 2 Rev. March 2009
Q-3
Talent Isn't Enough Ten Governance
One of the interesting things that Failures and How to
the current Smithsonian "governance Remedy Them
crisis" (IlZC, p. 1) illustrates is that a 1. Failure to enact, revise, and
group of talented, high-achieving monitor compliance with policies.
individuals does not necessarily make
a competent board. The Smithsonian In a number of instances, the
Board of Regents includes the Chief GC and IRC reports (see p. 2) indi-
Justice of the Supreme Court,the Vice cate that the Smithsonian board
President of the US, and six Congres- either failed to enact or revise poli-
sional Regents. Clearly as individuals, cies necessary for proper manage-
these people have ascended to the ment, or in some instances, failed
heights of their chosen careers. How- to monitor compliance by the ex- The concept of the board
ever as a group, they failed to fu�ll ecutive with its eXistin olicies.
g P acting as the representa-
the board s very purpose fo� exist- For example, the Smithsonian tive Of the OrganlzatlOn'S
ing: to ensure that the organization, board established a conflict of in- owners 1S one that has
on behalf of its owners, accom- terest policy, but the board failed
plishes what it should, while avoid- to monitor organizational compli- been clearly articulated
ing the things that should be ance with it. by Dr. John Carvel', the
avoided(Carver,2006). Many charter schools have in- wOrld's fOremost expert
Herein lies an important lesson adequate policies or none at all. In on board governance. In
for charter schools and authorizers: schools where policies do exist, h1s boOk, Boa�'ds That
even the most talented individuals board members often aren't even Make a Diffe�'ence, he
need to develop their capacity for conversant in them. A critical role
board governance. It's also critical of the board is to establish major explains this idea more
to understand that this development policies and then monitor compli- COmpletely, alOng with
process has to involve a lot more ance with them. After all, what's Policy GovernanceTM
than learning compliance with open the point of enacting policies if fundamentals. For more
meetings laws and the Freedom of compliance is never monitored? lnfornlation on thls
Information Act (FOIA). Learning
how to govern means learning how 2. Failure to actually provide mOC�el Of gOVernanCe, g0
to do the wo�k of the board. It does oversight. to carver,�overnance.com
not, mean, however, learning how to or contact the National
do the work of the organization's The IRC report makes a state- Charter Schools Institute.
executive; an error that the Smith- ment from which every charter
sonian appears poised to make as school board should learn:
the pendulum now swings in the "Historically, the Smithsonian Board
other direction. of Regents appears to not have
In the discussion that follows, I taken a strong oversight role. Mr.
briefly discuss ten aspects of gov- Small's predecessor tried to in-
ernance using examples of board crease the involvement of the Re-
failures from the Smithsonian case. gents in the affairs of the Smith-
These ten aspects do not constitute sonian, but found a limited interest
the entire work of the board, but on the part of the Regents in taking
when taken together, they help form a more active role" (IRC,p. 3).
a more complete picture how boards The duty of oversight is a legal
should operate. concept under which governance
O 2007 National Charter Schools Institute 3 Rev. March 2009
Q-3
laws take shape. In essence, the A governing board should estab-
duty of oversight means that every lish its own agenda. The board
board member has a responsibility should always consult its executive
to be informed about the organiza- in the process, but the final decision
tion's operations for the purpose of as to what the board should discuss
making reasonable decisions should be determined by the board.
(Charney &Hyatt, 2003).
This does not mean, as some 4. Failure to ask probing ques-
busybody charter school board tions of management or engage in
members will think, that the duty �'obust board delibeNation.
of oversight is an open-ended invi-
tation to walk the school's hall- In order to effectively perform its
ways and sit uninvited in class- duty of oversight, the board should
rooms, or direct the administration ask probing questions about the con-
to reproduce volumes of records dition of the organization, the as-
for the board member's individual sumptions which its executive uses
inspection. Such actions are not to manage and lead it, and the ethi-
part of board oversight. In fact, cal propriety by which decisions and
they constitute a misuse of author- actions are executed. Critical ap-
ity that the board should prohibit. praisal of such factors is part of the
In contrast, the duty of oversight board's work. Skillful, honest ex-
is properly fulfilled when the board ecutives value such deliberations
as a whole monitors the ongoing because they appreciate that trans-
condition of the organization, espe- parent accountability is in the best
cially the organization's financial interest of the organization.
condition. Instead, the Smithsonian Board
"Neve�'theless, boaNd Nevertheless, board members "failed to ask very basic questions
membe�s must under- must understand that they cannot about the Smithsonian's opera-
stand that they cannot delegate the duty of oversight to oth- tions" (IRC, p. 80). No surprise
ers, including other board members. then, that it learned too late that its
delegate the duty of ove�'- Ultimately, every individual board second-in-command earned $10.3
sight to othe�s, including member can be held liable for the million in cash, stocks, and options
other boa�'d membe�'s. acts and omissions of the entire on other boards during her six years
Ultimately, every individ- board. of employment at the Smithsonian.
ual boa�d membe�can be The IRC report also stated that "she
3. Failure to establish and control spent 400 wark days away from her
held liable foN the acts its own agenda. office performing non-Smithsonian
and omissions of the activities" (p. 78). That such abuses
entire boa�d. " The Smithsonian Board erred existed within clear potential scru-
when it did what many charter tiny of the board for six years proves
school boards do: It delegated the it wasn't asking many questions.
establishment of its meeting agenda Does your board ask probing ques-
to the senior executive. As a result, tions and engage in robust delibera-
Small tightly controlled the flow of tion? Does your management react
information to the board thereby defensively when you probe for infor-
preventing the board from focusing mation not presented in reports? Be
on various issues it should have con- wary. Questioning is part of the gov-
sidered(GC,p. 4; IRC p. 70). ernance process.
O 2007 National Charter Schools Institute 4 Rev. March 2009
Q-3
5. Failure to pNeserve the role and the law recognizes that certam docu- Figure 1. Generalized Seniority of
author'ity of the board by flawed ments supersede other documents. For pocuments for Charter Schools
usage of committees. example, an organization's bylaws are Federal education and govern-
senior to an organization's policies, ance laws such as No Child Left
A central tenet of governance is meaning that if the poficies contradict Behind and the Freedom of Infor-
that a board should never permit the bylaws, the policies are invalid mation Act(FOIA). Other federal
laws such as the Asbestos Haz-
anyone—individual board mem- unless the bylaws are appropnately ard Emergency Response Act
bers, including the board chair or amended. If a charter school has a (AHERA)also apply to
groups such as committees—to management agreement, the board's charter schools.
come between it and its CEO policies are senior to that agreement. �
(Carver, 2006). The board must Arising from this concept is the State statute regarding charter
preserve the integrity of this rela- duty of obedience which requires a schoo�s, not-for-profit organiza-
tionship in order to ensure that board to obey documents, including tions, and applicable conven-
proper delegation takes place. its own, based on the authority of tional public school laws(in
In practice, this means, among those documents. In effect, the au- some states).
other things, that committees thority of the board is constrained by �
should not make decisions that are various documents. In the decision The performance contract(a.k.a.,
properly the purview of the whole making process, the board must, the charter) between the board
board. This includes limiting the therefore, actively consult those and the school's authorizer.
Also, other authorizer
power of the "Executive Commit- documents in order to make in- compliance requirements.
tee," which is commonly misused formed decisions.
as a mini-board to make decisions Here too, the Smithsonian Board � ■ ■ ■ ■■ ■ ■ ■ ■ � ■ ■ ■ ■ ■■ ■ ■ ■ ■
in between board meetings. failed a basic responsibility of govern- The board has a duty to obey the
The Smithsonian Board botched ance. By pernlitting the executive documents above. �ocuments
below may not contradict those
this responsibility as well. It allowed committee to approve Small's com- above and must also be obeyed,
individuals and committees to make pensation, not only did the board vio- but the board generally has the
decisions—such as Small's compensa- late the integrity of the governance authority to alter these,
tion—for the whole board. In fact, the process,it also disobeyed its own Char- if done properly.
IRC report noted,that not only did this ter and bylaws(IRC,p.67).
. . .. . . . ... + . . . . . . . . .�
occur, "some Regents did not learn all A charter school board needs to The school's artic�es of
the details of Mr. Small's compensa- regularly review key documents which incorporation and bylaws.*
tion until they read about it in press it has a duty to obey(like its charter).It
accounts"(IRC,p. 5). should also ensure that documents �
Decisions that belong to the whole such as policies and management Polices and resolutions adopted
board should never be delegated or agreements conform to semor docu- by the board.
relegated to committees. Governance ments (such as state laws and its char- j
also includes the process of holding ter). A generalized sequence of the Agreements governing the rela-
committees accountable to the board. semority of those documents to which tionship between management
the board has a duty to obey appears in and the board.
6. Failure to perform its duty of Figure 1. �
obedience by ignoring its own arti- Be forewarned that this is more Procedures,such as those con-
cles of incorporation and bylaws. than an academic concept. Charter tained in parent and
school board members can be sued for student handbooks, etc.
There is an important governance failing to fulfill their duty of obedience.
concept embedded in corporate law A board action that violates your by- *Generally,the corporation comes into
known as "seniority of docu- laws, for example may land you lri existence before the charter is issued,
but the point here is that the school
ments" (Charney & Hyatt, 2003). court. Avoid this by reviewing sen- may not receive a charter unless the
Essentially, the concept means that i0Y dOCumeritS With yOUY attOriley. authorizer is satisfied with the bylaws.
O 2007 National Charter Schools Institute 5 Rev. March 2009
Q-3
7. Failure to promote board Lastly, I want to add a strong word
independence from management. of warning about family members
(spouses of teachers, adinit�istrators,
The GC report states that "Press etc.) serving on a board at the school
reports and Congressional inquiries �'here their family member is em-
have questioned the relationship be- Ployed. Although this is permissible
tween the Regent nominations and �der some e�sting state laws, I urge
the prior Secretary" (GC, p. A-14). the movement to clean house before
Such inquiries are rightly premised �'e ha�e a crisis precipitated by such
on an underlying governance con- �Proper governance, and thereby end
cept: the decisions of a board should up as the subject of a media investiga-
embody the highest degree of objec- non like the Smithsonian. Charter
tivity. This is hard to achieve when schools are public institutions and
the board is composed of manage- should be governed with the highest
ment's personal friends since they degree of fidelity—not nepotism.
are unlikely to exert rigorous over- Authorizers should lead the way.
sight necessary to governance. This
doesn't mean that an executive 8• F'ailure to engage in ongoing
shouldn't cultivate friendly relation- board development.
ships with his board. It means that
friends don't make objective boards. One of the things most evident in
Unfortunately, maintaining board reviewing the reports by the com-
independence is a commonly over- mittees is that the Smithsonian
looked aspect of governance in the Board didn't understand govern-
charter sector. Yet, charter school ance. As previously noted, that's not
boards need independence in order because the people on the board
to make certain key decisions objec- �'ere incompetent as leaders in their
tively—such as whether the school's chosen professions. It's simply be-
current management is getting the cause governance is a discipline,
j ob done right. mastery of which, like any other,
There's a lesson for authorizers requires study and practice.
here. Since board members aren't The GC report recommends that
likely to withdraw themselves from the Smithsonian develop an orienta-
the board based on a prior relation- tion program for new Regents.
ship with management, it is incum- That's a good start, but it falls short
bent on authorizers to examine those of recognizing that ongoing board
"Full disclosure of p�io� development is needed in order to
relationships before appointing or
relationships should not reappointing board members. Full learn and practice the tenets of good
only be �equi�ed on disclosure of prior relationships governance.
boa�'d membe�'applica- should not only be required on Charter school boards can de-
tions; the extent of those board member applications; the ex- velop their own governance capacity
�elattonships should also tent of those relationships should by consistently doing three things:
be judiciously evaluated also be judiciously evaluated by au- 1. Orienting new board members. At
by autho�'tze�'s. " thorizers. If longtime friends and a minimum, each new board mem-
colleagues of the executive are per- ber should receive copies of various
mitted to serve on a charter school documents that are foundational to
board, such members should never the school's existence, along with
constitute a majority. training to understand how the board
O 2007 National Charter Schools Institute 6 Rev. March 2009
Q-3
uses those documents to do its work. Even better, a board can assess its References & Resources
Some of these documents were performance following each meeting.
mentioned on p. 5. For more infor- Such assessments can raise red flags Carpenter, B. L. (2006). Charter
mation, see Chapter 5 of Charter which might prevent a full scale deba- school board university: An intro-
School Boa�^d University(Carpenter, cle like the kind that occurred at the ductory couYse to effective charter
2006). Smithsonian. school board governance(lst ed.).
Mount Pleasant, MI: National
2. Allocating time on its regular 10. Failure to promote oNganiza- Charter Schools Institute.
agenda for the purpose of discussing tional transparency. Carver, J. (2002). .7ohn Carver on
governance. Reading books or arti- board leadership: Selected writ-
cles like this one on governance, Through its numerous governance ings fi�om the creator of the
then coming prepared to discuss failures, the Smithsonian board ulti- world's most provocative and sys-
those readings is a great way to fa- mately failed to promote organiza- tematic governance model. San
cilitate board develo ment. Ensur- Francisco, Calif.: Jossey-Bass, A
P tional transparency. By not holding Wiley Co.
ing that this development regularly its executive accountable, the board
takes place is a prime responsibility unwittingly created a culture in Carver, 7. (2006). Boards that
of the board president or chair. which wrong things were allowed to make a difference: a new design
happen. In so doing, the board dam- .for leadership in nonprofit and
3. Conducting at least one board public organizations (3rd ed.). San
development retreat each year (not aged the organization. Francisco, CA: Jossey-Bass A
Ultimately, it is the board that
to be confused with conducting stra- Wiley Imprint.
tegic planning). The board should creates the ethical climate in a char-
avoid all re lar business durin the ter school. In large part, it does this Dillon, S. (September 17, 2004).
� g through selecting the right CEO (see Collapse of 60 charter schools
development retreat so it can focus Chapter 16 of Charter School Board leaves Californians scrambling.
its attention specifically on improv- The New York Times.
ing its governance. Incidentally, I University). Larger yet, however, is
strongly recommend that the CEO or the role played by the board in culti- Grimaldi, J. V. (March 19, 2007).
school leader participate in this retreat vating an ethical climate by insisting Smithsonian documents detail
on organizational transparency from chief s expenses. The Washington
because the real secret to a successful Post.
school is leaining how to navigate the that CEO. A board that fails to de-
intersection of govemance(the board's mand this runs the risk of not only Hyatt,J.,&Charney,B. (2003).
responsibility) and management (the �inding themselves unfavorably The legal and fiduciary duties of
CEO's responsibility). written about in the morning paper, directors Board Leadership, 78
but also of jeopardizing the very (Mar-Apr 2005).
9. Failure by the board to assess existence of the organization. Rotherham, A. (2005). The pros &
itself. The board's actions should also cons of charter school closures. In
be transparent. As well as setting the R. J. Lake & P. T. Hill (Eds.),
Congruent with regularly devel- standard for the rest of the organiza- Hopes,fears&reality:A balanced
oping the board's governance capac- tion to follow, transparency is a pre- look at American charter schools
ity is regularly assessing the board's requisite for democratic organiza- in 2005. Seattle (Center on Rein-
performance—something the Smith- tions. In fact, one of the purposes of venting Public Education).
sonian board didn't do. At a mini- open meetings acts is to ensure ac- �e Washington Post Editorial
mum, a board should assess its own countability of public organiza- Board(March 1,2007). Smithsonian
performance at least annually. I rec- tions—like charter schools—by re- spending. The Washingzon Post.
ommend doing it in conjunction quiring that their business be done in Trescott, J. (2007, May 24, 2007).
with the board's assessment of its public view. Considering that char- With budget cuts, House panel
CEO—for which a consultant can ters exist at the pleasure of the tax- scolds troubled Smithsonian. The
be useful because of the knowledge paying public, should we be ex- ypashington Post, p. C4.
and objectivity they provide. pected to do anything less?
O 2007 National Charter Schools Institute 7 Rev. March 2009
Q-3
Summary
The Smithsonian's governance errors extend beyond the ten that were briefly discussed in this mono-
graph. Due to space constraints, it simply wasn't possible to describe all of the ways in which the board
failed the organization. In fact,by my count, there were at least 17 major governance errors described in
the committee reports, which means that there are another seven errors that didn't even get mentioned in
passing in this monograph. Fellow researchers and consultants will, no doubt, want to read about these
for themselves in the source documents. For charter school board members, however, the ten failures
noted in this monograph provide ample illustrations to begin a discussion about the seriousness of pro-
viding proper organizational oversight.
The point of the monograph is not a case of governance consultant schadenfreude. While the Smith-
sonian board should have taken its governance responsibilities more seriously, many boards in the profit
and not-for-profit sector, including some charter school boards I've observed, wait until its too late. In
this respect, the Smithsonian board performed no more poorly than many charter school boards. It's just
that some of them haven't made the newspaper—yet.
Board members need to realize they have been granted a weighty privilege to make decisions in behalf
of others, but that the privilege is coupled with an equally as great responsibility. An appropriate re-
sponse is to embrace the privilege and the responsibility by committing oneself to reading and studying
governance in order to perform the board member role well. When reading about the failures of the
Smithsonian board in this monograph, consider that some lessons are cheaper when learned at someone
else's expense.
Disclaimer: This monograph is not intended to substitute for legal advice. Charter school boards should retain and consult
their own independent attorney. Further,the opinions stated herein are those of the author and do not necessarily reflect those
of the National Charter Schools Institute.
From the CEO of the National Charter Schools Institute
Affiliated since its inception in 1995 with Central Michigan University in Mt. Pleasant,
Michigan,the National Charter Schools Institute exists that students in charter schools excel
through the increased availability of high performing charter schools. We accomplish this
through publications (such as this one), conference presentations,workshops,training and � � I
technical assistance. We are privileged to work with individual school boards, state associa- � , '
tions,universities, authorizers and other leaders across the country. Br�an L.�ar�enter,Ph.D.
If you found this publication useful, I invite you to visit www.NationalCharterSchools.or�where you
will find similar monographs on other topics,provided free of charge. And you're welcome to reprint and
distribute these documents, as long as they are presented unaltered in their entirety with proper attribution.
For questions or comments,please contact us at(989) 774-2999,Monday through Friday, 8:00 am to 5:00
pm EST. You can also correspond by email with us at resources(a�nationalcharterschools.org.
Institute publications are not intended to render or substitute for legal advice.
O 2007 National Charter Schools Institute 8 Rev. March 2009
Q-3
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CREATING EFFECTIVE GOVERNING BOARDS
..............................................................................................................................
Produced under a grant From the Annie E. Case� Foundation
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ABOUT THE AUTHOR
Creating an Effective Charter School Governing Board was created by Frank Martinelli,president of the Center
for Public Skills Training in Milwaukee. He has provided training and management assistance to nonprofit
organizations and public agencies since 1976. Frank has a special interest in charter school start-ups by non-
profit youth and family serving organizations and has assisted in the planning of three such charter schools in
Milwaukee.
Areas of expertise include volunteer management, strategic planning facilitation, designing and leading high
priority meetings and conferences, board and staff retreats, and forging community collaborations and
alliances.Frank is also a member of the faculty of The Learning Institute,a national joint venture of the Society
for Nonprofit Organizations, United Way of America, and the University of Wisconsin-Extension designed to
deliver training through a range of emerging technologies.
Q-4
CHARTER SCHOOLS
....................................................................................................................................................................................
CREATING EFFECTIVE GOVERNING BOARDS
�� .
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••••••••••• � ••-••� 'I. BUILDING THE FOUNDATION
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����� ����� } � 3. ORIENTING AND TRAINING BOARD MEMBERS
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. �s
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'""""' � G. CARRYING OUT LEGAL AND FINANCIAL RESPONSIBILITIES
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'"'�""�' � • 7. DEVELOPING EFFECTIVE BOARD-STAFF RELATIONS
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'""""' � F �{� $. DEVELOPING FRUITFUL BOARD-
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COMMUNITY�PARENT RELATIONS
:" �'��'�' 9. ENCOURAGING BOARD MEMBER MOTIVATION
Hc ACCOUNTABILITY
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:•••••••••• M1 �'' 'IO. CREATING EFFECTIVE COMMITTEES
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:���������� 11. FOSTERING FUND-RAISING
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=��������� �� . 12. DEVELOPING EFFECTIVE BOARD SELF-ASSESSMENT
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I NTRODUCTION
The ability of a charter school to carry out its mis- Wisconsin. Created with funding from the Annie
sion depends heavily upon the strength of its E. Casey Foundation, the guidebook is designed
governing board. An effective board provides to help prepare and sustain board members to
strategic direction for the school, chooses and lead an autonomous public school.
nurtures strong school leaders, and ensures the
school's financial and legal soundness. For a The much more extensive guidebook, available
charter school to succeed, it must form a board online at
that is committed to the school's mission, pos- 1��� ��� ,
sesses substantial leadership skills and expertise, details governance principles and concepts,
sets policy that guides the school's work, and models of best practice, and essential resources.
evaluates both the school and itself with an eye This overview of the larger guidebook summa-
toward continuous improvement. rizes twelve critical challenges that charter
school developers must meet to build and main-
Assembling and mobilizing a group of individu- tain an effective charter school board. Following
als to carry out these responsibilities is a daunt- each challenge is a set of issues that boards may
ing task, requiring commitment, careful plan- encounter along the way, and a discussion of
ning, and wisdom. In response--by building on possible strategies. At the conclusion of the dis-
the best of the nonprofit,district,charter and pri- cussion of each challenge is a list of some of the
vate school governance training and resources-- numerous resources available in the larger online
the Charter Friends National Network offers guidebook and elsewhere.
Creating an Effective Charter School Governing
Board, written by Frank Martinelli, with the
Center for Public Skills Training in Milwaukee,
1
Q-4
........................................................................
� i • I .
, �. . � � ,� ��,
"�� s
� � ����1���- - �=� CHALLENGE 'I : ... ... �:
�-,� �
� -:�::::
� ~ ,�'=� BUILDING THE FOUNDATION
� ��� :X
� .t - ,
� � ' �' � An effective governance model requires ��
� . � ����'.� ' .� ��� .
, • .y'����� , that everyone is clear and in agreement � �� �� ���J,
��r .� •� � �� about their roles and responsibilities. '
�*'� With that in mind, the board developer's
. ��' '��+ initial challenge is to clearly define the �
• '�{��� board's roles, responsibilities and ���� ��� � }' �
' � � philosophy of governance. �
�
�� } -"-=�� � �
:..........
.:�;�k �� �_
��,::
, :
ISSUES STRATEGIES ��������� .Y��'
Charter schools have been plagued by a Many of these problems arise when there
variety of fundamental governance prob- is a lack of clarity regarding roles and ��
lems, including: 1 responsibilities between the board and ��
staff of the charter school. However,all of �
• meddlesome boards who become these problems are preventable. Several
entangled with issues normally steps can be initiated early in the board-
entrusted to administrators or building process to institute effective
teachers ���������
board practices. �
• unstable leadership by founders �
who prove better at articulating Be clear and in agreement about roles and
a vision than at actually running responsibilities. ��?�
a school An effective governance model requires ;......... �, ��"'�
• internal dissension, often exacer- clear and detailed descriptions of the �'''�
bated by insufficiently clear roles and responsibilities of the board, its
division of roles and responsibilities committees, its officers, and staff. The
• lack of professional competence National Center For Nonprofit Boards � ��'
in financial, managerial, or admin- has developed the following list of the
:......... �
istrative areas, basic roles and responsibilities of a non-
• difficulty in balancing input from profit board of directors which can serve r
various stakeholder groups, and as a guide for charter school governing �
• exhausting volunteers (including boards as well:2 h=„�
......... .
boardmembers)by expecting too �
much of them. � -
� �
1 Grignano,Cllenzie, Guidance for Chaxtex School Operators,Charter Schools Project,Duquesne University,1999. �
2 Ingram,Richnrd T.,Basic Responsibilities of Nonprofit Boards,National Center for Nonprofit Boards,1996. ' ��
�`�-�P�P�
2
_. J--, Q-4
• determine the charter school's mission and purpose
• select the charter school administrator
• support the charter school administrator and review his or her
performance
• ensure effective organizational planning
• ensure adequate resources
• manage resources effectively
• determine and monitor the charter school's programs and services
• enhance the charter school's public image, and
• assess its own performance.
Create a strategic plan for growth in school and board development.
Charter school developers will need to plan for the orderly transition from the emerging or planning
stage—when volunteer founders do most of the work—to the growth or operational stage of devel-
opment—when founders take on new roles as staff,teachers and/or board members.According to the
Northwest Regional Educational Laboratory(NWREL)Charter Starters Leadership Training Academy,
the following are some questions that are important to consider: 3
• What is the relationship between founders, the board, and day-to-day operators?
• Do all the founders want to remain involved in the school and if so, do they
want to serve on the governing board, as non-board school volunteers, or
as members of the paid staff?
• How will new board members be recruited as some or all founders leave
the governing board in the future?
• What skills and areas of expertise are needed in different stages of development?
• Will the board be able to maintain the workload of a committee of the
whole or will the board need to establish standing committees as the school
grows?
• How will the board transition from operational/managerial tasks to governance, policy and
strategic planning?
�Y
�
l� �.I ,i
� 'i
� �� �k-_
}
3 Northwest Regional Educational Laboratory(NWREL),Chazter Starters Leadership Training Academy Workbook,1999.
Module 4:Management and Governance,1999. Visit www.nwrel.org.
YYYYVY.ui�llq«Cf��I1VVli■VfR/ Rf� 3
Q-4
r�
� �
� �
� _
f o 1
y��' •eat a �f
�� � � Learn More about
�4°°ao� Buildin the Foundation
� �� g
�- � Full Resource Guide
, 1f www.uscharterschools.org/gb/governance/
U
� �
�
�� Tools Available in Online Resource Guide
Sample Articles Of Incorporation For Charter Schools That Are Separately
Incorporated Nonprofit Organizations
Bylaws Checklist
Sample Bylaws
Charter School Board Governance Framework Chart
The Annual Board Development Sequence Chart
Additional Resources for Defining Board Roles,
Responsibilities, and Governance Philosophy
Carver,John, Boards that Make a Difference:A New Design for Leadership in Nonprofit
and Public Organizations. Jossey-Bass, 1990.
Carver, John, Reinventing your Soard. A Step-by-Step Guide to Implementing Policy
Governance.Jossey-Bass, 1997.
Chait, Richard, How to Help Your Board Govern More and Manage Less. National
Center for Nonprofit Boards, 1994.
Gardner, Laurie and Premack, Eric, Charter School Governance Toolkit, First Edition,
Charter Schools Development Center, 1999. [Section 1 includes a selection of sample
foundation documents (bylaws and articles of incorporation that can be adapted to meet
your charter school's specific needs).]
Ingram, Richard T., Basic Responsibilities of Nonprofit Boards, National Center for
Nonprofit Boards, 1996.
Mathiasen, Karl, Board Passages: Three Key Stages in a Nonprofit Board's Life-cycle,
National Center for Nonprofit Boards. (This publication is probably the only one that
focuses in detail on how to understand, anticipate and manage Founder's Syndrome.)
Zeitlin,Kim Arthur,and Dorn, Susan E.,The Nonprofit Board's Guide to Bylaws:Creating
a Framework for Effective Governance, National Center for Nonprofit Boards. (This
publication contains advice on the pros and cons of common bylaw language, a checklist
of elements bylaws should contain as well as sample language.A diskette is available with
11 complete sample bylaws that can be easily adapted to meet your needs.)
:.....................................................................................................................................................................................
4
Q-4
_. J
.
�' � �� CHALLENGE : '�� � �
� � . ��� � ...... �
- �� � � IDENTIFYING AND RECRUITING . ,
BOARD MEMBERS �
i �
� � The next challenge that faces charter school ........ �
board developers is determining how to recruit ��•
board members who are committed to the school
� and possess the skills, knowledge and other
� I� attributes needed in order for the board to effec- �•;
..........
� tively carry out its responsibilities.
�
_ �
��
� ....... M1��
��
���k ISSUES
Most board performance problems can be school's board leadership needs, ensure ������� �
�
traced to the casual or haphazard way involvement from the best qualified indi- •
that some charter schools go about viduals to fill those board leadership
recruiting, selecting and orienting board needs, and create a solid orientation
members. Common problems include: process for new board members. �.�
• a temporary nominating commit-
tee that often relies on whoever is The development of an effective recruit-
available from a relatively closed ment and nominations process could take
"circle of friends and supporters" the following course: ...... �'�
already known to the organization "
or the committee members, and 1. Establish a board development
committee. �*�,
• a narrow and ad hoc recruitment 2. Prepare for active board member � �#;��
process which can result in a recruitment.
;.........
quickly assembled board that 3. Develop a profile of the current
lacks diversity and balance in the charter school board.
critical areas of finance, manage- 4. Determine strategies to build board � '��
ment, and administration. diversity. = � ����� ��
�� 5. Develop an initial list of prospective ���
'!� STRATEGIES board members. �
6. Contact top recruiting prospects.
7. Schedule and conduct orientation �,`
Having an effective board recruitment sessions with prospective board ����� � �'�
and nominations process in place is the members. 4,�` -
first, and by far the most important, g. Select new members to the board.
board development practice. While it is .- ,�
time-consuming, instituting a recruit- ��;.�.
ment and nominations process from the �
start, rather than approaching the task as � �`�
an ad hoc activity, will result in a more
accurate assessment of the charter �
��
�-�
5
Q-4
r`_
�
� � �f
•ear a
1
'`� Learn More about IdentiFying
� �
� p6q�;�o� and Recruiting Board Members
�- �� Full Resource Guide
� `� www.uscharterschools.org/gb/governance/
� �
�
��
Tools Available in Online Resource Guide
Invitation Letter And Packet
Position Descriptions For Individual Board Members
Prospective Board Member Application Form
Board Profile Worksheets
Additional Resources for Board Recruitment
Board Member Orientation. Published by Aspen Publishers, Inc. (In spite of the title,
this publication includes a number of sample forms and documents useful in every step
of the board recruitment process. As an added feature, all of the forms and worksheets
in the manual are available on a diskette.)
Building Board Diversity, by Jennifer M. Rutledge. Published by the National Center for
Nonprofit Boards. (This publication provides a comprehensive approach to developing
and implementing a plan to build a board that is more diverse and inclusive. One of the
few resources of its kind, it includes a number of worksheets.)
:...................................................................................................................................................................................
6 �����M�vllpl \Ci1 �v11VV1��V1�/ �N/ �Vr611L
Q-4
;� � -�� CHALLENGE 3 : �•� -
� '``�� ORIENTING AND TRAINING ��
,..........
1 �' �� BOARD MEMBERS . ,
�
a A central challenge of governance is to help '
f charter school board members acquire the ���
�� , skills and knowledge they need to be effec- ���������� ��
�.� tive leaders and decision-makers. �
a
��
_.''_ , �
�:� ISSUES �������
Because charter school board members Assess the orientation and training
are likely to come to their positions with needs of board members. �
very different perspectives on their roles In order to learn what new board mem- ��
and responsibilities, as well as the mis- bers really need from the orientation and '�""'
�w. .
sion,vision,major goals,and strategies of training program, past and current board �
the charter school, the lack of an effective members can be asked the following
orientation and training program can question: "What do you know now that
cause several problems, including: you wish you had known when you first �������� �
• internal dissension and division joined the board?" Their responses can be � '�
of the board into various factions used to develop the core curriculum.
• inability of new board members to Create a board member manual. .�
fully function in their roles The written board member manual is an �
........
• lack of productivity, and indispensable tool in the orientation and
• a general sense of personal dissatis- training of board members — both cur-
,
faction. rent and new. The board manual is never
�� a substitute for face-to-face interaction,
"�b T T E I E but without it, effective orientation and �� ����� �
' � � G S training is made much more difficult.The
Develop a long-term orientation board manual will be a reference used in
strategy. new board member orientation,as well as .���
There must be a commitment to develop- ongoing board training and education, ��"�''
.... ��
ing a well-informed board, one with the and it will help to ensure efficient orga-
knowledge needed to lead an effective nization and access to these materials.
charter school. Providing new board Develop a variety of orientation/train- � +�
members with the information they need ing strategies. :......... �
to perform effectively is the next critical New board member orientation and �
step in developing strong leadership for ongoing board education training pro-
the charter school. grams are obvious ways to educate your -� ��
Consider developing a long-term orienta- board members.However,you may want � ,
tion strategy that is thorough,provided in to consider incorporating training into ........ ; ;
a timely manner, and follows the board each board meeting,providing mini-sem- �w :
members from the recruitment stage, inars on special interest topics, helping
through the first three months, and set up study groups, and providing �
beyond. access to publications and conferences. }�.�
.......... �k .
� ��
�*
*�
• ��
7
Q-4
�`_
�� �
,, -`` _
f � �f■oa* �
� Learn More about
. ,�.
{�� �_ �
a°Q�o� Orienting and Training
� p�p
�- Board Members
�
� Full Resource Guide
' � www.uscharterschools.org/gb/governance/
� �
�
��
Tools Available in Online Resource Guide
Sample Board of Directors Handbook Table of Contents
Sample Board Member Orientation Outline
Parliamentary Procedure Overview
Additional Resources for Board Orientation and Training
Board Member Orientation. Published by Aspen Publishers, Inc. (This publication includes
a number of sample forms and documents useful in every step of the board orientation
process.As an added feature, all of the forms and worksheets in the manual are available on
a Macintosh and IBM compatible diskette.)
How Do We Keep Board Members Informed?National Center for Nonprofit Boards. Go to:
Click on "Frequently Asked Questions".
:...................................................................................................................................................................................
8
Q-4
....................................
�r� " ' �HALLENGE 4■ ��y: '
•. - .-.. . 4'�,�
� ......
1 : MQI<ING EFFECTIVE DEGSIONS .
�� .�� f As the board of an independent public .
�J�.� school (in many cases also a separately ���
�� � I r__' � .� incorporated nonprofit organization) the ....... �
�y ��-.
i charter school board is the source of all ���
7� authority—much of it delegated to others
�� �, — and has the ultimate responsibility as a
'r �' result. Therefore it is critical to the suc-
� ....... �
' cess of the charter school that the board
� _ +I makes effective decisions.
�
��
� ......... ��
i�=,1
' �SS V ES Develop a decision-making flowchart. �
A board that meets monthly for two It will be very helpful to have a written � """ .� �'
hours has only 24 hours a year in which description of the decision-making process �
to make a number of major decisions and the board intends to use. This approach
still have time to address unforeseen reflects clarity about who is responsible for �
issues and challenges. Without a frame- �^'hat. The flowchart offers visual details �
........
work for making decisions,problems can about where issues may originate from,
often arise, including: where issues can be delegated to, how
issues are to be dealt with, and how
• confusion and lack of agree- actions and recommendations are to be
ment about who decides what
made. ....... �#�
• lack of ownership of tasks, and
• time-consuming duplication of Use a decision matrix.
efforts. The purpose of a decision matrix is to ����
define the authority and decision-making 1� �„�•;
,� roles and responsibilities of the board ������ ��
�.� STRATEGIES clearly in relation to the authority and
��� decision-making roles and responsibilities
There are several tools that can be used to of other groups and constituencies within � #,
increase the effectiveness of board deci- the charter school. The matrix identifies ......
sion-making. decisions needing to be made in a number
of broad categories such as: school goals,
Create a board policy manual. curriculum and instruction, personnel, " �
Staff inembers need to be clear about staff development, communication, bud- � ,
what they are supposed to implement get, assessment and evaluation, record- ������� : +
and board members should not have to keeping, and school culture. For each of �w -
reinvent similar policies over and over these decision categories, the matrix then
again. Therefore, board policies should specifies: the decision to be made; who
be kept organized and accessible.For this should decide; who should recommend; . .
reason, it is advisable to have a written who should be solicited for input; who �
board policy manual in which all the should be informed; and which decision-
policies the board adopts are maintained. making process should be followed.
�
...... ���
9
Q-4
Use an executive committee to help facilitate can regularly refer to the organizational dash-
decision-making. board for information about how well the school
Another critical element in effective decision- is doing relative to its critical success factors. In
making is a functioning executive committee. this way, corrective action can be taken before —
The executive committee facilitates effective not during or after—a crisis erupts.
decision-making by the full board by playing the
following three critical roles: planning the agen- Provide board members with a board book and
da of board meetings, making decisions on other timely communications.
behalf of the full board, and serving as a com- An effective way to provide board members with
munication link with other members of the needed information in a timely manner is
board. through a written"board book"or board member
packet that goes out before board meetings. The
Utilize consent agendas. book may include outlines of significant devel-
To expedite business at a charter school board opments, an updated copy of the organizational
meeting,the board can approve the use of a con- dashboard,an agenda,minutes from other meet-
sent agenda that includes those items considered ings,executive summaries of accompanying doc-
to be routine in nature. Full information about uments, etc. In addition, consider using your
these items should be provided to the board in website and email for distributing information
advance in the board packet and any questions between board meetings.
or concerns can be directed to the makers of the
motions and answered prior to the meeting.This 4 chatt, x��hara,xotiand, Tho„��,and TQytor aarbAra, impro��ng tne
process allows thorough examination of routine Performance of Governing Boards,oryZ Pre55,laa6.
items without using up precious board meeting
time. Any item that appears on the consent
agenda may be removed from the consent agen-
da by a member of the board. The remaining
items will be voted on by a single motion.
�. -�
Create an annual calendar of major board ' r�
decisions. ��#�.
Another tool that can help charter school boards ,���
maintain their focus on governance policy and � i��
critical emerging issues is an annual calendar of _
major decisions. Major decisions(such as setting yi 'f��{���°"'�
the annual budget,setting goals,and selection of �__ rr��lf'�
new board members) can be scheduled on an
annual basis, allowing other decisions and work
to be scheduled in a timely manner.This can also
facilitate decision-making by the board's com-
mittees and help the charter school administra-
tor organize his or her priorities.
Display an organizational dashboard.
Another tool that can be used to increase the
effectiveness of board decision-making is the
"organizational dashboard."4 The dashboard dis-
plays up-to-date information about key success
factors of the charter school—the most essential
areas of performance. Once the critical success
factors have been identified, the board and the
charter school administrator (and other key
staff) can then propose and consider strategic
performance indicators — the qualitative and
quantitative data that most accurately measure
and convey the critical areas of performance. As
the "dashboard" metaphor implies, the board
10
— — Q-4
r-�
� �
��' ° ��
� =.,,, a
� ��f� - - Learn More about
�
f-� BQ�o�_ Making Effective Decisions
sao8
�
� �� �. Full Resource Guide
' www.uscharterschools.org/gb/governance/
� ��
�
� �
�
�� Tools Available in Online Resource Guide
Flow Chart: How Board Decisions Are Made
Executive Committee/Board Meeting Planning Form
Questions Before Making Sound Decisions
Sample Board Meeting Agenda
Decision-making Matrix
Board Communication Plan
Policy Development Steps
Board Meeting Evaluation Form
Sample Board Operations Calendar
� Additional Resources for Board Decision-making and Meetings
Sample Board Policies in Critical Areas:conflict of interest, enrollment, etc.
See the following websites:
• Independent Schools Association of the Central States at www.isacs.org; click
on"Monographs", then scroll down and click on" Board of Trustees" and
"Business Operations" for sample policies.
• Also see Minnesota Council of Nonprofits management resources at
• Also see the Free Management Library of The Management Assistance
Program for Nonprofits (MAP) at
irti�/boards/bo�rds.hEm#�nchorl3�--14.
Fletcher, Kathleen, The Policy Sampler,National Center for Nonprofit Boards,2000. Contains
a diskette with over 70 policies covering critical areas such as conflict of interest, grievances,
sexual harassment, nepotism, confidentiality and more. Comes with printed user guide.
Gardner, Laurie, Charter School Governance Toolkit,First Edition, Charter Schools
Development Center, 1999. (Section 2 includes a good selection of sample policies that can
be adapted to meet your charter school's specific needs.)
Smoley, Eugene, Effective School Boards,Jossey-Bass, 1999.
:...................................................................................................................................................................................
11
Q-4
�� .....................
�� ' CHALLENGE 5 _
. �� �--�.�
� `-�� STRQTEGIC PLQNNING AND THINI<ING ........ '�"�
The charter school board has a critical role to �
/ �� � play in strategic planning. Charter school �
� � # �� � board developers need to determine how the ,��+
�� � board can organize itself in order to function ........ . �
�
�� as an effective, future-focused leadership �
team.
~�"'`!� �SSUES -{,�
There are a number of factors that pre- Develop a shared vision of the
vent boards from thinking and planning organization's future. �
strategically. The following factors can A key strategic planning question for the
serve as barriers to visionary charter board is: "If we could create the charter ��
school board leadership: school of our dreams that will have the �•
impact we most desire, what would that � -
• shortage of time look like?" The board's answer to this
• avoidance of risk-taking question captures the organization's
• micro-management vision. �������� �
• lack of knowledge in an increas- •��
ingly complex world, and Keep up with the rapid pace of change.
• lack of clarity about board-staff Another strategy for nurturing visionary
;� roles and responsibilities. leadership is to help the board keep up �
�, -, with the rapid pace of change. Provide �������� '`��
`�b STRATEGIES information that helps the board think
about these key questions: What external
There are several strategies that you can changes and trends will have the greatest
employ to help your board adopt a impact over the next three to five years on ��
........
visionary leadership style. the charter school and the children and � '
families it serves? How can the charter
Focus on the ultimate ends of the school effectively respond to these changes *��
organization. and trends? How are other schools and ��"'� +'
Board members should concentrate on organizations serving youth responding to �� �������
the charter school's ultimate ends rather these changes and trends? ���
the day-to-day means.5 Board members
should focus on the mission,vision,goals Stay in touch with the changing needs
and strategies contained in the strategic of your"customers." : � ��
The fifth strate for transformin the ' ��"�'�'
plan, leaving the daily management to gy g
t h e s t a f f a n d c h a r t e r s c h o o l a d m i n i s t r a- leadershi p st yle of the board is to provide
tor. members with information to enable them r
to stay in touch with the changing needs of
Create a long-range plan for the children and families served by the charter � '
development of future board leader- school-now and in the future. Key ques- � ��""' ' '
ship. tions include: What do our constituents, *� "
In contrast to the typical short-term primarily children and their families
recruitment process that focuses narrow- enrolled in the charter school, think of the �
ly on filling anticipated charter school organization? What is their perception or � ������ .,�
board vacancies for the current year only, image of the charter school? What are the � �
boards need a long-range plan for devel- most important future needs and service
oping future leadership. Such a long- expectations of the charter school on the l�l■■�*
term plan centers on the following ques- part of our constituents?
tions: Who will be serving on and lead- �� �� ���� ��
ing the board over the next three years? '���
W�ldt 1S OUI' pldri t0 SCOUt bOdT'Cl IedC12T- 5 Carver, John, Boards That Make a Difference, 2nd Ed.,
ship talent for the future? Joysey-sass,i99�.
,� rww.uscnar�erscnoois.org��pi
Q-4
�`_
.��
�f� � �f
.e .
�J '• n
1r y
�-��� BQ�o�� Learn More about
_ °�° Strategic Planning
�� ,� and Thinking
' ��, Full Resource Guide
� �
� www.uscharterschools.org/gb/governance/
�� 1
�4
Tools Available in Online Resource Guide
Description of Strategic Planning Model
Strategic Planning Committee Description
Strategic Planning Information Gathering Worksheets
Critical Issue Worksheet
Worksheet: Foremost Critical Issues Facing the Charter School
Sample Strategic Planning Timetables
Additional Resources for Strategic Planning
Allison,Michael, and Kaye,Jude, Strategic Planning for Nonprofit Organizations, New York:
John Wiley&Sons, Inc., 1997.
Barry, Bryan W., Strategic Planning Workbook for Nonprofit Organizations, Revised, Saint
Paul,Minnesota:Amherst H.Wilder Foundation, 1997.
Bryson,John M.,and Alston,Farnum K., Creating and Implementing Your Strategic Planning,
San Francisco:Jossey-Bass Publishers, 1996.
Bryson, John M., Strategic Planning for Public and Nonprofit Organizations, Revised, San
Francisco:Jossey-Bass Publishers, 1995.
Hundley DeKuyper, Mary, Trustee Handbook: A Guide to Effective Governance for
Independent School Boards,National Association of Independent Schools, 1998. (Especially
useful is Chapter 4- "Developing a Shared Vision and Planning Strategically".)
McNamara, Carter, PhD, Facilitator's Guide to Nonprofit Strategic Planning, Minneapolis,
Minnesota: The Management Assistance Program, 1997.
O'Connor, Judith, The Planning Committee: Shaping Your Future, National Center for
Nonprofit Boards, 1997.
:.....................................................................................................................................................................................
13
Q-4
............. ....................................................
_ � � � . �
r -������� ���a,,��°s ��, C HAL L E N G E 6 ��;:�:
.�._�� 4�, ...... �
�� CARRYING OUT LEGQL AND
� � � FINANCIAL RESPONSIBILITIES {�,
��� L4 +
� Y'L � 1 L
' r� � �.
��'•.5� �� �..�.. All charter school developers and opera- ��
�� � �;'�.� tors face complex legal issues in starting ������ �
� � � k'�, and running their schools. Charter board �
'� k�� �'� � �''�, developers need to learn the best possi-
� � + ble ways for the charter school board to
''���� _,. � c a r r y o u t i t s l e g a l a n d f i n a n c i a l o v e r s i g h t `"
� , . � �.� responsibilities.
'��--
� �
� -� ~ ��
...... ��
V, �
' �'!� �SSUES � ��
As a relatively new phenomenon,charter of the school. As such, the board must
schools involve legal requirements and actively exercise oversight functions in �
.......... �
responsibilities which not only differ four governance areas: corporate law, ,
widely from state to state,but which may internal policies, and procedures/con-
also change over time. The following are tracts with third parties; local, state, and
just some of the issues that can mire federal laws/regulations; the charter ��
boards into prolonged bouts of putting school's financial resources,facilities,and ��� ������ �
out fires, being reactive, rather than for- equipment;and risk management. Board �
ward-thinking and proactive: members must be well-informed about
all four areas, know how to monitor the
• conflicts of interest organization's financial position, and
• uncertainty regarding whether an understand their roles versus board and "�""� � �
appropriate education is being committee roles in the oversight responsi-
provided to all students (especially bilities.
special education children), and ' � '
• unresolved fiduciary and legal Implement a conflict of interest policy. � �'$+�
........ �
matters. When the personal or professional con-
cerns of a board member or a staff inem-
Charter schools are operating under ber affect his or her ability to put the wel- �
intense public scrutiny. Powerful forces fare of the charter school before personal � ��+
opposed to charter schools continue to benefit, a conflict of interest exists. The � �������
raise questions about the legitimacy of charter school board should institute a `
the movement,making it critical for char- system of checks and balances to circum-
ter school boards to pay special attention vent actual or potential conflict of inter- �
to carrying out their legal and financial est, beginning with well-defined operat- � ��
........
� responsibilities. ing policies on all matters t at mig t lead �
to conflict. Most importantly, create a �� '
V�� STRATEGI ES carefully written conflict of interest policy
that includes three essential elements:full ��
Educate board members about their disclosure; board member abstention #�'�'
legal and financial responsibilities. from discussion and voting; and, staff � `���
Board members of the charter school are member abstention from decision-mak-
the ethical, legal and financial stewards ing.
�
...... ��*'��
�a
Q-4
Implement a risk management process.
Risk management is a way to minimize uncertainty by identifying real and potential
risks (such as tax penalties, malpractice, and injury) facing the charter school, and
taking steps to manage them. The structure of the risk management process consists
of the following five steps: identifying potential risks; analyzing identified risks;
selecting the most suitable techniques for eliminating or reducing identified risks;
implementing the selected techniques; and,monitoring the effectiveness of the tech-
niques, modifying as necessary.
Arrange for regular financial audits.
To ensure that there is progress in achieving the board's financial goals, that the
school is adhering to sound financial policies, that the resources of the school's
resources are safeguarded, and that the school is complying with regulatory provi-
sions, the board should arrange for a financial audit to be conducted by a licensed
independent auditing firm at least once annually or as otherwise required.
Develop special education policies prior to opening the school.
Charter school boards have a responsibility to ensure that schools receive the fund-
ing,information, and support systems to create special education programs and ser-
vices. Some of the issues needing to be addressed by policies developed by the board
include,but are not limited to, the following:
1. What is the philosophy of the school toward students with disabilities?
2. How will staff identify and serve students with special needs?
3. Who is responsible for serving students with disabilities?
4. What steps must charter schools take to ensure that appropriate services
are provided to students with low-incidence disabilities?
5. Who pays for the services? How will transportation needs be met?
6. What personnel certification and licensure issues need to be considered?
7. Can charter schools serve only students with special needs? h
e Lange,Cheryl M.,Charter Schools And Special Education:A Handbook.
��- -
� �
� � f�
I M,�T I� �y�ti
� P�E.AUI ��
5 C I�.P�f�
�--�Isr�� ��
������� ��
www.�scnarterscnoois.orai ap� 15
Q-4
Learn More about
Carrying Out Legal and Financial
Responsibilities
Full Resource Guide
www.uscharterschools.org/gb/governance/
Tools Available in Online Resource Guide
Conflict of Interest Policy Samples
Board Member Annual Disclosure Statement Concerning Possible Conflict Of Interest
Sample Board Confidentiality Policy
Sample Board Liability Questionnaire
Additional Resources For Understanding Board Legal and Financial Issues
Babcock, George and Tremper, Charles, The Nonprofit Boards' Role in Risk Management: More Than
Buying Insurance, National Center for Nonprofit Boards, 1990.
Dalsimer, John Paul, Understanding Nonprofit Financial Statements: A Primer for Board Members,
National Center for Nonprofit Boards, 1996.
DeKuyper, Mary Hundley, Trustee Handbook: A Guide to Effective Governance for Independent
School Soards, National Association of Independent Schools, 1998.
Gardner, Laurie, Charter School Governance Toolkit, First Edition, Charter Schools Development
Center, 1999.
Herman,Melanie L., and White,Leslie T., Leaving Nothing to Chance:Achieving Board Accountability
through Risk Management, National Center for Nonprofit Boards and Nonprofit Risk Management
Center, 1999.
Johnson, Sandra L., The Audit Committee: Key to Financial Accountability in Nonprofit
Organizations, The National Center for Nonprofit Boards, 1995.
Kurtz, Daniel L., How to Manage Conflict of Interest: a Guide for Nonprofit Boards, National Center
for Nonprofit Boards, 1995.
Lange, Cheryl M., Charter Schools And Special Education: A Handbook.
Go to:http://�v�v�ti�.0 iartcr�chools.org/� _doc��� �n.
Leifer, Jacqueline C., Glomb, Michael B., The Legal Obligations of Nonprofit Boards: A Workbook for
Board Members, National Center for Nonprofit Boards, 1997.
US Charter Schools Website contains legal issues page and links to other resources and sample docu-
ments at
US Department of Education Website contains additional information and resources on special edu-
cation at
..............................................................................................................................................................
16 �, ��,,
Q-4
'�'� �
�,
������� CHALLENGE � �.�
� � . ... �
� DEVELOPING EFFECTIVE ,
BOARD-STAFF RELATIONS .
� - � ��
. �Q
� The selection and support of the charter �������� ' �
' � �° school administrator is one of the most �,�
.;� critical roles and responsibilities of the
, board. With that in mind, charter school
'k. � '� board developers must help the board ,..,,, x,
build and maintain an effective, mutual-
ly supportive working relationship with
the charter school administrator. �
....... ��
��P ���,
��� ISSUEs � �� �
Common problems in the area of board- Create a chart detailing by major areas �
........ �
staff relations include: of organizational decision-making .;��
(finance, planning, personnel, etc.) the
• conflicts over responsibilities specific responsibilities of the administra-
• board member perceptions that tor and the board of directors. ��
the charter school administrator is •�
..........
over-stepping his or her authority Negotiate a communication plan
• staff withholding information from between the board and administration
the board about how much information is desired,
• administrator perception that the the best ways to share information,and in
board is not doin enou h, and ������ �
g g general, how to maintain effective com- � �
�
• a micro-managing board. munication with each other.
��� STRATEGIES Develop an administrator performance ������
review process that evaluates the admin- . . . . .. ����
istrator on negotiated performance objec-
There are a number of tools and practices tives, and that is adapted to meet the spe-
that can be used to strengthen the rela- cific needs of the school and your partic-
tionship between the board and the ular governance structure. � -#'
administrator. ��� ��
Develop conflict resolution policies
Implement an effective hiring/selection which include details about what situa-
process for the charter school administra- tions require professional mediation and h '
tor. when conflict situations should be dele- � �
gated to personnel or executive commit-
:.......... , ,
Create written job descriptions for board tees. *� -
members and the administrator, detailing
position requirements and responsibili-
ties.
:..........
�
�
:...... .�.
���
17
Q-4
r�
z�� -
� ,M
� .�f _ '°�' ° _� Learn More about
��� �q�o�� Developing EFFective
°° Board-StaFF Relations
�r �
1
� ��, Full Resource Guide
� �
� www.uscharterschools.org/gb/governance/
��
Tools Available in Online Resource Guide
Division of Roles between Board and Administrator
Board And Staff Roles Worksheet
Sample Job Descriptions For The Administrator
EXCEL Principal Evaluation Form
Principal Evaluation Form
Board Staff Time And Attention Graph
Should Staff Serve on the Board?
Additional Resources for Building Board-Staff Relations
Pierson,Jane, and Mintz,Joshua, Assessment of the Chief Executive, National Center for
Nonprofit Boards, 1999. Visit (This publication includes a diskette containing
an assessment tool for annual reviews.)
:...................................................................................................................................................................................
18
Q-4
r� -
_�_�_ � � .
I ' r � r��.=� �� I C HAL L E N G E $ �
,� - � ; �- I
, ,
�.
�� �:.: ,*� _
. ' � � � �.• ;
• `�_.;"�, � . v' � r� �� DEVELOPING FRUITFUL BOARD- ������� ��
- ����ty COMMUNITY/PARENT RELATIONS ��'"
, -- _ ��� The eighth challenge focuses on the '
__- �'`�� -.-.
� �'���r� board forging strong relationships with ��
{ �, -���� parents and community members. The ������� �.`�
_ � � �r' ; charter school board can play a critical �
,�� role in developing partnerships and col-
+ � • �� " laborations that tap the resources of the
� ' ,� community, enhancing the school's x,
` - � capacity to meet the educational needs of ' �� ����
" — ` � —- `-� its children.
�
�,�� ........ ��
ISSUES :,��
Common barriers to healthy commun- Listen to parents and community mem-
ty/parent and board relationships bers.
include: Send out surveys to solicit input before
ma�or policy decisions,host regular infor- ������� .;��
• board members and school staff mal opportunities to meet and hear con-
who feel so overwhelmed b the cerns, convene a series of community
y forums to discuss challenges to the char-
day-to-day tasks of educating ter school, write personalized letters to � �
....... �
children that they overlook the major donors, and organize personal �
value of involving families and interviews with leading family service
community agencies to develop collaborative pro-
• parents who may not be used to grams.
being active participants in their
children' schools, and Use advisory groups of parents and ������ � �
• communit members who ma community members.
y y Groups of parents and community mem-
be unaware of a charter school's bers can be convened to help raise money, �* ��
mission and educational pro- serve as advocates for the charter school '�"`� '
grams and the important role that to the community,provide feedback from ' � � � � ���
they can play in efforts to suc- the community, and provide a means for
cessfully educate the communi- involving people who are willing to give
� ty's children. technical assistance. � �
`. � Develop a community planning process = ������
�:.
'' ST RAT EG I ES for raising student achievement.
Use engagement strategies for involving
Building a relationship with parents and parents and the community in planning " �
commuruty is a two-way street. The several key student achievement-related
board will first need to listen to parents areas (assessment process, student stan-
;......... �.
and the community, and communicate dards, etc.). Strategies might include *� '
and report to them about the charter holding community forums to discuss
schooL There are several activities that What standards should be set for your
board members can participate in to pro- students and including community mem- _
mote parent involvement and communi- bers in regular reevaluation of the '
t collaboration. Activities include: � � � � ' �
Y school s student achievement vision.
�
:...... �+� -
-�'-��
19
Q-4
�`�
�� �
' �; ��.
'� �,, � •�Q� � �� Learn More about
� `� . � - Developing FruitFul Board-
� � p°���� Community/Parent Relations
��- �
, �
�, Full Resource Guide
� �
� www.uscharterschools.org/gb/governance/
r� Tools Available in Online Resource Guide
Model Parent/Family Involvement Policy
Plan for Parent and Family Involvement
� Sample Advisory Committee Description
Sample Parent Involvement Policy
Why The Board Should Consider Volunteer Issues
. Additional Resources For Building Parent and Community Relations
Arsenault,Jane, Forging Nonprofit Alliances,Jossey-Bass, 1998.
� Axelrod,Nancy R, Creating and Renewing Advisory Boards: Strategies for Success, National Center for
Nonprofit Boards, 1990.
Calfee, Carol, Wittwer, Frank, and Meredith, Mimi, Buildin� a Full-service School: a Step-by-step Guide,
Jossey-Bass, 1998. (This publication includes diskettes with numerous planning forms and worksheets)
Creating Family Friendly Charter Schools Guidebook,another Making Connections technical assis-
tance product offered by the Annie E. Casey Foundation and the Charter Friends National Network.
,,,,
Dryfoos,Joy G. Full-service Schools,Jossey-Bass, 1984.
Leadership for Student Achievement:A Board of Education Framework(Go to: ��v��-.ns1 .Click
on "Key Work of School Boards").
National Association of Partners in Education, Inc. Business And Education: a Practical Guide to Creating
and Managing Business/Education Partnerships, 1990.
National Association of Partners in Education,Inc.,Organizing and Managing School Volunteer Programs,
1987.
PTAFamily Involvement Standards, Go to �p://�1- �ta.org/prograr ;/pfistand.htm#Research
Rackham,Neil,Friedman, Lawrence, and,Ruff,Richard, Getting Partnering Right,McGraw-Hill, 1996.
Sample Contracts with Parents (US Charter Schools website at
http://iti�-���ti�.t �schools.� pub/uscs_doc5/sd/menu.l�Mi.)
Stern, Gary J., Marketing Workbook for Nonprofit Organizations: Mobilize People for Marketing
Success,Amherst H. Wilder Foundation, 1997.
The National Assembly,The Community Collaboration Manual, The National Assembly, 1993.
U.S. Department of Education Office of Educational Research and Improvement, Reaehing All Families:
. Creating Family-Friendly Schools, 1996.
Winer,Michael and Ray,Karen, Collaboration Handbook:Creating,Sustaining and Enjoying the Journey,
Amherst H. Wilder Foundation, 1992.
:............................................. .................................................................................................................
20 _�..
— — Q-4
,._
� .... . .... .
� ..
�- �+�� - CHALLENGE 9
�,. .
���� c , � �+�• �
�- -, :��` ,' � �� ENCOURQGING BOQRD MEMBER ...... ���
.�,;.�.� � J , � �
� � ��r ' lt� � MOTIVQTION AND ACCOUNTABILITY �.
i� �`� Encouraging long-term commitment and maintaining �
��,� ��a � � __;� high-performance of charter school board members can �'�
Ir} ,_� L�� � be an ongoing challenge. Charter school board develop- .� '
', /!'�'' ��' ers need to consider how the charter school board can cre- : �;�1.
--�'t� ate an environment that fosters and maintains a high �
Y� level of board member motivation and accountability.
�-
� ...
��;' ....... �
� ISSUES
Board members offer their time, skills, Develop an ongoing recognition �
knowledge, energy, and commitment. program.
But their service is part of a larger mutu- Recognition of board members is one of ......... ��
ally beneficial relationship as they the most powerful motivational strategies ��•
receive an opportunity to serve an orga- to encourage commitment and high-per- ' '
nization they believe in,a chance to learn formance in the future, and is well worth
new skills and acquire new knowledge, the extra time and effort. Show apprecia- �
an opportunity to be around people that tion often and in informal and formal � ��"" �'
share the same values, and the opportu- ways. Make it appropriate to perfor- �
nity to forge strong personal and profes- mance, meaningful, public, and fun.
sional connections. Several problems Recognition can take place in many forms �
may result if this two-way transaction — notes, emails, plaques, awards, prizes, ....,,,„ ���
breaks down including: etc. '
• board members may stop con- Use board members' skills and add to
tributing their knowledge base.
• board actions and board mem- Involve board members in areas where ..,.,,. ��
ber values may become mis- they feel they can use their skills and
aligned, and knowledge and add real value. Make
• a general sense of dissatisfaction training opportunities available to board �
;a on the board. members to increase skills and know- � l,��„+�,
�. V� ledge. :.........
�"''! STRATEGIES
Put into place an annual board self-eval-
There are several tools that can be uti- uation program. '
lized to maintain and increase board Developing a process that allows the � �'
board to ste back and look at itself will " ���'�'�
member commitment and performance. p f
provide feedback on individual and group
Align the board members with the performance, and help develop corrective „
organization. action strategies. There are several self- . �
Once again, the key to motivation and evaluation tools that are ready-made, or �+ '
,......... � { -
accountability has its roots in the early you can develop your own self-evaluation '
nominations and recruitment process — process. ��
when interviewing prospective board
members, it is important that there is a Develop individual accountability � .
solid initial match between the board contracts. �+ ;�
member and the organization. Ask ques- Determine strategies for holding board � ��
tions that help you understand candi- members accountable for attendance, con-
tribution of ex ertise,willin ness to make
dates' interests and motivations in serv- p g
ing as a board member of your school.Be constructive comments during meetings, �
sure that they understand the challenges and representation of the charter school - �� -
and requirements of board service, and board in the broader community. ,�,._��
help them determine if service on the
board will meet their needs and align
with their interests, values, and beliefs.
21
Q-4
�`�
� �
� �
, _
�: , ��.
0
��'' -���' ° �� Learn More about
��, po��o� Encouraging Board Member
°�° Motivation and Accountability
�. �
� � Full Resource Guide
�
� � www. r . r v rn n
uscharte schools o g/gb/go e a ce/
�
r�
Tools Available in Online Resource Guide
Board Self-evaluation Questionnaire
Individual Board Member Self-Review Form
Board Leadership Succession Process
Additional Resources For Board Member Motivation and Accountability
Wolfe, Rebecca Luhn, Systematic Succession Planning, Crisp Publications, 1996.
:.....................................................................................................................................................................................
22
Q-4
... .....................................
_�- CHALLENGE 'IO
� �.�. ..
� : �
' CREATING EFFECTIVE COMMITTEES � � ��- �`'
mmi r in i n 1 — h �
Co ttees a e d spe sab e t ey do
. �._ . � the bulk of the work of the charter school ,
� � j board, freeing the full board for attention ��
� J to matters like responding to emerging ������� '
critical issues, strategic planning, major �
� , policy development and long range finan-
� ,� cial planning. Charter school board devel-
� � � opers need to develop strategies for help- •��
...... �
ing the board to design and maintain a
�y �ti committee structure that enhances its over-
� ' all effectiveness.
� �
......... ��
���,
� ;�.
M��� ISSUES
Typically committees don't work well for are the committee responsible for and �� ������ .;,�
many of the same reasons boards don't who among our members and supporters
function effectively, including: possesses the skills and experience need-
ed to complete those tasks? As is the case ��
• the lack of long-term agendas with other forms of volunteer recruit- ���������� ��
• reliance on poor or incomplete ment, every effort should be made to �
information, and match the needs and requirements of the
• the failure to distinguish between committee and the skills, knowledge and
board level and operational interests of prospective committee mem-
. ....... �
�+ issues. bers. �
��'� STRATEGIES Detail what the board expects from each Y
committee. � '���
Develop a written committee descrip- Clearly communicate to all board com- :......... �
tion. mittees what kind of reporting is expect-
To guide the committee chair and mem- ed and with what frequency.
bers, describe what is expected of each � '
committee, offering details about the Ensure well-run meetings.
.......... �
purpose of the committee, its composi- Provide for meeting space that matches f
tion and selection procedures, and its the needs of the group,and offer a written
specific duties. meeting agenda. Make sure that commit- �
tee members receive an agenda in .
Nominate an effective committee chair. advance of ineetings and have all of the ...,.,,, � �
Choose a board member who has rele- information they will need to complete _
vant content knowledge and experience, their work. ��
and most importantly,has proven leader-
ship and people skills. Provide training. ���.
Schedule orientation for new committee � x
Appoint members thoughtfully. members. Provide on-going training for � �
Committees should be recruited with the committee members to help sharpen their
following question in mind: What tasks skills.
�
��*'��
23
Q-4
�`�
� �
� �
, _
' ' '� �� Learn More about
9VQx �
��f "� � Creatin EFFective Committees
�r ' �� g
q�
� �44 '
❑
P��a
�
�_ � Full Resource Guide
� www.uscharterschools.org/gb/governance/
� �
� �
�
r�
Tools Available in Online Resource Guide
Sample Committee Descriptions
Sample Committee Descriptions from ISACS and/or Mosaica Academy Charter School
Committee Meeting Evaluation Form
Committee Chair Job Description and Committee Member Job Description
Committee Preference Form (can be used with prospective board members during recruitment
and annually with current board members)
Annual Board Committee Report
Sample Annual Board and Committee Calendar
Additional Resources for Effective Committees
Hirzy, Ellen Cochran, Nonprofit Board Committees, National Center for Nonprofit Boards, 1993.
Visit www.ncnb.org. (The National Center for Nonprofit Boards also publishes boolclets on indi-
vidual committees including Audit, Executive, Nominating, Finance, Fund Development and
Planning.)
:...................................................................................................................................................................................
24
— — Q-4
�t. .
:� , CHQ��EN�E 11 ���,�
._. �. �- ....... ,'--�
• � ,� '-� " � � FOSTERING FUND-RAISING �!
�. I '
'�'��'-�'-� Plain and simple, many charter schools �
�- - " - � � cannot meet their budgets by relying only �
.. - . .
� �' i �:� . ��� `��+' ��� ,J � on the per pupil allocation of public ....... �
i � hi , ''�� � school financing. Other sources of funds
I � ����- r -
� � must be tapped and among these, board
I � �. �� � � ' driven fund raising is one of the most
-.�.�' ., important. Charter school developers • ,
. ..........
need to help boards to play an effective
and ongoing role in fundraising.
�
;; ......... ��
��.
\ '�'�� ISSUES �
Common problems involving board • Board members should help in ........ �
members in school fund-raising include: preparing the "case,"which is the •:�
rationale for supporting the charter
• few board members see themselves school, and be able to explain
serving as fundraisers the case persuasively to prospec- �
• some perceive fund raising as tive donors. � ������ ��.
personally distasteful, and
• others are unsure of their ability to • Every board member can do
raise funds and see it as someone something useful to support the
else's duty. fundraising effort, employing his or �
her own skills and interests. """"' „
�
� STRATEGIES • Motivation of board members is the
`�`� most critical and the most difficult ��
�.
Despite such hesitations and fear, the task of all. Indifference will not raise ���*.�
bottom line is that board members are money.Board members and staff ���
critical to the fund raising success of the need to be enthusiastic about the
charter school. purpose of the charter school and
show eagerness to be involved. � �+
There are several methods for ensuring " """'
successful board fund-raising. These Create a strong fund development com-
include the following: mittee.
Develop a standing committee whose '�
Make sure that every board member purpose is to plan, organize, and build � ,
fully understands, accepts, and gives successful fund-raising campaigns. ������� � �
full attention to several principles: Responsibilities include: �w -
• The board is ultimately responsible
for attracting funding resources to • Soliciting current board members.
ensure the financial viability of the The goal of every fund develop-
. .
charter school and its educational ment committee is to get 100 per- :
and support programs. cent board participation.
• Recruiting fund-raising volunteers, ��
• Asking for and giving money are and developing and implementing " . _ k
natural processes and need not a program for orienting and soliciting ��
be viewed as something to be funds from volunteers. "`''��
avoided.
25
Q-4
• Developing written plans, estimated budgets, and dollar goals
for fund-raising programs to be reviewed and ratified by the charter
school's board. These plans, reflecting a period of at least three
years, should be reviewed semi-annually for appropriate payoffs and
cost/benefit adjustments.
• Developing and conducting annual personal solicitation programs
on behalf of the board to major donors, corporations and founda-
tions that have been identified as potential supporters of the charter
school.
• Organizing and conducting special event fund-raising programs.
• Assisting in development and maintenance of donor records and
reporting procedures.
• Evaluating fund-raising successes at least once a year, and making
appropriate recommendations to the board for maximizing results.
Offer training to support the board's fund-raising role.
Many board members don't want to raise money because they don't know how.
This reluctance can be countered by simply asking them if they would be willing
to try if the charter school offers them support and training. Often this will
increase their confidence to get involved.
Create a fund development plan.
The financial development plan sets goals for the charter school's income, typi-
cally over a three-to five-year span, incorporating specific objectives and action
steps that will help the charter school acquire and effectively use the financial
resources it needs. Done properly, a good fund development plan will help the
charter school take advantage of strengths,shore up weaknesses,open up oppor-
tunities and diffuse threats to the charter school's financial well-being.
Develop the fund-raising case.
An important responsibility of the board's fund development committee is to cre-
ate a fund-raising case statement. The case looks at the charter school from the
perspective of the supporter, setting forth the reasons why the donor/prospect
should want to contribute to your charter school. Interpreting and explaining the
mission of the organization,the case essentially answers the questions why,what,
who, and how.
� �
�� �`�
26
— — Q-4
�`�
� �
� �
, _
�: , ��.
0
.
��'' -���' ° �� Learn More about
�� p���a� Fostering Fund-raising
�
�� � Full Resource Guide
� �� www.uscharterschools.org/gb/governance/
� �
�
r�
Tools Available in Online Resource Guide
Sample Fund-raising Committee Description
Sample Resource Development Committee
Additional Resources for Board Involvement in Fund-raising
Boschee,Jerr, Merging Money and Mission: A Board Member's Guide to Social
Entrepreneurship, National Center for Nonprofit Boards, 1998.
The Foundation Center( :��f Zcentei )
Brinckerhoff, Peter C., Financial Empowerment: More Money for Mission,John Wiley and Sons,
1996.
DeKuyper,Mary Hundley, Trustee Handbook: A Guide to Effective Governance for Independent
School Boards, National Association of Independent Schools, 1998. Take a look at Chapter 5.
� )
Howe,Fisher, Fund Raising and the Nonprofit Board,National Center for Nonprofit Boards,
1998. ( )
� Klein, Kim, Grassroots Fundraising Journal,ChardonPress.
� )
National Association of Fund Raising Executives. (iti�vw.��5fre_or;.)
Scanlon, Eugene A., Corporate and Foundation Fund Raising,Aspen Publishers, 1997.
School Endowment: Sample Policy Statement(See the following website: Independent Schools
Association of the Central States at ; click on"Monographs", then scroll down and
click on "Business Operations"for sample school endowment policies.)
Thorton, Grant, Planned Giving: A Board Member's Perspective,National Center for Nonprofit
Boards, 1999.
:...................................................................................................................................................................................
www.usc�arterschools.ora/ab/ 2,
Q-4
'��� - �� HALLEN E 'I � ..
� �� _ . C G �.�.
�`° --- `'1 ' 4~17 I f DEVELOPING EFFECTIVE �� � ���� �'``'
y��� .k � �' .'
r,.. {9�+�'�'i."
.� �. �
�z��
I ti�, �f`�•• ��r BOARD SELF-ASSESSMENT �
r ��1�' �
Because so much is riding on the effec- '
-� ��
� =-�,i � tiveness of the board in carrying out its .� �
f I�., � �.
L� ��� roles and responsibilities, it is important :���������� �;�l
+ ---- that the board spends time looking at its �
_ 4� - own performance in order to improve it.
; , Charter school board developers will
, ;� ...
:' need to institute a self-assessment process ••••••• '
� - - � = ;-�� to continuously help the board enhance
- '�_i� _ _,;���� its effectiveness.
�{a ...... �
� ISSUES ��,
Self-Assessment For Nonprofit . .
Board assessment is a relatively new Governing Boards. This assessment tool
practice. Resistance to instituting a self- is available from the National Center for
assessment process may occur because of Nonprofit Boards ( ), and ,�
.......... �
two primary reasons: examines both individual board members .
and the performance of the board as a
• evaluation of governing boards' whole.
performance is not yet a com- ' �
mon practice, and Charter School Board Of Directors Self- � ��•••• '
• board members may feel threat- Assessment Template. This assessment,
;, ened and judged. available from the Charter School
•-'`�. Development Center (
ti.;�i ) reflects basic rules and
' ST RAT EG I ES responsibilities of the board as well as a ������� ��
number of explicit references to items like
Board members, even though they are compliance with state and federal laws,
volunteers, want their time and skills to instruction and assessment, and terms of � ' L
be used well; they do not want them the school's charter contract. i......... � `��"'�
wasted. With the goal of board assess-
ment as improvement, not judgment, goard Development Assessment Tool.
boards will find great value in examining This assessment is available from the '
their performance, and the charter school Learning Institute for Nonprofit � #'
will benefit reatl as well. � ' ���'�'�
g Y Organizations. It includes sections on f
internal procedures, operational matters
There are several tools available to assess and financial management responsibili- _� ,
a board's performance. A good assess- ties. It also includes a sample work plan
ment process is based on a set of stan- for implementing the results of a board ......... � �
dards or best practices that characterize self-assessment. �
effective board performance. The charter �� "
school board can develop its own written � Lewis, Andrew, Board Development Assessment Tool,
S21f-dSS2SSTTl2rit t001 OT' US2 off-the-shelf The Learning Institute for Nonprofit Organizations,1999. �
board assessment instruments, such as: �"'�'��
Board Self-assessment Questionnaire.
� �`�
This self-assessment is also available
online at the Website of the National �
School Boards Association( °w��.nsb�.or:,). ��- "
��*'��
28
Q-4
r�
�� �
- �M Learn More about
�ear i
�f� ' "� Develo in EFFective
�', °�Q�Q� Board Self assessment
� a 4a
p�m
' ��� '� Full Resource Guide
� www.uscharterschools.org/gb/governance/
� �
�
�� Tools Available in Online Resource Guide
Principles of Good Practice for Member Schools
Board Governance Indicators Assessment
Board Development Assessment Tool
Visionary Board Leadership Assessment
Exit Interview with Departing Board Members
A Framework far Continuous Improvement of Charter School Board Effectiveness
Sample Recommendations for Board Improvement
Additional Resources for Board Self-assessment
Board Tune-ups. (The Independent Schools Association of the Central States (ISACS)has prepared
a collection of 13 assessment tools for the periodic tune-up of your charter school board. Topics
include: Board Bylaws, Committees, Board Evaluation, Policies,Board Recruitment, Board
Structure/Meeting Pattern, Contract for Administrator, Endowment Policies, Enrollment Contract,
Enrollment Policies, Faculty Contracts,Administrator Evaluation, and Long-range Planning.
The approach suggested is to compare the "best practices°ISACS version to your school board's
version of policies and practices.All of the documents cited are available for free by downloading
from the ISACS website: then click on Monographs, scroll down to Board of
Trustees, and choose the appropriate monograph title.Alternatively, school board chairs can order
from ISACS the tune-up package of all the monographs for a charge of$25.00, payable to ISACS.
Charter School Governance Toolkit,First Edition, Charter Schools Development Center, 1999.
[Section 4 includes a "Charter School Board of Directors Self Assessment Template."
� )�
Hughes, Sandra, To Go Forward,Retreat,National Center for Nonprofit Boards, 1999. (This publica-
tion includes many practical suggestions and ideas for planning and conducting successful board
retreats.)
Slesinger, Larry H., Self-assessment for Nonprofit Governing Boards, National Center for
Nonprofit Boards, 1996.
� )
Smoley, Eugene R., Effective School Boards: Strategies for Improving Board Performance,Jossey-
Bass, 1999.
Szanton, Peter, Board Assessment of the Organization, National Center for Nonprofit Boards, 1992.
:.......................................................................................................................................
29
Q-4
ACCESS MORE TOOLS FOR CHARTER SCHOOLS
Guidebooks Available on Creating an Effective Charter School Governing Board, Personnel Policies & Practices,
Creating and Sustaining Family Friendly Institutions, and Mobilizing and Motivating Your Staff to Get Results.
These guides can be accessed online at �://w--��-��u ' �rter� ���ols.org/gb j ' uides.hti��
The Charter Friends National Network has a limited number of print summaries of the documents available. To
request a copy of one, or all four, please send an email to info@charterfriends.org.
ABOUT THE SPONSORING ORGANIZATIONS
The Annie E. Casey Foundation is a private charitable organization dedicated to helping build better futures for
disadvantaged children in the U.S.Recognizing that strong families and strong neighborhoods are interdependent,
the Casey Foundation is supporting broad strategies for neighborhood development and family transformation in
twenty-two urban communities around the nation through its Making Connections initiative.
For more information about the Annie E. Casey Foundation and the Making Connections initiative visit the web-
site or contact:
The Annie E. Casey Foundation
Tel: (410)547-6600
Email: webmail@aecf.org
Web: '�ttp://�,1�c���� lecf.org/initi�tives/ntfd/nl�kinglltin
The Charter Friends National Network (CFNN) is a project of the Minnesota-based Center for Policy Studies in
cooperation with Hamline University. Founded in early 1997, CFNN's mission is to connect and support state-
level charter school organizations - mainly non-profit resource centers and associations of charter school opera-
tors.
Charter Friends National Network:
1745 University Avenue, Suite 110
St. Paul,MN 55104
Tel: (651)649-5479 • Fax: (651) 649-5472
Email: info@charterfriends.org
Web: .rg
OTHER RESOURCE GUIDES AVQILQBLE FROM CHQRTER FRIENDS NQTIONQL NETWORI<:
❑ Charter School Accountability: A Guide to Issues and Options for Charter Authorizers
❑ Charter School Facilities:A Resource Guide on Development and Financing
❑ Charting a Clear Course:A Resource Guide for Charter Schools Contracting with School
Management Organizations
❑ Employer-Linked Charter Schools:An Introduction
❑ A Guide for Developing a Business Plan for Charter Schools
❑ Thinking About a Pre-existing Comprehensive School Design
❑ Out of the Box:An Idea Book on Charter School Facilities Financing
❑ Paying for the Charter Schoolhouse: Policy Options for Charter School Facilities Financing
❑ Shaping an Accountability Plan for Your Charter School
30
— — Q-4
�-�
+�'�Prw w��a�aNlwr�iu�rw I��t
. +` ii '+L
� �� � ll� 1 � M � II � �
'~k ��57���� R7��L, ! � � �
��
��
�
4'
� � �
� � � ' � �
� � .
�• � f
� ��
\ �
�� �r �
� �
r�,�rlr.�+��i[►� .�.3s����� ������� ��1.1.
�
�;i
MUNICIPAL FISCAL & BUDGETARY POLICIES
I. STATEMENT OF PURPOSE
The overall intent of the following Fiscal and Budgetary Policy Statements is to enable the
Town to achieve a long-term stable and positive financial condition. The watchwords of the
Town's financial management include integrity, prudence, stewardship, planning,
accountability, and full disclosure.
The more specific purpose is to provide guidelines to the Town Manager and Finance
Director in planning and directing the Town's day-to-day financial affairs and in developing
recommendations to the Town Manger and Town Council.
The scope of these policies generally span, among other issues, accounting, purchasing,
auditing,financial reporting, internal controls, operating and capital budgeting, revenue
management, cash and investment management, expenditure control, asset management,
debt management, and planning concepts, in order to:
A. Present fairly and with full disclosure the financial position and results of the financial
operations of the Town in conformity with generally accepted accounting principles(GAAP),
and
B. Determine and demonstrate compliance with finance related legal and contractual issues in
accordance with provisions of the Texas Local Government Code and other pertinent legal
documents and mandates.
The Town Council will annually review and approve the Fiscal and Budgetary Policy
Statements as part of the budget process.
II. SUMMARY OF POLICY INTENDED OUTCOMES
This policy framework mandates pursuit of the following fiscal objectives:
A. Operating Budget: Prepare, conservatively estimate revenues, present,and adopt the
Town's annual operating plan.
B. Revenues Management: Design, maintain,and administer a revenue system that will assure
a reliable,equitable, diversified,and sufficient revenue stream to support desired Town
services.
C. Expenditure Control: Identify priority services,establish appropriate service levels,and
administer the expenditure of available resources to assure fiscal stability and the effective
and efficient delivery of services.
D. Fund Balance/Retained Earnings: Maintain the fund balance and retained earnings of the
various operating funds at levels sufficient to protect the Town's credit worthiness as well as
its financial position from emergencies.
E. Debt Management: Establish guidelines for debt financing that will provide needed capital
equipment and infrastructure improvements while minimizing the impact of debt payments
on current revenues.
F. Intergovernmental Relationships: Where feasible,coordinate efforts with other
governmental agencies to achieve common policy objectives,share the cost of providing
governmental services on an equitable basis and support favorable legislation at the State
and Federal level.
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G. Grants: Seek,apply for and effectively administer within this policy's guidelines, Federal,
State,and foundation grants-in-aid which address the Town's current priorities and policy
objectives.
H. Economic Development: Initiate where feasible,encourage,and participate in economic
development efforts to create job opportunities and strengthen the local tax base and
economy
I. Fiscal Monitoring: Prepare and present regular reports that analyze,evaluate,and forecast
the Town's financial performance and economic condition.
J. Financial Consultants: With available resources,seek out and employ the assistance of
qualified financial advisors and consultants in the management and administration of the
Town's financial functions.
K. Accounting,Auditing,and Financial Reporting: Comply with prevailing Federal,State and
local statues and regulations. Conform to generally accepted accounting principles as
promulgated by the Government Accounting Standards Board (GASB),the American Institute
of Certified Public Accountants(AICPA),and the Government Finance Officers Association
(GFOA).
L. Capital Improvement Plan/Budget and Program: Multi-year planning,forecasting,
preparation,and control of the Town's capital improvement plan/budget.
M. Capital Maintenance and Replacement: Annually review and monitor the state of the
Town's capital equipment and infrastructure,setting priorities for its replacement and
renovation based on needs,finding alternatives,and availability of resources.
N. Internal Controls:To establish and maintain an internal control structure designed to provide
reasonable assurances that the Town's assets are safeguarded and that the possibilities for
material errors in the Town's financial records are minimized.
III. OPERATING BUDGET
A. Preparation: Budgeting is an essential element of the financial planning,control and
evaluation process of municipal government. The"operating budget" is the Town's annual
financial operating plan. The budget includes all of the operating departments of the Town,
the debt service fund,all capital projects funds,and the internal service funds of the Town.
The proposed budget will be prepared with the cooperation of all Town departments and is
submitted to the Town Manager who makes any necessary changes and transmits the
document to the Town Council. A budget preparation calendar and timetable will be
established and followed in accordance with State law.
B. Revenue Estimates for Budgeting: In order to maintain a stable level of services,the Town
shall use a conservative,objective,and analytical approach when preparing revenue
estimates.The process shall include analysis of probable economic changes and their impacts
on revenues, historical collection rates,and trends in revenues.This approach should reduce
the likelihood of actual revenues falling short of budget estimates during the year and should
avoid mid-year service reductions.
C. Balanced Budget: As per State Law,current operating revenues, including Property Tax
Reduction Sales Tax transfers(which can be used for operations),will be sufficient to support
current operating expenditures. Annually recurring revenue will not be less than annually
recurring operating budget expenditures(operating budget minus capital outlay). Debt or
bond financing will not be used to finance current expenditures.
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D. Proposed Budget Process:a proposed budget shall be prepared by the Town Manager with
the participation of all of the Town's department directors.
The proposed budget shall include four basic segments for review and evaluation:(1)
personnel costs,(2)base budget for operations and maintenance costs,(3)service level
adjustments for increases of existing service levels or additional services,and(4)revenues.
The proposed budget review process shall include Council participation in the review of
each of the four segments of the proposed budget and a public hearing to allow for citizen
participation in the budget preparation.
The proposed budget process shall allow sufficient time to provide review,as well as
address policy and fiscal issues, by the Town Council.
A copy of the proposed budget shall be filed with the Town Secretary when it is submitted
to the Town Council as well as placed on the Town's website.
E. Budget Adoption: Upon the determination and presentation of the final iteration of the
proposed budget as established by the Council,a public hearing date and time will be set and
publicized. The Council will subsequently consider a resolution which, if adopted,such
budget becomes the Town's Approved Annual Budget. The adopted budget will be effective
for the fiscal year beginning October 1. The approved budget will be placed on the Town's
web site.
F. Budget Award: Each year the Council approved operating budget will be submitted annually
to the Government Finance Officers Association (GFOA)for evaluation and consideration for
the Award for Distinguished Budget Presentation.
G. Budget Amendments: Department Directors are responsible for monitoring their respective
department budgets. The Finance Department will monitor all financial operations. The
budget team will decide whether to proceed with a budget amendment and, if so,will then
present the request to the Town Council. If the Council decides a budget amendment is
necessary,the amendment is adopted in resolution format and the necessary budgetary
changes are then made.
H. Central Control: Modifications within the operating categories(salaries,supplies,
maintenance,services,capital,etc.)can be made with the approval of the Town Manager.
Modifications to reserve categories and interdepartmental budget totals will be made only
by Town Council consent with formal briefing and Council action.
I. Planning:The budget process will be coordinated so as to identify major policy issues for
Town Council by integrating it into the Council's overall strategic planning process for the
Town. Each department shall have a multi-year business plan that integrates with the
Town's overall strategic plan.
J. Reporting: Monthly financial reports will be prepared by the Finance Department and
distributed to and reviewed by each Director. Information obtained from financial reports
and other operating reports is to be used by Directors to monitor and control departmental
budget. Summary financial reports will be presented to the Town Council quarterly.
K. Performance Measures&Productivity Indicators:Where appropriate, performance
measures and productivity indicators will be used as guidelines to measure efficiency,
effectiveness,and outcomes ofTown services. This information will be included in the
annual budget process as needed.
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L. Contingent Appropriation: During the budget process,staff will attempt to establish an
adequate contingent appropriation in each of the operating funds. The expenditure for this
appropriation shall be made only in cases of emergency,and a detailed account shall be
recorded and reported. The proceeds shall be disbursed only by transfer to departmental
appropriation. All transfers from the contingent appropriation will be evaluated using the
following criteria:
Is the request of such an emergency nature that it must be made immediately?
Why was the item not budgeted in the normal budget process?
Why can't the transfer be made within the department?
IV. REVENUES MANAGEMENT
A. Revenue Design Parameter: The Town will pursue the following optimum characteristics in
its revenue system:
Simplicity-The Town,where possible and without sacrificing accuracy,will strive to keep
the revenue system simple in order to reduce costs,achieve transparency,and increase
citizen understanding of Town revenue sources.
Certainty-A knowledge and understanding of revenue sources reliability increases the
viability of the revenue system. The Town will understand,to the best of its ability,all
aspects of its revenue sources and their perFormance,as well as enact consistent collection
policies to provide assurances that the revenue base will materialize according to budgets,
forecasts,and plans.
Equity-The Town shall make every effort to maintain equity in its revenue system: i.e.the
Town shall seek to minimize or eliminate all forms of subsidization between entities,funds,
services utilities,and customer classes within a utility.
Administration-The benefits of a revenue source will not exceed the cost of collecting that
revenue. Every effort will be made for the cost of collection to be reviewed annually for
cost effectiveness as a part of the Town's indirect cost and cost of service analysis.
Adequacy,Diversification and Stability-The Town shall attempt,in as much as is practical,
to achieve a balance in its revenue system. The Town shall also strive to maintain a
balanced and diversified revenue system to protect the Town from fluctuations in any one
source due to changes in local economic conditions which adversely impact that revenue
sou rce.
B. Other Considerations. The following considerations and issues will guide the Town in its
revenue policies concerning specific sources of funds:
Cost/Benefit of Incentives for Economic Development-The Town will use due caution in
the analysis of any tax or fee incentives that are being considered to encourage economic
development. A cost/benefit(fiscal impact)analysis will be perFormed as a part of the
evaluation for each proposed economic development project.
Non-Recurring Revenues-One-time or non-recurring revenues will not be used to finance
on-going operational costs. Non-recurring revenues will be used only for one-time
expenditures such as long-lived capital needs or one-time major maintenance projects that
occur infrequently. Non-recurring revenues will not be used for budget balancing purposes
except to cover the one-time expenditures described above.
Investment Income-Earnings from investment of available monies,whether pooled or
not,will be distributed to the funds in accordance with the equity balance of the fund from
which monies were provided to be invested.
Property Tax Revenues-The Town shall endeavor to avoid a property tax by revenue
diversification, implementation of user fees,and economic development.
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C. User-Based(Demand Driven)Fees and Service Charges. For services that are demand driven
and can be associated with a user fee or charge,the direct and indirect costs of that service will
be offset by a fee where possible. The Town staff will endeavor to prepare a review of all fees
and charges annually, but not less than once every three years,in order to ensure that these
fees provide for,at minimum,full cost recovery of service.
D. Enterprise Fund Rates. Utility rates and rate structures for water and sewer services will be
constructed to target full cost of service recovery. Annually the Town will review and adopt
water and sewer utility rates and a rate structure that generates revenue sufficient to fully
cover operating expenses,meet the legal restrictions of all applicable bond covenants, provide
for an adequate level of working capital,and recover applicable general/administrative costs.
The Solid Waste function will have rates that fully recover all costs and maintain an adequate
balance. The Cemetery Fund will be structured to operate on lot sales and endowments.
General and Administrative(G&A)Charges—Where feasible,G&A costs will be charged to
all funds for services of indirect general overhead costs,which may include general
administration,finance,customer billing,facility use, personnel,technology,engineering,
legal counsel,and other costs as deemed appropriate. These charges will be determined
through an indirect cost allocation study following accepted practices and procedures.
E. Intergovernmental Revenues. As a general rule,intergovernmental revenues(grants)will not
be utilized for on-going operating costs. Any potential grant opportunity will be examined to
identify all costs related to matching and continuation of program requirements. Staff will
focus on one-time grants to avoid long-term implications. If it is determined that accepting a
grant with on-going cost conditions is in the interests of the Town,all the operating and
maintenance costs must be included in the financial forecast and their ultimate efFect on
operations and revenue requirements be known.
F. Revenue Monitoring. Revenues as they are received will be regularly compared to budgeted
revenues and variances will be investigated. This process will be summarized in the
appropriate budget report.
G. Special Revenue/Educational Funds. Where feasible and practical,General and Administrative
Charges(G&A)for special revenue and educational funds of the Town of Westlake will be
determined on an annual basis and transfers will be made where sufficient revenue exists to
cover the associated expenditures.
V. EXPENDITURE CONTROL
A. Appropriations—The point of budgetary control is at the department level in the General Fund
and at the fund level in all other funds. When budget adjustments among Departments and/or
funds are necessary,they must be approved by the Town Council.
B. Current Funding Basis-The Town shall operate on a current funding basis. Expenditures shall
be budgeted and controlled so as not to exceed current revenues plus the planned use of fund
balance accumulated through prior year savings.(The use of fund balance shall be guided by
the Fund Balance/Retained Earnings Policy Statements.)
C. Avoidance of Operating Deficits-The Town shall take immediate corrective actions if at any
time during the fiscal year expenditure and revenue re-estimates are such that an operating
deficit(i.e., projected expenditures in excess of projected revenues)is projected at year-end.
Corrective actions can include a hiring freeze,expenditure reductions,fee increases,or use of
fund balance within the Fund.
D. Balance/Retained Earnings Policy-Expenditure deferrals into the following fiscal year,short-
term loans,or use of one-time revenue sources shall be avoided to balance the budget.
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E. Maintenance of Capital Assets-Within the resources available each fiscal year,the Town shall
maintain capital assets and infrastructure at a sufficient level to protect the Town's investment,
to minimize future replacement and maintenance costs,and to continue service levels.
F. Periodic Program Reviews-The Town Manager shall undertake periodic staff and third-party
reviews of Town programs for both efficiency and effectiveness. Privatization and contracting
with other governmental agencies will be evaluated as alternative approaches to service
delivery. Programs which are determined to be inefficient and/or ineffective shall be reduced in
scope or eliminated.
G. Salary-The Town shall strive to maintain competitive salary levels for municipal
employees. A salary survey will be conducted through a sampling of surrounding and
comparable municipal organizations to create a comparison. The Town will strive to
maintain salary levels within three percent (3%) of the median of surveyed benchmark
municipalities.
H. Purchasing-The Town shall make every effort to maximize any discounts offered by
creditors/vendors.Staff shall also use competitive bidding in accordance to State law,as well as
intergovernmental partnerships and purchasing cooperatives to attain the best possible price
on goods and services.
I. Prompt Payment-All invoices will be paid within 30 days of receipt in accordance with the
prompt payment requirements of State law.
VI. FUND BALANCE/RETAINED EARNINGS
A. General Fund Undesignated Fund Balance-The Town shall strive to maintain the General Fund
undesignated minimum fund balance at,or in excess of,180 days of operation.
B. Retained Earnings of Other Operating Funds-In the Utility Fund,the Town shall strive to
maintain positive retained earnings positions to provide sufficient reserves for emergencies and
revenue shortfalls.
C. Use of Fund Balance—The Council delegates the responsibility to assign funds to the Town
Manager or his/her designee. The Council shall have the authority to assign any amount of
funds. Assignments may occur subsequent to fiscal year-end. The Council will utilize funds in the
following spending order: Restricted,Committed,Assigned,Unassigned
Fund Balance will be targeted to only be used with Council approval and can be only be used for
the following:
Emergencies,such as a natural disaster,pandemic,epidemic,or quarantine.
� non-recurring expenditures such as technology/FF&E(furniture,fixtures and equipment),or
major capital purchases that cannot be accommodated through current year savings.
Should such use reduce the balance below the appropriate level set as the objective for that
fund,recommendations will be made on how to restore it.
The Council shall approve all commitments by formal action. The action to commit funds
must occur prior to fiscal year-end,to report such commitments in the balance sheet of the
respective period,even though the amount may be determined subsequent to fiscal year-
end.
A commitment can only be modified or removed by the same formal action.
D. General Fund Balance Specifically- Amounts of the General Fund's Fund Balance above the 180
day minimum in the General Fund may,with Council approval, be used for the following in
descending order of priority:
Emergencies,and their related response and/or necessary repairs to major equipment failure
or damage,such as a natural disaster,pandemic,epidemic,or quarantine.
Specific capital improvement projects or be transferred to the Capital Projects Fund.
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Major maintenance projects not meeting Capital Project criteria as identified in the
Adopted Budget's Capital Improvement Plan.
Acquisition of technology hardware and/or software such as Geographic Information
Systems(GIS),public safety technology enhancements,and fiber optic technology.
Local matches on State or Federal grants.
One-time(i.e. non-reoccurring)employee perFormance pay
VII. DEBT MANAGEMENT
A. Debt Issuance Analysis-All consideration of debt issuance for major capital assets will be
prepared within the framework of a Council approved multi-year capital improvement plan and
forecast for all Town facilities and infrastructure.
B. Analysis of Debt Issuance and Debt Issuance Alternatives-Staff will explore alternatives to the
issuance of debt for capital acquisitions and construction projects.
These alternatives will include,but not be limited to,
grants-in-aid
use of reserves
use of either current on-going general revenues or one-time revenues
contributions from developers and others
leases
userfees
impact fees
C. Use of Debt Financing-The useful life of the asset or project shall,at a minimum,exceed the
payout schedule of any debt the Town assumes. Debt financing instruments to be considered
bytheTown may include:
General obligation bonds-These must be authorized by a vote of the citizens of Westlake.
Revenue bonds-These bonds generate capital requirements necessary for continuation or
expansion of a service which produces revenue and for which the asset may reasonable be
expected to provide for a revenue stream to fund the debt service requirement.
Certificates of obligation-These can be authorized by Council approval with debt service
by either general revenues or backed by a specific revenue stream or a combination of
both.
Lease/purchase agreements-These shall only be used to purchase capital assets that
cannot be financed from either current revenues or fund balance/retained earnings and to
fund infrastructure improvements and additions.
D. Assumption of Additional Debt-The Town shall not assume more tax-supported general-
purpose debt than it retires each year without first conducting an objective analysis as to the
community's ability to assume and support additional debt service payments.
E. Affordability Targets-The Town shall use an objective multi-year analytical approach to
determine whether it can afford to assume new general-purpose debt beyond what it retires
each year.This process shall compare generally accepted standards of affordability to the
current values for the Town.The process shall also examine the direct costs and benefits of
the proposed expenditures.The decision on whether or not to assume new debt shall be
based on these costs and benefits and on the Town's ability to"afford" new debt as
determined by the aforementioned standards.The Town shall strive to achieve and/or
maintain these standards at a low to moderate classification.
F. Debt Structure-The Town shall structure its debt payment schedules for general purpose debt
to ensure level principal repayment schedules.The Town shall not assume any debt with
"balloon' repayment schedules which consist of low annual payments and one large payment
of the balance due at the end of the term.While balloon payment structures minimize the size
of debt payments during the period,they force a large funding requirement on the budget of
the final year.Given the uncertainties of the future, level payment schedules improve budget
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planning and financial management.
G. Sale Process-The Town shall use a competitive bidding process in the sale of debt unless the
nature of the issue warrants a negotiated bid.The Town shall award bonds based on a true
interest cost(TIC)basis as long as the financial advisor agrees that the TIC basis can
satisfactorily determine the lowest and best bid.
H. Bond Rating Agencies Presentations-Full disclosure of operations and open lines of
communication shall be made to the bond rating agencies.Town staff,with assistance of
financial advisors,shall prepare the necessary materials and presentation to the bond rating
agencies.
I. Continuing Disclosure-The Town is committed to continuing disclosure of financial and
pertinent credit information relevant to the Town's outstanding securities.
J. Debt Refunding-Town staff and the financial advisor shall monitor the municipal bond market
for opportunities to obtain interest savings by refunding outstanding debt.As a general rule,
the present value savings of a particular refunding should exceed 3.5%of the refunded
maturities.
VIII. INTERGOVERNMENTAL RELATIONSHIPS
The Town will pursue coordinated efforts with other governmental agencies to achieve common
policy objectives,share the cost of providing government services on an equitable basis,and
support favorable legislation at the State and Federal levels.
A. Inter-local Cooperation in Delivering Services-In order to promote the effective and efficient
delivery of services,the Town shall actively seek to work with other local jurisdictions in joint
purchasing consortia,sharing facilities,sharing equitably the costs of service delivery,and
developingjoint programs to improve service to its citizens.
B. Legislative Program-The Town shall cooperate with otherjurisdictions to actively oppose any
State or Federal regulation or proposal that mandates additional Town programs or services
and does not provide the funding to implement them.Conversely,as appropriate,the Town
shall support legislative initiatives that provide more funds for priority local programs.
IX. GRANTS
A. Grant Guidelines-The Town shall apply,and facilitate the application by others,for only those
grants that are consistent with the objectives and high priority needs previously identified
above in these policies. The potential for incurring on-going costs,to include the assumption of
support for grant funded positions from local revenues,will be considered prior to applying for
a grant.
B. Grant Review-All grant submittals shall be reviewed for their cash match requirements,their
potential impact on the operating budget,and the extent to which they meet the Town's policy
objectives. If there are cash match requirements,the source of funding shall be identified prior
to application. Staff will focus on one-time grants to avoid long-term implications related to
additional expenditures in future years. '
C. Grant Program Termination-The Town shall terminate grant funded programs and associated
positions when grant funds are no longer available unless alternate funding is identified.
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X. ECONOMIC DEVELOPMENT
A. Positive Business Environment-The Town shall endeavor,through its regulatory and
administrative functions,to provide a positive business environment in which local businesses
can grow,flourish and create jobs.The Town Council and Town staff will be sensitive to the
needs,concerns and issues facing local businesses.
B. Commitment to Business Expansion,Diversification,and Job Creation-The Town shall
encourage and participate in economic development efforts to expand Westlake's economy to
increase local employment.These efforts shall not only focus on newly developing areas but
also on other established sections of Westlake where development can generate additional
jobs and other economic benefits.
C. Coordinate Efforts with Other Jurisdictions-The Town's economic development program shall
encourage close cooperation with other local jurisdictions,chambers of commerce,and groups
Interested in promoting the economic well-being of this area.
D. Cost/Benefit of Incentives for Economic Development-The Town will use due caution in the
analysis of any tax or fee incentives that are used to encourage economic development. A
cost/benefit(fiscal impact)analysis will be performed as part of such evaluation for each
prospect. Economic development agreements will contain performance language as to the
business's proposed economic impact to Westlake in exchange forTown incentives with
adequate"claw-back"provisions for the Town.
XI. FISCAL MONITORING
A. Financial Status and Performance Reports-Quarterly reports comparing expenditures and
revenues to current budget,projecting expenditures and revenues through the end of the year,
noting the status of fund balances to include dollar amounts and percentages,and outlining
any remedial actions necessary to maintain the Town's financial position shall be prepared for
review by the Town Manager and the Council.
B. Compliance with Council Policy Statements-The Fiscal and Budgetary Policies will be
reviewed annually by the Council and updated, revised or refined as deemed necessary. Policy
statements adopted by the Council are guidelines,and occasionally,exceptions may be
appropriate and required. However,exceptions to stated policies will be specifically identified,
and the need forthe exception will be documented and fully explained.
XII. FINANCIAL CONSULTANTS
To employ the assistance of qualified financial advisors and consultants as needed in the
management and administration of the Town's financial functions.These areas include but are not
limited to investments,debt administration,financial accounting systems,program evaluation,and
financial impact modeling.Advisors shall be selected on a competitive basis using objective
questionnaires and requests for proposals based on the scope of the work to be performed.
XIII. ACCOUNTING,AUDITING,AND FINANCIAL REPORTING
To comply with prevailing local,state,and federal regulations relative to accounting,auditing,and
financial reporting. Accounting practices and financial reporting shall conform to generally
accepted accounting principles as promulgated by the Governmental Accounting Standards Board
(GASB),the American Institute of Certified Public Accountants,(AICPA),and the Government
Finance Officers Association(GFOA).The Board shall select an independent firm of certified public
accountants to perform an annual audit of all operations
A. Accounting—The Town is solely responsible for the recording and reporting of its financial �
affairs,both internally and externally. The Town's Finance Director is responsible for
establishing the structure for the Town's chart of accounts and for assuring that procedures are
in place to properly record financial transactions and report the Town's financial position.
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B. External Auditing-Town will be audited annually by outside independent accountants
(auditors). The auditors must be a CPA firm and must demonstrate significant experience in the
field of local government auditing. They must conduct the town's audit in accordance with
generally accepted auditing standards and be knowledgeable in the Government Finance
Officers Association Certificate of Achievement program. The auditors'report on Town's
financial statements will be completed within a timely period of the Town's fiscal year-end. The
auditor will jointly review the management letter with the Town Council,if necessary. In
conjunction with this review,the Finance Director shall respond in writing to the Town Council
regarding the auditor's Management Letter,addressing the issued contained therein. The
Town will not require auditor rotation but will circulate request for proposal for audit services
on a periodic basis as deemed appropriate.
C. External Financial Reporting-Town will prepare and publish a comprehensive annual financial
report(CAFR). The CAFR will be prepared in accordance with generally accepted accounting
principles and will be presented annually to the Government Finance Officers Association
(GFOA)for evaluation and awarding of the Certificate of Achievement for Excellence in
Financial Reporting.
D. Responsibility of Auditor to Town Council—The auditor is retained by and it accountable
directly to the Town Council and will have access to direct communication with the Town
Council if the Town Staff is unresponsive to auditor recommendations or if the auditor
considers such communication necessary to fulfill its legal and professional responsibilities.
E. Internal Financial Reporting-The Finance Department will prepare internal financial reports
sufficient for management to plan, monitor,and control Town's financial affairs.
XIV. CAPITAL BUDGET AND PROGRAM
A. Preparation-The Town's capital budget will include all capital projects funds and all capital
resources. While the capital budget will be prepared annually on a project basis,it will be
based on an on-going,multi-year capital improvement plan(CIP)that shows all funded and
unfunded projects as identified by staff for all Town facilities and infrastructure. The multi-year
CIP will be reviewed annually,updated by staff and presented to the Council for its review and
approval. The annual capital budget will be prepared by the Finance Department with the
involvement of responsible departments based on the multi-year CIP.
B. Control-All capital project expenditures must be appropriated in the capital budget. The
Finance Director must certify the availability of resources before any capital project contract is
presented to the Town Council for approval.
C. Program Planning-The capital budget will be taken from the capital improvements project
plan for future years. The planning time frame for the capital improvements project plan
should normally be five years,with a minimum of at least three years. The replacement and
maintenance for capital items should also be projected for the next five years. Future
maintenance and operational costs will be considered so that these costs can be included as
appropriate in the annual budget.
D. Financing Programs-Where applicable and with Council approval,impact fees,pro-rata
charges,assessments,or other fees should be used to fund capital projects which have a
primary benefit to specific,identifiable property owners. Recognizing that long-term debt is
usually a more expensive financing method,alternative financing sources will be explored
before debt is issued. When debt is issued,it will be used to acquire major assets with
expected lives which equal or exceed the average life of the debt issue.
E. Reporting-Periodic financial reports will be prepared to enable the department directors to
manage their capital budgets. Summary capital project status reports will be presented to the
Town Council quarterly.
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XV. CAPITAL MAINTENANCE AND REPLACEMENT
The Town recognizes that deferred maintenance and not anticipating capital replacement needs
increases future capital costs. Annually,available funds will be evaluated during the budget
process and a percentage of each operating fund's budget will be recommended to the Council for
transfer.
Upon approval by the Council,the recommended amount will be transferred to the appropriate
funds(General/Utility/Vehicle Maintenance Replacement Fund)for major maintenance and
replacement of street, building roof,flooring,air conditioning,equipment,etc.
XVI. INTERNAL CONTROLS
A. Written Procedures-Whenever possible,written procedures will be established and
maintained by the Finance Director for all functions involving purchasing,cash handling and/or
accounting throughout the Town. These procedures will embrace the general concepts of fiscal
responsibility set for in this policy statement.
B. Department Directors'Responsibilities-Each department director is responsible for ensuring
that good internal controls are followed throughout his/her department,that all directives or
internal controls are implemented,and that all independent auditor internal control
recommendations are addressed. Departments will develop and periodically update written
internal control procedures.
XVII. ASSET MANAGEMENT
A. Investments—The Finance Director shall promptly invest all Town funds with the depository
bank in accordance with the provisions of the current Bank Depository Agreement or in any
negotiable instrument authorized by the Town Council. Further,investments shall be made in
accordance with the Investment Policy approved by the Town Council for the Town of
Westlake that meets the requirements of the Public Funds Investment Act(PFIA),Section 2256
of the Texas Local Government Code. The Finance Director will issue quarterly reports on
investment activity to the Town Council.
B. Cash Management-Town's cash flow will be managed to maximize the cash available to
invest. Such cash management will entail the centralization of cash collections,where
feasibility,including utility bills,building and related permits and license,fines,fees,and other
collection offices as appropriate. Periodic review of cash flow position will be perFormed to
determine performance of cash management and conformance to investment policies. The
underlying theme will be that idle cash will be invested with the intent to(1)safeguard assets,
(2)maintain liquidity,and(3)maximize return.
C. Fixed Assets and Inventory-Such assets will be reasonably safeguarded and properly
accounted for and prudently insured. The fixed asset inventory will be updated regularly.
D. Capitalization Criteria—For purposes of budgeting and accounting classification,the following
criteria must be capitalized:
The asset is owned by the Town of Westlake
The expected useful life of the asset must be longer than one year,or extend the life on an
identifiable existing asset by more than one year
The original cost of the asset must be at least$5,000
The asset must be tangible
On-going repairs and general maintenance are not capitalized
New Purchases—All costs associated with bringing the asset into working order will be
capitalized as part of the asset cost. This includes start-up costs,engineering or consultant
type fees as part of the asset cost once the decision or commitment to purchase the asset
is made. The cost of land acquired should include all related costs associated with its
purchase
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Improvements and Replacement—Improvement will be capitalized when they extend the
original life of an asset or when they make the asset more valuable than it was originally.
The replacement of assets components will normally be expenses unless they are a
significant nature and meet all the capitalization criteria.
E. Computer System/Data Security—The Town shall provide security of its computer/network
system and data files through physical and logical security systems that will include, but are not
limited to: network user authentications,firewalls,content filtering,spam/virus protection,and
redundant data backup.
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FISCAL AND BUDGETARY POLICIES
I. STATEMENT OF PURPOSE
The broader intent of the following Fiscal and Budgetary Policy Statements is to enable the Academy to
achieve a long-term stable and positive financial condition. The watchwords of the Academy's financial
management include integrity, prudent, stewardship, planning, accountability, and full disclosure.
The more specific purpose is to provide guidelines to the Finance Director in planning and directing the
Academy's day-to-day financial affairs and in developing recommendations to the Academy Superintendent
or his designate and Academy Board of Trustees.
The scope of these policies generally span, among other issues, accounting, purchasing, auditing,financial
reporting, internal controls, operating budgeting, revenue management, cash and investment management,
expenditure control, asset management, debt management, and planning concepts,to:
• Present fairly and with full disclosure the financial position and results of the financial operations of
the Academy in conformity with generally accepted accounting principles (GAAP), and
• Determine and demonstrate compliance with finance related legal and contractual issues in
accordance with provisions of the Texas Local Government Code and other pertinent legal
documents and mandates.
The Academy Board of Trustees will annually review and approve the Fiscal and Budgetary Policy
Statements as part of the budget process.
II. SUMMARY OF POLICY INTENDED OUTCOMES
This policy framework mandates pursuit of the following fiscal objectives:
1. Operating Budget: Prepare conservatively, estimate revenues, present and adopt the Academy's
annual operating plan.
2. Revenues Management: Design, maintain and administer a revenue system that will assure a
reliable, equitable, diversified and sufficient revenue stream to support desired Academy services.
3. Expenditure Control: Identify priority services, establish appropriate service levels and administer
the expenditure of available resources necessary to assure fiscal stability and the effective and
efficient delivery of services.
4. Fund Balance: Maintain the fund balance of the various operating funds at levels sufficient to
protect the Academy's creditworthiness as well as its financial position from emergencies.
5. Intergovernmental Relationships: Coordinate efforts with other agencies to achieve common
policy objectives, share the cost of providing governmental services on an equitable basis and
support favorable legislation at the State and Federal level.
6. Grants: Seek, apply for and effectively administer Federal, State, and foundation grants-in-aid
which address the Academy's current priorities and policy objectives.
7. Fiscal Monitoring: Prepare and present regular reports that analyze, evaluate, and forecast the
Academy's financial performance and economic condition.
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FISCAL AND BUDGETARY POLICIES
8. Financial Consultants: With available resources, seek out and employ the assistance of qualified
financial advisors and consultants in the management and administration of the Academy's
financial functions.
9. Accounting,Auditing, and Financial Reporting: Comply with prevailing Federal, State and local
statues and regulations. Conform to generally accepted accounting principles as promulgated by
the Government Accounting Standards Board (GASB),the American Institute of Certified Public
Accountants (AICPA), and the Government Finance Officers Association (GFOA).
10. Internal Controls:To establish and maintain an internal control structure designed to provide
reasonable assurances that the Academy's assets are safeguarded and that the possibilities for
material errors in the Academy's financial records are minimized.
III. OPERATING BUDGET
1. Preparation—Budgeting is an essential element of the financial planning, control, and evaluation
process. The "operating budget" is the Academy's annual financial operating plan related to
educational service instructional costs.
The Academy operating budget is legally required to include the Academy's General, Debt Service,
and Food Service Funds. Currently,Westlake Academy only has one fund,the General Fund, which
must be legally adopted annually. The Academy budgets the Special Revenue Funds for
informational purposes only.
Information to be prepared includes documentation related to Service Level Adjustments (SLAs)for
increases to existing service levels or additional services, position control schedules, general and
administrative cost implications, etc.will be submitted and reviewed during the budget process.
SLA's related to new position requests will include an assessment of their impact on additional
internal services necessary to support these positions as it relates to General &Administrative
(G&A) charges in the Academy budget (subject to funding availability)to fund these costs. A
budget preparation calendar and timetable will be established and followed in accordance with
State law.
2. Revenue Estimates for Budgeting-To maintain a stable level of services,the Academy shall use a
conservative,objective,and analytical approach when preparing revenue estimates.The process shall
include analysis of probable economic changes and their impacts on revenues, number of students,and
trends in revenues. It will also include an assessment of the State legislative environment related to
public charter school funding levels. This approach should reduce the likelihood of actual revenues
falling short of budget estimates during the year and should avoid mid-year service reductions.
3. Balanced Budget—A balanced budget is a budget with total expenditures not exceeding total
revenues and monies available in the fund balance within an individual fund.
4. Proposed Budget Content and Process—A proposed budget shall be prepared by the
Superintendent or his designate with the participation of the Academy's Leadership Team, Finance
Director and Academy staff, and then submitted to the Superintendent for review. Following the
Superintendent's review,the proposed budget will be presented to the Board for its consideration.
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FISCAL AND BUDGETARY POLICIES
The proposed budget shall include five basic segments for review and evaluation:
• personnel costs,
• base budget for operations and maintenance costs,
• service level adjustments for increases of existing service levels or additional services,
• revenues, and
• General Administrative (G&A) costs.
The proposed budget review process shall include Board of Trustees review of each of the five
segments of the proposed budget and a public hearing to allow for citizen participation in the
budget preparation process. Concurrent with the Academy budget preparation,Town staff will
identify and provide to the Board all direct Academy expenses contained in the Town's municipal
budget. The proposed budget process shall allow sufficient time to provide review as well as
address policy and fiscal issues by the Board of Trustees. A copy of the proposed budget shall be
filed with the Town Secretary when it is submitted to the Board of Trustees as well as placed on the
Academy's website.
5. Budget Adoption- Upon the determination and presentation of the final iteration of the proposed
budget document as established by the Board of Trustees, a public hearing will be set and
publicized. The Board will subsequently consider a resolution which, if adopted, such budget
becomes the Academy's Annual Budget. The adopted budget will be effective for the fiscal year
beginning September 1.
6. Budget Amendments—The Superintendent or his designate and Finance Department will monitor
all financial operations. A school district must amend the official budget before exceeding a
functional expenditure category, i.e., instruction, administration, etc. in the total budget.The
budget team will decide whether to proceed with the budget amendment and, if so,will then
present the request to the Board of Trustees. If the Board decides a budget amendment is
necessary,the amendment is adopted in resolution format and the necessary budgetary changes
are then made.
7. Planning—The budget process will be coordinated to identify major policy issues for the Board of
Trustees by integrating it into the Board's overall strategic planning process for the Academy.
8. Reporting- Monthly financial reports will be prepared by the Finance Department and distributed
to the Superintendent or his designate. Information obtained from financial reports and other
operating reports is to be used by personnel to monitor and control the budget. Summary financial
reports will be presented to the Board quarterly.
IV. REVENUE MANAGEMENT
A. REVENUE DESIGN PARAMETERS. The Academy will strive for the following optimum characteristics
in its revenue system:
1. Simplicity-The Academy,where possible and without sacrificing accuracy, will strive to keep
the revenue system simple to reduce costs, achieve transparency, and increase parent and
citizen understanding of Academy revenue sources.
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FISCAL AND BUDGETARY POLICIES
2. Certainty-A thorough knowledge and understanding of revenue sources increases the
reliability of the revenue system.
3. Administration -The benefits of a revenue source will exceed the cost of administering that
revenue. Every effort will be made for the cost of administration to be reviewed annually for
cost effectiveness as a part of the indirect cost and cost of service analysis.
4. Equity-The Academy shall make every effort to maintain equity in its revenue system: i.e. the
Academy shall seek to minimize or eliminate all forms of subsidization between entities.
5. Adequacy, Diversification and Stability—To the extent practical,the Academy shall attempt to
achieve a balance in its revenue system. The Academy shall also strive to maintain a balanced
and diversified revenue system to protect the Academy from fluctuations in any one source due
to changes in local economic conditions which adversely impact that source.
B. REVENUE CLASSIFICATION AND SOURCES. The revenues received by Westlake Academy are classified
into one of three broad categories: Federal, State or Local and come from the following sources:
1. State Education Funding
2. State and Federal Grants
3. General Donations—The Academy recognizes that private donations comprise a significant
part of the Westlake Academy budget. All funds received will become part of the budget and
be subject to appropriation for Academy general operations.
• Westlake Academy Foundation
• House of Commons
• Westlake Academy Athletic Club
• Local Merchants
• Specific Purpose Donations—Funds donated for a specific purpose
C. REVENUE MONITORING. Revenues as they are received will be regularly compared to budgeted
revenues and variances will be investigated. This process will be summarized in the appropriate
budget report.
V. EXPENDITURE CONTROL
1. Appropriations—The point of budgetary control is at the function level in the General Fund and
Special Revenue Funds. When budget adjustments among functions are necessary,they must be
approved by the Board of Trustees.
2. Current Funding Basis-The Academy shall operate on a current funding basis. Expenditures shall
be budgeted and controlled so as not to exceed current revenues plus the planned use of fund
balance accumulated through prior year savings. (The use of fund balance shall be guided by the
Fund Balance/Retained Earnings Policy Statements.)
3. Avoidance of Operating Deficits-The Academy shall take immediate corrective actions if at any
time during the fiscal year expenditure and revenue re-estimates are such that an operating deficit
(i.e., projected expenditures more than projected revenues) is projected at year-end. Corrective
actions can include a hiring freeze, expenditure reductions, or use of fund balance within the Fund.
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FISCAL AND BUDGETARY POLICIES
Use of fund balance must be recommended by the Superintendent and approved by the Board of
Trustees.
• Expenditure deferrals into the following fiscal year, short-term loans, or use of one-time
revenue sources shall be avoided to balance the budget.
• All service level adjustments that result in increases to the operating budget must be aligned
with offsetting increases in operating revenues (FSP, Local Sources, etc.).
4. Periodic Program Reviews-The Superintendent or his designate shall undertake periodic staff and
third-party reviews of Academy programs for both efficiency and effectiveness. Where appropriate,
privatization and contracting with other governmental agencies will be evaluated as alternative
approaches to service delivery. Service delivery which is determined to be inefficient and/or
ineffective shall be reduced in scope or eliminated.
5. General and Administrative(G&A)Charges—To the extent practical, an annual analysis of G&A
charges will be performed and, if available, funding may be allocated at the Board's discretion. The
analysis shall involve an objective consideration of the service demands currently being met by
municipal staff to support Academy operations and a determination of factors that will continue to
affect and increase the time needed for the performance of these services.
For example, new Academy staff requires additional support staff time to perform tasks related to
insurance, payroll, etc. Where feasible, G&A costs will be charged to all funds for services of
indirect general overhead costs,which may include general administration, finance, facility use,
personnel,technology, engineering, legal counsel, and other costs as deemed appropriate.
If funding is not available,these costs will be shown below the line of the financial statement in the
five-year financial forecast to promote transparency and provide the Board with a full cost
accounting of services. The charges will be determined through an indirect cost allocation study
following accepted practices and procedures.
6. Purchasing-The Academy shall make every effort to maximize any discounts offered by
creditors/vendors. Staff shall also use purchasing cooperatives as well as competitive bidding in
accordance with State law to attain the best possible price on goods and services.
7. Prompt Payment-All invoices will be paid within 30 days of receipt in accordance with the prompt
payment requirements of State law.
8. Salary-The Academy shall strive to maintain competitive salary levels for faculty and staff. A salary
survey will be conducted annually, sampling surrounding Independent School Districts and Charter
Schools,to create a comparison. The Academy will strive to maintain salary levels within three
percent (3%) of the median of surveyed schools.
VI. FUND BALANCE
1. Fund Balance Reporting-The District shall report governmental fund balances per GASB 54
definitions in the balance sheet as follows: Non-spendable, Restricted, Committed,Assigned, and
Unassigned.
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FISCAL AND BUDGETARY POLICIES
2. General Fund Unassigned Fund Balance(General Fund Reserve)-The Academy shall strive to
maintain the General Fund unassigned fund balance at 45 days of operation.
3. Use of Fund Balance-Fund Balance will be targeted to only be used with Board approval and can
be only be used for the following: emergencies, non-recurring expenditures, such as
technology/FF&E (furniture,fixtures and equipment), or major capital purchases that cannot be
accommodated through current year savings. Should such use reduce the balance below the
appropriate level set as the objective for that fund, recommendations will be made on how to
restore it.
4. The Board of Trustees shall approve all commitments by formal action. The action to commit funds
must occur prior to fiscal year-end,to report such commitments in the balance sheet of the
respective period, even though the amount may be determined after fiscal year-end. A
commitment can only be modified or removed by the same formal action.The Board of Trustees
delegates the responsibility to assign funds to the Superintendent or his/her designee. The Board
of Trustees shall have the authority to assign any number of funds. Assignments may occur after
fiscal year-end.
5. The Board of Trustees will utilize funds in the following spending order: Restricted, Committed,
Assigned, and Unassigned.
VII. INTERGOVERNMENTAL RELATIONSHIPS
1. Inter-local Cooperation in Delivering Services-To promote the effective and efficient delivery of
services,the Academy shall actively seek to work with other local entities in joint purchasing
consortium, sharing facilities, sharing equitably the costs of service delivery, and developing joint
programs to improve service to its students.
2. Legislative Program-The Academy shall cooperate with other entities to actively oppose any state
or federal regulation or proposal that mandates additional Academy programs or services and does
not provide the funding to implement them. Conversely, as appropriate, the Academy shall support
legislative initiatives that provide additional funding.
VIII. GRANTS
1. Grant Guidelines-The Academy shall apply, and facilitate the application by others, for only those
grants that are consistent with the objectives and high priority needs previously identified by
Academy Board of Trustees.The potential for incurring ongoing costs,to include the assumption of
support for grant funded positions from local revenues, will be considered prior to applying for a
gra nt.
2. Grant Review-All grant submittals shall be reviewed for their cash match requirements,their
potential impact on the operating budget, and the extent to which they meet the Academy's policy
objectives. If there are cash match requirements, the source of funding shall be identified prior to
application. Staff will focus on one-time grants to avoid long-term implications related to
additional expenditures in future years.
79
FISCAL AND BUDGETARY POLICIES
3. Grant Program Termination -The Academy shall terminate grant funded programs and associated
positions when grant funds are no longer available unless alternate funding is identified and
obtained.
IX. FISCAL MONITORING
1. Financial Status and Performance Reports-Quarterly reports comparing expenditures and
revenues to current budget, noting the status of fund balances to include dollar amounts and
percentages, and outlining any remedial actions necessary to maintain the Academy's financial
position shall be prepared for review by the Superintendent and the Board of Trustees. Student
roster information will also be included in the quarter reports submitted to the Board of Trustees.
2. Compliance with Board Policy Statements-The Fiscal and Budgetary Policies will be reviewed
annually by the Board of Trustees and updated, revised or refined as deemed necessary. Policy
statements adopted by the Board of Trustees are guidelines, and occasionally, exceptions may be
appropriate and required. However, exceptions to stated policies will be specifically identified, and
the need for the exception will be documented and fully explained.
X. FINANCIAL CONSULTANTS
The Academy employs the assistance of qualified financial advisors and consultants as needed in
the management and administration of the Academy's financial functions.These areas include but
are not limited to investments, debt administration, financial accounting systems, program
evaluation, and financial impact modeling.Advisors shall be selected on a competitive basis using
objective questionnaires and requests for proposals based on the scope of the work to be
performed.
XI. ACCOUNTING, AUDITING, AND FINANCIAL REPORTING
1. The Academy strives to comply with prevailing local, state, and federal regulations relative to
accounting, auditing, and financial reporting. Accounting practices and financial reporting shall
conform to generally accepted accounting principles as promulgated by the Governmental
Accounting Standards Board (GASB),the American Institute of Certified Public Accountants,
(AICPA), and the Government Finance Officers Association (GFOA).The Board shall select an
independent firm of certified public accountants to perform an annual audit of all operations.
Required Texas Education Agency (TEA) account coding will be used for all revenue and expenditure
reporting.
2. Accounting-Currently, the Education Service Center(Region 11) books all revenues and
expenditures, and prepares bank reconciliations. Academy staff is responsible for all coding and
approval of expenditures and revenues. Documentation and coding of deposits are forwarded to
the Town's Finance Department for review and preparation of deposit slips. Town's Finance
Director and staff are responsible for review and transfer of invoices and other documentation to
the Service Center for processing as well as the physical deposit of funds. It is the responsibility of
the Superintendent or his designate and Academy staff to review the monthly reports for any
discrepancies and report to the Town's Finance Director for analysis and re-class of questioned
bookings, if appropriate.
so
FISCAL AND BUDGETARY POLICIES
3. External Auditing-Academy will be audited annually by outside independent accountants
(auditors). The auditors must be a CPA firm and must demonstrate significant experience in the
field of local government auditing. They must conduct the Academy's audit in accordance with
generally accepted auditing standards. The auditors' report on Academy's financial statements will
be completed within a timely period of the Academy's fiscal year-end.
The auditor will jointly review the management letter with the Academy Board of Trustees, if
necessary. In conjunction with this review,the Finance Director shall respond in writing to the
Academy Board of Trustees regarding the auditor's Management Letter, addressing the issued
contained therein. The Academy will not require auditor rotation, but will circulate request for
proposal for audit services on a periodic basis as deemed appropriate.
4. Responsibility of Auditor to Academy Board of Trustees-The auditor is retained by and is
accountable directly to the Academy Board of Trustees and will have access to direct
communication with the Academy Board of Trustees if the Academy Staff is unresponsive to auditor
recommendations or if the auditor considers such communication necessary to fulfill its legal and
professional responsibilities.
5. Internal Financial Reporting-The Finance Department will prepare internal financial reports
sufficient for management to plan, monitor, and control Academy's financial affairs.
XII. INTERNAL CONTROLS
1. Written Procedures-Whenever possible,written procedures will be established and maintained by
the Finance Director and utilized by all Academy personnel for all functions involving purchasing,
cash handling and/or accounting throughout the Academy. These procedures will embrace the
general concepts of fiscal responsibility set forth in this policy statement.
2. Academy Staff Responsibilities-The Superintendent or his designate, in consultation with the
Finance Director,will be responsible for ensuring that appropriate internal controls are followed
throughout the Academy,that all directives or internal controls are implemented, and that all
independent auditor internal control recommendations are addressed. Staff will develop and
periodically update written internal control procedures.
XIII. ASSET MANAGEMENT
1. Investments—The Finance Director shall promptly invest all Academy funds with the depository
bank in accordance with the provisions of the current Bank Depository Agreement or in any
negotiable instrument authorized by the Academy Board of Trustees. The Academy Board of
Trustees has formally approved a separate Investment Policy for Westlake Academy that meets the
requirements of the Public Funds Investment Act (PFIA), Section 2256 of the Texas Local
Government Code. The Academy's investment practices will be conducted in accordance with this
policy.The Finance Director will issue quarterly reports on investment activity to the Academy
Board of Trustees.
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FISCAL AND BUDGETARY POLICIES
2. Cash Management-Academy's cash flow will be managed to maximize the cash available to invest.
Such cash management will entail the centralization of cash collections,where feasible, including
field trips, and other collection offices as appropriate. Periodic review of cash flow position will be
performed to determine performance of cash management and conformance to investment
policies. The underlying theme will be that idle cash will be invested with the intent to (1)
safeguard assets, (2) maintain liquidity, and (3) maximize return.
3. Capital Assets and Inventory-Such assets will be reasonably safeguarded, properly accounted for
and prudently insured. The capital assets inventory will be updated regularly.
4. Capital Assets—Currently all capital assets of Westlake Academy are owned and purchased by the
Town of Westlake. In subsequent years, additional asset purchases may be paid with Westlake
Academy funds.
5. Capitalization Criteria—For purposes of budgeting and accounting classification,the following
criteria must be capitalized:
■ The asset is owned by Westlake Academy
■ The expected useful life of the asset must be longer than one year, or extend the life
on an identifiable existing asset by more than one year
■ The original cost of the asset must be at least$5,000
■ The asset must be tangible
■ On-going repairs and general maintenance are not capitalized
■ New Purchases—All costs associated with bringing the asset into working order will be
capitalized as a part of the asset cost. This includes startup costs, engineering or
consultant type fees as part of the asset cost once the decision or commitment to
purchase the asset is made. The cost of land acquired should include all related costs
associated with its purchase
■ Improvements and Replacement— Improvement will be capitalized when they extend
the original life of an asset or when they make the asset more valuable than it was
originally. The replacement of assets components will normally be expensed unless
they are a significant nature and meet all the capitalization criteria.
6. Computer System/Data Security—The Academy shall provide security of its computer/network
system and data files through physical and logical security systems that will include, but are not
limited to: network user authentications, firewalls, content filtering, spam/virus protection, and
redundant data backup.
s2
Westlake Building Quality Manual
Standards and Guidelines for quality and endurance in the Design and
Construction of Westlake's Built Fabric
JOHNRUSKIN: When we build, let us think we build forever. Let
it not be for present delight nor for present use alone. Let it be
such work as our descendants will thank us for; and let us think, as
we lay stone on stone, that a time is to come when those stones will
be held sacred because our hands have touched them, and that
men will say, as they look upon the labor and see the wrought
substance of them, "SEE THIS OUR FATHER DID FOR US. "
MESA-Planning
February 26, 2018
Res 18-08 Page 1 of 58
INTRODUCTION
This manual is intended to provide measurable benchmarks that clearly present the Town of Westlake's
expectations for the design, materials, and workmanship of both residential and non-residential
construction.This Building Quality Manual is a guide only and is separate from applicable Building
Codes,that address matters more directly related to life safety and is also separate from other existing
building and development ordinances of the Town.Therefore,this manual is meant to supplement
these other building and development codes and clearly present the Town's goals in regard to building
quality.
Building Quality is defined to mean the integrity of design as well as the endurance of what is
constructed and the expression of those visual qualities of construction that are consistent with an
attractive community.Therefore, these standards describe a minimum quality of construction sought by
the Town. However,these standards are not meant to limit, in any way,a contractor's employment of
higher quality standards or an architect's creativity and ingenuity in design. More specifically,the goals
for this Building Quality Manual are to:
• Maintain the quality and continuity of the visual environment of the Town, protect the general
welfare, and ensure that the Town's appearance, character, and economic well- being are
preserved through minimum design and building quality standards.
• Encourage creativity, imagination, innovation,variety in architectural design and building
composition by challenging the design component of any project to greater compositional
intent.
• Preserve the unique heritage, history, and architectural character that evolves over time and
reflects the aggregate identity of Westlake within the highway 114 corridor.
• Reinforce and support the integration of design and development with the natural systems of
Westlake's environment as well as with the pedestrian and vehicular movement of its citizens.
• Promote harmony in the physical relationship between the otherwise autonomous projects that
constitute the built fabric of the Town.
Thus,this is a continually evolving document and may be expanded and/or amended as new issues are
realized and deliberated.
This document is divided into 5 sections as described below which collectively address matters from
design to construction. The sections are:
Section 1: Principals of Design
This Section addresses the general approach to architectural composition and internalization of natural
relationships and character.
Section 2: Principals of Development Planning
This Section addresses the internalization of natural systems and recognition of natural features as well
as accommodation of pedestrian movement, connection with the "Town", and the mitigation of building
service intrusions.
Res 18-08 Page 2 of 58
Section 3: Residential Construction Quality Standards
This Section addresses building materials,techniques, and workmanship related to residential
construction.
Section 4: Non-residential Construction Quality Standards
This Section addresses building materials,techniques, and workmanship related to non-residential
construction.
Section 5: Landscaping
This Section address basic aspects of landscape that moves landscaping toward more naturalistic forms
and more indigenous plan materials and away from ornamentation generally.
Res 18-08 Page 3 of 58
SECTION 1: PRINCIPALS OF DESIGN
This section sets forth the desired considerations that the Town would like to be taken into account
during the design process and expresses the desired outcome of that process.The standards below
address the scope of consideration as well as the object of consideration in the approach to building
design. The purpose is to promote a compositional integrity, continuity with the Town identity,and
integration of nature/ natural systems and/or features. More specifically,these standards are:
Standard 1:Visual continuity with the Town
• The design of any structure within Westlake should further define the context in which the
structure in conjunction with other associated structures, will reside,to establish key attributes
of that context (which are characteristic of its appearance), and the manner in which the design
being formulated will work to perpetuate or compliment those attributes. When the structure is
a single-family residential structure style repetition in close proximity is discouraged. However,
other attributes of continuity(such as massing, complexity, and proportion) are to be
considered.
General cantinuity of the context
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• The design of any structure within Westlake will maintain a relation to the public areas as
established by other development of the Town context as well as maintain, as a minimum,the
level of ground plane enrichment and amenity as is characteristic of the context.Such design
should consider continuation of the ground plane enrichment/amenity as a means of
overcoming project segmentation of the Town fabric.
Standard 2: Integrity of Holistic Composition
• The exterior design of any structure in Westlake should, in its totality, comprise an overall
visual pattern that expresses an intentional relationship between the elements of form.
• The elements of form that comprise a building design should derive from a common
justification (e.g.function or proportion)that transcends ornamentation.
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Res 18-08 Page 4 of 58
Standard 3:Tension, Balance,Symmetry, and other Compositional Relationships
• The visual pattern associated with the design of any structure in Westlake should allow the
imposition of a compositional structure that lays across the design and touches its key elements
of expression.This structure includes but is not limited to:
o Regulating lines that organize the elements of the elevation in space.These connections
in composition communicate the relationship of form elements intended by the
architect. See Diagram 3 and 4 below.
o Proportioning systems that establish an order of relationship. Proportion is the
relationship between 2 ratios (window height to width in relation to building height to
width). Proportion is often derived from natural relationships.
o Hierarchies that place elements in their ascending or descending relationship expressed
from dominant to subordinate.
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Res 18-08 Page 5 of 58
Standard 5:Articulation of Closure Details
• Closure details (at openings, corners, roof/wall junctures, and horizontal offsets) are areas
where design solutions contribute to the detailed appearance of an elevation. Therefore,the
design of buildings in Westlake should consider closure details as an opportunity for crafted
articulation.
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Standard 6: Fa�ade Integrity
• The Town of Westlake seeks to promote architecture that expresses a relationship between plan
and elevation. Therefore, design approaches which seek to decorate a space plan derived
independent of the design in elevation is discouraged.A proper relationship of plan to elevation
requires that internal functions influence and inform the form of the mass and articulation of
that form in design. Where the style portrayed is characterized by aspects of form,that form
should influence the internal arrangement of space.
Standard 7: Holistic visual treatment of structure
• The Town of Westlake seeks to eliminate the architectural phenomenon common to most
suburban developments,wherein the street facing fa�ade is recipient of the full investment in
style articulation and the other facades are given much lesser treatment. The Town of Westlake
discourages such "fa�ade-ism" and promotes consistent treatment of style on all elevations of a
structure.This is referred to a "4-sided architecture".
Standard 8: Integration and Expression of the Indigenous Landscape
• Westlake is characterized by its complex and varied landscape.Therefore, the design of any
building in Westlake should make every effort to accommodate the character, profile, and
natural mosaic of the indigenous landscape. Such design will avoid massive grading and seek to
accommodate grade change within the architectural skin of the structure,thereby establishing a
stronger relationship between the building and the ground upon which it sits.
• Where possible,the building design should accommodate and preserve natural drainage patterns.
• Where reasonable,the building design should avoid retainage structures set apart from the
architectural envelope or set apart from the extensions thereof(e.g. terraces)The intent is to
6
Res 18-08 Page 6 of 58
avoid excessive physical expression of"land development" and/or the preparation of"lot pads"
independent of the architecture.
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Standard 7: Protection of Unique Landforms and Plant Communities
• The Town of Westlake is distinguished by its land promontories (landmark landforms)that sit at
the break between Westlake's upland and lowland areas. In addition,the complex ground
configuration has nurtured distinctive and mature Post Oak, Live Oak, and other protected tree
species that thrive in dense plant communities.Therefore,the design of any building in
Westlake permitted to build in close association with its landmark landforms should recognize
this visual association in the character of design,the form of design, and the relationship of the
structure to the landform itself. Key considerations include:
o Derived elements of form:The form of the design and the form of the land bear
similarities.
o Transparency:The skin of the building seeks to dissipate so as not to be more
conspicuous than the land form
o Subordination:Attempt to avoid disruption of the profile of the landform
• The design of any building in Westlake permitted to build in close association with distinctive
plant communities should recognize the associations with indigenous plant communities and
potential for encroachment in the character of design,form of design, and relationship of
structure to the plant community itself. Key considerations include:
7
Res 18-08 Page 7 of 58
o Tree Protection: Protected trees within 30 feet of the construction area should be
protected with proper barriers and avoidance of compacting root environments.
o Tree Preservation:To the extent reasonable,the configuration of the design should
seek to avoid the destruction of protected indigenous trees of the plant community.
o Tree Mitigation:Where protected, indigenous trees of the plant community are
destroyed,they should be replaced as set out in the Tree Ordinance. Mitigation
should be within the plant community or a place designated by the Town asset out
in the Tree Ordinance.
o Low Impaction construction techniques:To the extent possible,the construction
techniques employed to build within a plant community should be those that have
the least impact upon the environmental conditions supporting that plant
community.
o Preservation of natural systems serving the plant community: Developers and
Owners are encouraged to preserve the plant community.
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Res 18-08 Page 8 of 58
SECTION 2: Principals of Development Planning
This section sets forth the desired considerations that should be taken into account when planning a
development project in Westlake or siting a building on a lot.These considerations are intended to
strengthen the association between the development and the fabric of the Town,the mosaic of natural
systems/plant communities/land form, and the vision of the Town's 2015 Comprehensive Plan. Each
development project regulated with consideration of its individual land area and site specific standards
is, by virtue of the standards contained herein, called to consider the development's place within, and
impact upon,the larger Town fabric.
Standard 2.1: Relationship to and connection with the Township fabric
Any PD Concept Plan, PD Development Plan, PD Site Plan, or Site Plan (hereinafter Development Plan) in
Westlake that is required by any existing ordinance of the Town should (to the extent that the scope of
the plan addresses this issue) portray the extent to which the following elements of the Town fabric are
continued, or otherwise responded to, within the proposed Development Plan:
• Roadways and drives:As Westlake builds-out the large amount of non-residential square footage,
it becomes increasingly
essential to facilitate traffic
��� " flow. Therefore,where
p �rc�l A possible a Development
' � � Plan should seek to connect
� , with, and extend flow
� � between, projects;thereby
�' �� � � � n ; providing route options for
� �—� '� traffic flow. It is important
that a development Plan
� � � does not interrupt flow by
� � failing to make extensions
� anticipated by an adjacent
-- •��� project and where that
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adjacent project TIA. Therefore, coordination of routing anticipated by an individual TIA is a desired
consideration of a Development Plan under consideration by the Town.
• Thoroughfares:The Town Comprehensive Plan (discussed below) identifies three levels of roadway
hierarchy.To the extent possible, a Development Plan that lays within the path of a Thoroughfare as
planned and committed to by adjacent development or the alignment of which has been adjusted
by an act of Council, should make provision for the extension of the ROW of such Thoroughfare so
that the ROW is available for such Thoroughfare when required development TIA's substantiate the
Thoroughfare necessity.
9
Res 18-08 Page 9 of 58
• Trails: Where provision has been made for trails within an adjacent development or a trail provided
by the Town is ready for extension,the Development Plan should consider appropriate trail routing
through the proposed development so that a cohesive trail network can evolve over time.
• Open Spaces: Where an adjacent development provides open space that abuts the property line of
the Development Plan,or the open space of an adjacent development can be feasibly extended into
the Development Plan under consideration; the Development Plan should consider the extension or
expansion of the open space or consider how development portrayed by the Development Plan can
relate to (and further define)the open space.
• Contextual characteristic:Any Development Plan formulated for a property located in a context of
e x i s t i n g development should consider how various aspects of the context will also be
manifest in the Development Plan. Key aspects of context can include:
o Building to Street/ roadway relationships
o Streetscape themes
o Connection of open space �uT pF
o Continuity of water or water body ,��, �a�TF�-
o Extension of plan drifts �� �� co���
and/or patterns �� i ;
o Continuity of road section i �� �
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o Treatment of parking � i �n r_,
o Compatibility of adjacent land use , i �:�,<, �
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• Transitional relationships:Where a Development Plan shows development on a property located
between land use zones where land
� use adjacency is an issue,the
���u�l�� f��d�,� r��;;on Development Plan should consider
o �
�' i �'`�^����fa�s�� proper transitional treatments as
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� �A Q°�`�. � o e\p m Proper transitional treatments
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o Lessening or increasing density
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Res 18-08 Page 10 of 58
o Lessening or increasing land use (moving land use at the transition in the direction of the
adjacent use)
o Creating activity spaces that are appropriate to both uses
Standard 2.2: Implementation of the Comprehensive Plan
Any PD Concept Plan, PD Development Plan, PD Site Plan, or Site Plan (hereinafter Development Plan) in
Westlake that is required by any existing ordinance of the Town should (to the extent that the scope of
the plan addresses this issue) portray the extent to which the following elements of the Town
Comprehensive Plan are implemented,or otherwise responded to,within the proposed Development
Plan:
• Traffic Management:The Comprehensive Plan establishes threshold Levels of Service (LOS)for
streets and intersections serving a Development Plan. Therefore, each Development Plan should
demonstrate traffic management options that the plan will employ to minimize impact on the
Thoroughfare System serving the Development Plan and thereby preserve as much of the LOS
capacity as reasonably possible. Traffic management options to be considered include but are not
limited to:
o Multiple"trip assignment options"
o Interconnection of development flows between projects
o Distribution of parking
o Intersection improvements(dedicated turn, acceleration, de-acceleration lanes, and
access management)
• Land Use Character District features:The Forging Westlake 2015 Comprehensive Plan identifies 8
Land Use Character Districts which are spread across the land area of Westlake, engaging all lots,
parcels, and/or tracts therein. Each land Use Character District has an associated identity derived
from the intensity of development,the pattern of development,the relation of development to
street,the coverage of development, and the form of development. Therefore, each Development
Plan submitted to the Town for consideration should address the extent to which various aspects
of the Comprehensive Plan Character Districts are considered by the Plan.
• Parks and Open Space:The Forging Westlake 2015 Comprehensive Plan identifies parks and open
spaces necessary to serve the recreational needs of the Town population, provides transition from
the residential to non-residential components of the Town, protects the views that characterize the
Westlake landscape, preserves landmark landforms and other natural features/systems, and
preserves historically significant open space contexts. Therefore, each Development Plan submitted
for Town consideration should consider the relationship of the Development Plan location relative
to the features of the Town Parks and Open Space Plan and the extent to which any aspect of the
plan that is coterminous with the Development Plan is addressed by that Development Plan. Key
aspects of consideration include:
o Implementation of the Parks and Open Space Plan
o Compatibility with the Parks and Open Space Plan
o Extension of the Parks and Open Space Plan
11
Res 18-08 Page 11 of 58
o Natural preservation initiatives consistent with the intent of the Parks and Open Space Plan
• Thoroughfares:The Forging Westlake 2015 Comprehensive Plan identifies three thoroughfare types
that comprise the Thoroughfare System of Westlake. These thoroughfare types are:
o Regional Arterial Roadways: Arterials that make connection between the Regional System
serving Westlake from surrounding communities and the Town System of Westlake.
o The Town Arterial System: Arterials that circumscribe the core areas of the Town and those
land Use Character Districts that are scaled to serve as a Town core.
o The Pastoral Collector System:The Collector Roadways that carry primarily residential
traffic from residential communities and neighborhoods to the Town arterial System.
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Each Development Plan submitted for consideration in Westlake should demonstrate the extent to
which the Town's Thoroughfare Plan is being addressed within the plan design. Key aspects of
consideration include:
o Implementation of the Thoroughfare Plan through the extension of or provision of
Thoroughfare System roadways as portrayed in the Plan or Council authorized adjustments
thereto.
o Compatibility with the Thoroughfare Plan
o Extension of the Thoroughfare plan
o Setting up development in anticipation of the Thoroughfare plan
• Urban Design Structured:The Forging Westlake 2015 Comprehensive Plan identifies an Urban
Design Structure for Westlake that establishes a thematic treatment of:
o Thoroughfare Types
o Intersection Types
o Portals
o Landmarks
o Trail Types and Trail intersections/Trail heads
12
Res 18-08 Page 12 of 58
o Focal spaces.
Each Development Plan submitted for consideration in Westlake should demonstrate the extent to
which the Town's Urban Design Structure Plan is being addressed within the plan design. Key
aspects of consideration include:
o Implementation of the Urban Design Structure by extending the thematic elements of the
C o m p r e h e n s i v e plan into the development plan.
o Compatibility with the Urban Design Structure by maintaining a compatibility with its visual
palette and avoiding the creation of differing thematic directions that would dissipate the
visual cohesion of the Town.
o Extension of the Urban Design Structure Plan in creative ways
o Setting up development in anticipation of its connection with the themes and aspects of the
Urban Design Plan.
• Trail Plan:The Forging Westlake 2015 Comprehensive Plan identifies trail types that collectively
comprise a coherent trail system for the Town. Each Development Plan submitted for
consideration in Westlake should demonstrate the extent to which the Town's Trail Plan is being
addressed within the plan design. Key aspects of consideration include:
o Implementation of the Trail Plan by extending the components of the trail plan into the
development and completing the pedestrian connections that the Trail plan seeks to
make.
o Compatibility with the Trail Plan by maintaining a compatibility with its connectivity intent
and completing connections set up by adjacent properties or public ROW.
o Extension of the Trail Plan in creative ways
o Setting up development in anticipation of its connection with the connecting pedestrian
system afforded by the Trail Plan.
Standard 2.3: Natural fabric preservation
Any PD Concept Plan, PD Development Plan, PD Site Plan, or Site Plan (hereinafter Development Plan) in
Westlake that is required by any existing ordinance of the Town should (to the extent that the scope of
the plan addresses this issue) try to preserve the following:
• Significant plant communities or mitigate the loss of such communities as follows:
• Significant Plant Communities include:
o Oak Motts containing at least 10 Post Oak or Live Oak Trees with a caliper larger
than 8 in. as measured 12 in. above the ground.
o Any Live Oak or Post Oak with a caliper larger than 15 in. as measured 12 in. above
the ground.
13
Res 18-08 Page 13 of 58
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• Mitigation may include:
o Caliper replacement by planting replacement trees contiguous with the remaining
portions of the vegetative community being disturbed at a rate of 1 in caliper for
each 1 in. caliper(caliper replacement rate) being disturbed. Replacement trees
(planted at the above specified caliper replacement rate) may be planted at other
locations on-site or off-site) determined by the Town as appropriate for mitigation
o Cash in lieu of replacement paid to the Town in accordance with the Tree
Ordinance.
Standard 2.4: Natural fabric restoration
Any PD Concept Plan, PD Development Plan, PD Site Plan, or Site Plan (hereinafter Development Plan) in
Westlake that is required by any existing ordinance of the Town should (to the extent that the scope of
the plan addresses this issue) make effort to restore natural features, natural systems, natural pattern,
and/or natural mosaic lost to, augmented by,or disturbed by previous use of the land.The
14
Res 18-08 Page 14 of 58
Development plan should consider the natural fabric, identify loss or degradation of the natural fabric
incurred by a previous use and consider proposing restorative measures and/or designs which can
restore such systems or their function.
Standard 2.5: Pedestrian linkage
Any PD Concept Plan, PD Development Plan, PD Site Plan, or Site Plan (hereinafter Development Plan) in
Westlake that is required by any existing ordinance of the Town should (to the extent that the scope of
the plan addresses this issue) consider pedestrian movement adjacent to, interfacing with, or
emanating from the subject lot, parcel, or tract (hereinafter the subject property) and provide design
initiatives that will:
• Complete pedestrian pathways coming to the subject property that can be completed within or
across the subject property.
• Provide connection from points of pedestrian origin within the subject to pedestrian facilities
and trails serving the subject property.
• Anticipate the emergence of pedestrian pathways that can be extended by future development
in close proximity to the subject property and provide the opportunity for such pathway.
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15
Res 18-08 Page 15 of 58
Standard 2.6: Land Use adjacencies
Any PD Concept Plan, PD Development Plan, PD Site Plan, or Site Plan (hereinafter Development Plan) in
Westlake that is required by any existing ordinance of the Town should (to the extent that the scope of
the plan addresses this issue) consider the land use adjacencies affected by development within the
subject lot, parcel, or tract (hereinafter the subject property) and provide design initiatives that will:
• Accomplish transition:The Development Plan should demonstrate how transition from a
dissimilar and potential conflicting land to an affected land use is made. Such transitions should
consider:
o Height transition: Movement from higher to lesser height by a gradation of height in
closer relationship to the affected land use. If height to setback ratios apply to this
Development Plan, such ratios shall take precedence over this standard.
o Mass Transition: Reduction of undifferentiated building mass in closer relationship to
the affected land use.
o Intensity Transition: Reduction in density in closer relationship to the affected use.
o Activity transition: Reduction of activity intensity in closer relationship to the affected
use or the creation of activities that can accommodate both uses.
o Creation of ineaningful buffers:The provision of open space, preservation of natural
fabric, and/or the creation of water bodies that can adjoin adjacent uses. Where
existing PD regulations require buffers and setbacks such PD regulations shall take
precedence over this standard.
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• Mitigate encroachments:The development plan should demonstrate measures taken to
mitigate encroachments of a subject use on an affected use. Encroachments include:
16
Res 18-08 Page 16 of 58
o Noise
o Light
o Traffic
Standard 2.7: Utilities and their integration with the design concept Any PD Concept Plan, PD
Development Plan, PD Site Plan, or Site Plan (hereinafter Development Plan) in Westlake that is required
by any existing ordinance of the Town should (to the extent that the scope of the plan addresses this
issue) consider utilities and utility services within the subject lot, parcel, or tract(hereinafter the subject
property) and provide design initiatives that will:
• Conceal:Transmission lines and transmission ROW's should be concealed from view and
recognition apart from the overall site design.
� Screen:Transmission facilities should be screened when such facilities are visible from the
street or public way. Landscape screens which make use of native plant material and
integrate with the indigenous mosaic area preferred.
• Internalize:To the extent possible transmission lines and facilities should be internalized to
the architecture intended for the site, lot, parcel, or tract.
Standard 2.8: Preservation of natural drainage Any PD Concept Plan, PD Development Plan, PD Site
Plan, or Site Plan (hereinafter Development Plan) in Westlake that is required by any existing ordinance
of the Town should (to the extent that the scope of the plan addresses this issue) consider natural
drainage within the subject lot, parcel, or tract(hereinafter the subject property) and provide design
initiatives that will preserve, restore, replicate natural drainage patterns where reasonably possible.
Standard 2.9:Storm water management facilities
Any PD Concept Plan, PD Development Plan, PD Site Plan, or Site Plan (hereinafter Development Plan) in
Westlake that is required by any existing ordinance of the Town should (to the extent that the scope of
the plan addresses this issue) consider Storm Water Management Facilities required to serve
development within the subject lot, parcel,or tract(hereinafter the subject property) and provide
design initiatives that will:
• Minimize structured means of water management: Use of structured stormwater facilities
should be minimized. These include but are not limited to: use of cross drainage structures,
armored channels, concrete flow ways, and other such structured solutions to storm water
management. Exceptions may include structures utilized for the purpose of creating a
pedestrian/urban activity at the water edge.
• Maintain natural land shapes and forms in the creation of detention/retention facilities and
created drainage ways(hereinafter flow management facilities): Water collection points and/or
17
Res 18-08 Page 17 of 58
pools created by nature have shapes that are clearly organic. Therefore, avoid straight lines,
hard angles, and regular geometric shapes in the creation of flow management facilities.
• Restore and extend the natural fabric:Where storm water management design creates
conditions conducive to the support of plant communities of vegetative types, measures should
be made to expand the natural fabric by expanding such vegetative communities.
• Respect natural systems that flourish within natural systems: Proper design of flow
management facilities will include diverse ecological settings such as deeper water, shallow
water, ephemeral flows, and greater hydration that can support natural systems associated with
these conditions. Therefore,where such ecological settings are created,the attendant natural
systems associated with that condition should also be created.
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Res 18-08 Page 18 of 58
Section 3: Residential Construction Quality Standards
This section sets forth the desired standards that should be implemented when designing a residential
structure in Westlake.These standards are intended to:
• Establish uniformity in the enduring quality of Westlake's residential building stock;
• Preserve the general character of Westlake's residential fabric;
• Promote a consistent attention to detail;
• Yield a distinctive visual character wherein the particular dimensionality, relief, and/or visual
texture that results from quality construction methods is apparent.
The design of each residential structure in Westlake should demonstrate conformance to the standards
specified below prior to receipt of a building permit. The building official should determine if the
standard has been met or the principal intent of the standard has been satisfied in a more creative
construction approach. More specifically the standards applicable to residential construction are:
Standard 3.1:Site-work
a. General: Site-work includes all aspects of site preparation that are related to the
creation of a building site within platted a lot, parcel or tract of land. It is the intent of
these standards to create a greater interrelationship between building and site
conditions, preserve natural features, preserve indigenous vegetation, and (to the
extent reasonable) avoid the street road relationships commonly associated with
suburban development patterns.
b. Condition during construction: Every lot, parcel, or tract which is the site of a residential
construction should maintain the site in the following condition from the start of site-
work to the completion of building construction thereon:
i. Containment of all construction debris in the side yard space so that the ground
plane is clean of all visible debris
ii. Removal of all excavated material within 30 days of the excavation work unless
the excavated material is being stockpiled for reuse on the subject site. In
which case, excavated material should be stored in a location generally out of
the public view and toward the rear of the lot, parcel, or tract. If the building
plate configuration prohibits location of such storage at the rear of the lot,the
building official should consider a proposed alternate location for approval.
iii. Removal of all plant material and biomass within 2 days from any grubbing,tree
removal,tree pruning, shredding, and/or other trimming activity.
iv. Protection of all curbs where ingress or egress movement from a lot, parcel, or
tracts takes place.
v. No more than 1 temporary builder or sale sign
vi. Display of building permit at a front yard location,within 10 ft. of the street
ROW and mounted to a weather protected board or frame supported by a
central stake,standing 40 inches high.
19
Res 18-08 Page 19 of 58
vii. Location of any temporary sanitary facility at the rear of the lot and sited so it is
plumb and free from any standing water potential. All temporary sanitary
facilities should be located on cleared and level ground. If the building plate
configuration prohibits location of such storage at the rear of the lot,the
building official should consider a proposed alternate location for approval.
viii. The building contractor should keep a set of permitted construction plans on-
site so they may be viewed by a Town official when deemed necessary by that
Town official. The on-site construction set should also show any change orders
or"as built" conditions which are different than the permitted drawing show.
c. Drainage:All drainage swales and/or drainage ways should be created so as to create
natural looking ground conditions.Therefore, artificial appearing side slopes,visible flow
lines that are overly angular or straight, retention/detention facilities that are
square/angular/or any regular geometric shape should be avoided.
d. Tree protection:All trees remaining on a lot, parcel, or tract and exposed to the building
activity or within 30 feet of the building site (hereinafter regulated trees) should be
protected as follows:
i. Tree fencing: Regulated/protected tree trunks should be protected with a visible
"tree fence" at least 48 in.tall and protecting the tree and ground around the
tree to a minimum 8 ft. distance from the trunk of the tree or the drip line,
whichever is greater.
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Res 18-08 Page 20 of 58
ii. Tree marking: All Regulated/protected Trees should be marked with a sign
stating"Protected Tree".
iii. Ground compaction avoidance: Measures should be taken to minimize
ground compaction within the dripline of Regulated Trees as follows:
1. Prohibiting parking under the drip line of a Regulated Tree
2. Routing construction and equipment traffic so as to avoid the drip line
of a Regulated Tree
3. Prohibiting the storage of any material, equipment, debris, or excavated
material within the drip of any Regulated Tree
4. Avoiding,where possible, any grading within the drip line of a Regulated
Tree. Grading within the ground protected by a Tree Fence is
discouraged.
iv. Maintenance of normal hydration: Measures should be taken to maintain
normal hydration for any Regulated Tree by:
1. Preventing the accumulation of storm water runoff within the ground
plane area of any Tree Fence.
2. Avoiding increased levels of hydration from temporary irrigation
system.
3. Restoring hydration where the source of hydration has been disrupted
by the construction activity.
e. Preserve Tree Communities: Where a residential development plan or design should
make every reasonable effort to preserve, protect, incorporate or rehabilitate
indigenous plant communities.
f. Grading: Grading for residential construction and/or the creation of a residential
building site should:
i. Avoid steep grades: Grades equal to or greater than 18%are considered steep
grades and should not be graded for lot pads or building sites. However,
accommodation of such grades within the architectural envelope is encouraged
where disturbance of such grades is necessary.
ii. Take place within the"Building Area":Any construction grading within a lot,
parcel, or tract should be limited to the Building Area identified on the
permitted site plan page of the permit drawing set. Delineation of the Building
Area should also identify where grading equipment should be stored, if stored
on site. The building Area delineation should also identify where excavated
material will be stored, if such material is to be stored on-site.
iii. Conform to the standards for tree protection: Such standard is set out in
Design Standard 4.5 below.
g. Building/Street relationships:The siting and follow through design of residential
structures on lots, parcels or tracts larger than 40,000 sf. should accomplish a relation
to the fronting street that allows the front yard space to separate the street building
association in a way that the building orientation is derived from the yard and not
street. To accomplish this,the yard may:
21
Res 18-08 Page 21 of 58
i. Elevate above the street, creating a yard plane that is separate from the street
ii. Establish a yard form wherein the edge defined by the structure and the edge
defined by the street are not parallel
iii. Contain ground plane profile changes that visually complicate the structure/
street relationship.
Standard 3.2: Foundation
a. General: Foundation general standards regarding the appearance of constructing a
foundation for residential construction within the Town of Westlake. It is the intent of
these standards to mitigate the conspicuous visual differences between crawl space
foundation (pier supported) and slab foundation (generally soil supported). It is viewed
that lesser quality residential construction tends to address foundations without regard
to a relationship with the general fa�ade design. Therefore,these guidelines are
intended to bring the foundation into the elevation design as a contributing element.
In addition, each foundation for residential construction should be engineered based
upon a geotechnical report provided by a reputable geotechnical consultant than
employs an appropriate number of boring samples. The geotechnical report should be
provided with the permit drawing set.
b. Slab Foundation: Often construction of a slab foundation results in the creation of a
concrete "platform" upon which the residential construction is placed. As a result there
is an exposed thickness of concrete which lies along the entire baseline of the structure.
To internalize this element into the elevation design, a 'dropped" masonry ledge should
be provided.The"dropped" masonry ledge should be designed so that the distance
between the elevation of the ledge and the finished grade is no greater than 1.5 inches
above finished grade. For all veneer materials (masonry or stucco or other),there
should be no more than 1.5 inches of exposed concrete at the foundation line.
c. Crawl Spaces:As with
� I.�,�n�4� �;�,n, r,xr�:�i slab design (specified above)
- �`�`6��1°}���14 the intent of this standard is
IN' - 1
-_ -- �� to conceal the expanse of
�
concrete usually associated
__ with exposed grade beams
� � �
with a dropped masonry ledge
�;4tr'��"k'nm ' ,,�7`"�- ��c�h
{ �-�+��- ��;- or other means that allows no
l A ,,� �I
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i -�; �,�I. �
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_-�;�, = I 1 = - i " � grade and the veneer material
- i' -
� I� =��f,�i�,' I, � -- � of the construction.
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22
Res 18-08 Page 22 of 58
All crawl space venting should be accomplished with a decorative concrete or masonry
vent that is appropriate to the style of the architecture. In addition, any exterior crawl
space access panels or doors should be decorative in appearance and located so that
such assess panels/doors are not visible to the street.
d. Foundation on slope: Where the grade is sloping, the masonry ledge should be stepped
so that no more than 6 inches of concrete is visible above the grade at any point along
the grade.
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Standard 3.3:Walls
a. General: Wall construction is considered a critical aspect of architectural integrity,
endurance, safety and appearance. Therefore, this manual sets forth certain
standards for wall construction that are meant to assure the above listed attributes.
b. Framing: For the purposes of energy rating, depth of offset at facade openings, and
more enduring construction; all wood framed, exterior walls of residential buildings
in Westlake should be constructed of a minimum 2 x 6 framing members or double 2
x 4 framing members. This standard does not apply to any wall which is a "common
wall"with an attached structure.
c. Vapor barrier:All wood frame construction should have vapor barrier behind
any fa�ade veneer. Accepted vapor barriers include:
i. 30# Bituminous Builder Felt
23
Res 18-08 Page 23 of 58
ii. A building wrap moisture barrier/wind barrier product that performs to a
level equal to or exceeding a 30# Bituminous Builder Felt when installed in
accordance with manufacturer's specification.
d. Offset at fa�ade openings:The general sense of endurance is visually conveyed in
the perceived durability and massiveness of the wall. Such durability and
massiveness is detected at the return of the wall to any window or door. Therefore,
a minimum window/door to wall plane offset is recommended as follows:
i. Any stucco or siding over frame veneer: 3.5-inch min.
ii. Any masonry or stucco over masonry veneer:5.0- inch min.
Standard 3.4: Exterior offsets in building perimeter:
a. General: In residential construction, it is essential that the visual presentation of
building mass is consistent with a residential character. This sense of mass can be
greatly influenced by the presence of exterior offsets in the perimeter building
plane. Therefore,standards for building offsets include:
iii. Single family Detached Homes:The sense of mass is limited by the
complexity of form characteristic with the style of the home. Therefore,the
following are building plane offset standards for the various style categories
of Westlake:
1. Traditional Styles: Most traditional styles derive from a
construction technology where a large expanse of undifferentiated
wall was not common. Therefore, residential structures designed in
a traditional style should not have a lineal foot length of wall that is
more than 35 feet without a wall offset that is expressed as either a
horizontal off-set of at least 4 feet or may be less if expressed as a
distinct architectural form that expresses itself with a roof.
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2. Contemporized Styles: Horizontal expression is the essence of most
residential, contemporary styles.Therefore, a lineal foot length of
24
Res 18-08 Page 24 of 58
wall plane contained within a single roof form or other form that is
compositionally integral to the overall design has no limit.
Otherwise the same limitations applicable to traditional design
(described above) should also apply to contemporized designs.
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iv. Single family Attached Homes: Single family attached homes,typically
constrained by narrower or otherwise more complicated lots tend to have
elongated plan geometries running coterminous with the side lot line.
Therefore, a single family attached structure should not have a lineal foot
length of wall that is more than 45 feet without a wall offset that is
expressed as either a horizontal off-set of at least 4 feet or expressed as a
distinct architectural form that further expresses itself with a roof.This does
not apply to common lot-line walls, hidden within the architectural envelope
of adjoining buildings
Residential building blocks: Residential building blocks are generally limited
to multiple-unit residential structures and are characterized by larger
building forms that are generally closer in appearance to a commercial
building mass. However,the residential use of the structure requires that a
residential scale exist which is appropriate for residential living. Therefore,
a Residential Block structure should not have a lineal foot length of wall
that is more than 50 feet without a wall offset that is expressed as either a
horizontal off-set of at least 4 feet(which can include balcony structures
that are architecturally enclosed, or expressed as a distinct architectural
form that further expresses itself with a roof.
Standard 3.5: Material and Material Use:
a. General: Essential to enduring building quality is the use of exterior materials.
Therefore,the following standards apply to the permitted exterior materials for
25
Res 18-08 Page 25 of 58
Westlake (unless the approved/adopted PD zoning ordinance for a property allows
a different material).These standards are:
i. Brick Unit masonry: All brick used in Westlake should be modular or allow
modular applications without cutting the brick material.All brick should be a
hard-fired brick, meeting a severe weather standard. Embossed or molded
brick which seeks to create a sense of aged/distressed brick material is
generally discouraged unless approved by the Town Manager or Designee.
All brick should be laid in such a manner as to avoid stacked joints. All
building corners (inside and outside corners) should be executed in a
"toothed" masonry fashion. Mortar joints in brick should not exceed what is
specified in the diagram below.Weeping or slump joints are discouraged
unless approved by the Town Manager or designee.
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26
Res 18-08 Page 26 of 58
ii. Natural Stone:All Natural Stone used in Westlake should be laid in the
veneer wall in a manner that replicates the coursing characteristics of load
bearing stone work. "Coursing" means that the stones are:
1. Generally laid in the wall as they would lay on the ground
2. Consistently tight mortar joints where no more than 30%of the
masonry joints in any wall are larger than 3/8 inch.
3. When the juncture of stones requires a large area of mortar,to
maintain a level coursing pattern, smaller stones(called chinking
stones) should be used.
4. Coursed stone patterns are generally acceptable, including Ashlar,
Coursed Chopped Stone, and Coursed Rubble Stone. Mosaic and all
un-coursed rubble stonework as an exterior veneer is generally not
recommended but may be approved by the Town Manager or
designee in unique circumstances.
5. Cultured stone or other faux stone products are discouraged.
6. All stonework should be laid in such a manner as to avoid stacked
joints.All building corners(inside and outside corners)should be
executed in a "toothed" masonry fashion.
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27
Res 18-08 Page 27 of 58
iii. Finished Stone: Finished stone includes all smooth-face stones trimmed to a
regular shape. All use of Finished Stone in Westlake should be laid in a
manner that uses a thin mortar joint(made possible because of the
uniformity of material. All finished stone should be laid in such a manner as
to avoid stacked joints. All building corners (inside and outside corners)
should be executed in a "toothed" masonry fashion.
iv. 3 Coat Stucco: 3 Coat Stucco is viewed as a material of enduring quality in
Westlake if the manner of installation meets the following standards:
1. Substrate:The use of 3 Coat Stucco on the street facing wall of any
residential structure except Residential Block structures should be
laid over a unit masonry substrate. On all other walls, and all walls
of Residential Block Structures, stucco may be laid over a
cementitious substrate applied to metal lath. Styrofoam as a
substrate is discouraged.
2. Application: Stucco applications should be a 3-coat stucco over
lath or masonry technology. Dryvit/EFS type systems are
discouraged.
3. Shaping: Decorative details rendered in shaped stucco are
discouraged. All window/door surrounds, cornice, belt courses,
and base courses should be executed in a stone, brick, cast stone,
terracotta, or tile material. Shaped stucco is permitted when it
serves the purpose of allowing the wall plane to bend to achieve a
detail derived from manipulation of the wall plane (such as rounded
corner returns to windows and doors). Styrofoam as a substrate for
shaping stucco is discouraged.
4. Expression of expansion and control joints:The visual character of
stucco use in Westlake is that derived from stucco over masonry
where expansion/control joints are not required (except those for
the masonry substrate). Therefore,where expansion/control joints
are required for Stucco over a substrate other than masonry, such
expansion/control joints should be concealed by filling the joint
with an expandable filler that is troweled flat with the stucco, is the
same color as the stucco, and matched the surface texture of the
stucco.
Standard 3.6:Opening surrounds:
a. General: All openings in the exterior skin of residential construction should have an
architecturally appropriate header and sill with an optional jamb except where the
style of architecture is associated with the absence of such detailing(such as more
contemporized styles). When employed, all window/door surrounds, cornices, belt
courses, and base courses should be executed in a stone, brick, cast stone,or
terracotta material. For certain styles the surround material may be wood or timber
30
Res 18-08 Page 28 of 58
when essential to the style (such as Tidewater Neo-Classical). When a decorative
opening surround is not used,the minimum offset from exterior wall plane to the
face of the window or door,should be as specified in Standard 3.3 d.
Shaped stucco is permitted for opening surrounds when it serves the purpose of
allowing the wall plane to bend to achieve a detail derived from manipulation of the
wall plane (such as rounded corner returns at windows and doors).
b. Relief: Relief is an essential visual characteristic of enduring quality, as it is typically
the result of enduring materials and methods of construction. Materials with
greater relief,such as wood and stone, are also materials which can be crafted. This
relationship between quality material and the work of the artisan is less likely with
many less quality construction materials. Therefore, Westlake seeks to promote
relief and dimension in the execution of architectural details, motifs, and
articulation of opening and form with the following standards:
v. Discouraged materials: For the purpose of attaining relief that is
associated with quality materials and construction,the following
materials are discouraged when used for surrounds, cornice, and
decorative features:
1. Cementitious boards
2. Fiber glass
3. Styrofoam
4. Plastic
5. Aluminum (unless its application is characteristic of a style)
6. Stucco applied to look like a projected atone, cast stone, or
terracotta.
vi. Relief in architecture: In addition to the earlier described off set between
the exterior wall plane and the surface of any window or door(Standard
3.3d) and horizontal offsets (Standard 3.4 a & b),the Town views general
dimensional relief in the treatment of cornices, overhangs, gable
projections, bay windows, dormers,water tables, belt courses, sills,
surrounds, timber components, and other expression of subordinate mass,
opening, roof and wall, and vertical differentiation, or corner to be executed
in ways that present depth and relief and produce shadow and texture.,
vii. Relief in articulation: Relief in articulation means the dimensional aspects
of the assembly.Therefore,the minimum projection built-up profiles and
decorative assembly should be 3/ inch per element of the assembly as
illustrated below. Decorative cap molds may be employed to attain this
offset.
Carpentered exterior trim:All carpentered exterior trim should be high quality
finish- grade wood stock. Composition Wood products are discouraged with the
exception that exterior grade finished veneer plywood,other smooth finished
soffit board, or Trimcraft may be used for soffits. If a trim installation is to be
joined along any continuous rum of material,the joint should be a "spline joint"
of material. All outside corners should be mitered and blocked, having sufficient
closure that the joint is not visible from the street. Corners may not be closed by
30
Res 18-08 Page 29 of 58
any means other than a carpentered joint.Trim clips are discouraged. Facia
should be stepped at the drip mold. Carpentered Trim that forms the wall
veneer pocket should have a complexity achieved in one of the following ways:
i. Trim mold
ii. Built-up step molding
iii. Other traditional detail such as dental mold.
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Standard 3.9: Material transitions:
a. General: Material changes in any elevation of a residential structure should only
occur under the following conditions:
iv. Material changes at an inside corner
30
Res 18-08 Page 30 of 58
v. Material changes that addresses an outside corner should wrap the corner
and change at a location at least 12 inches from that corner as termination
of an architectural detail/element (such as a corner pilaster)
vi. Material change wherein the different material is contained within a distinct
architectural form that projects from the primary architectural mass.
vii. Material change reflecting an off-set between a lower floor and an upper
floor where the offset is at least 6 in.
Material changes within the same architectural plane are discouraged.
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31
Res 18-08 Page 31 of 58
Standard 3.10:Openings
a. General:The articulation of openings is a key aspect of enduring quality and better
design. Openings are a primary focus of architectural detail and the treatment
thereof reveals consideration to detail and investment in craftsmanship of
construction.
b. Relation to composition and architectural forms:The following standards apply to
the positioning of and articulation of openings in the architectural fa�ade:
i. All windows should be below the cornice detail. Windows may abut the cornice
detail or be engaged with it if the design of the window surround modulates with
the banding or detailing of the cornice.
ii. Street visible windows should be articulated with a projected surround or header
unless the absence thereof is deemed by the Town to be characteristic of the style
being proposed.
iii.To maintain a sense of purposeful design and compositional continuity, it is
important that the openings within an elevation have a common reference line that
engages the sill or head. Therefore,the random placement of windows is
discouraged. Where internal functions require that the positioning of an opening
deviate from the regulating line by which windows are positioned,those windows
should be decorative or otherwise of a type that does not require a reference line
(such as a round or square window).
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32
Res 18-08 Page 32 of 58
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� I ill r�IT� � �72 1�li�d ��T1�i��� �d
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1�_ 1.1��,�� rin�a' � if1�� �c. �c� }�a�a ❑ L�crrt �i�l .
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c. Glazing: Reflective glazing is discouraged.Tinted glass and dark adhesive films
where the transmission coefficient exceeds 27%are discouraged. Stained glass is
allowed provided the glass is crafted in accordance with one of the following
techniques:
iv. Soldered Caming
v. "H" Caming
33
Res 18-08 Page 33 of 58
No acrylic or"pourable"techniques are allowed.
d. Windows:All windows on a street visible elevation should be wood or wood clad.
�t V�b� i � 5�a�1 ' i I
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34
Res 18-08 Page 34 of 58
Standard 3.11: Roof
a. General:The roof and roof lines it creates are among the most important features
of a structure. Most identifiable architectural styles are recognized, in large part,
by the distinctive features of the roof. Therefore, enduring quality of residential
construction is significantly related to the form, material, and treatment of the
roof.
b. Legibility of Roof form: To the extent possible, roofs should be massed with an
orderly sequence of subordinate roofs extending from a dominant roof mass or the
roof should be specific to an architectural form which, expressed as individually
roofed components of the design, come together in a total composition.
c. Roof Materials: Roof materials facing the weather should be of high and
enduring quality. Permitted roof materials include:
i. High quality clay or concrete tile (with a thickness similar to clay)
ii. Natural Slate
iii. Metal:Traditional standing seam with standing folded and soldered seams
iv. Composition: High profile composition shingles equal to or better than 40-
year warranty roofing products.Three-tab shingles are discouraged
v. All composition shingle roofs should have closed valleys.
d. Roof projections: No plumbing stacks,venting stacks, skylights, or attic ventilators
should penetrate the roof surfaces facing the street or be visually dominant in the
street view. All such roof penetrations should be mounted straight and
perpendicular to the ground (except for skylights and attic ventilators) and be
painted to blend with the roof color. All venting stacks should have lead jacks.
Turbine vents are discouraged.
e. Gutters,downspouts,scuppers, and collection boxes: Gutters, downspouts,
scuppers, and collection boxes should be copper or an enduring prefinished metal
with minimum 20-gauge thickness (e.g. Kynar 500 or Hylar 500). Gutters should be
a minimum 6 in., half round profile attached with gutter straps. Downspouts should
be 4 in, minimum, round. Elbows and bends should be 4 in. minimum plain and
round. Fascia mounted gutter systems are discouraged unless they are a custom
designed gutter detail, integral to the architecture.
f. Pitch relationships and form balance: Within the total roof composition, a single
pitch will be used except where a change of pitch achieves greater order in the
ridgeline presented to the street. In such cases,the change of pitch should not be
visible to the street unless the pitch change is used to cover a projected
architectural form. Different roof pitches for Turrets and/or Towers are exempt
35
Res 18-08 Page 35 of 58
from this standard. In addition,the compositional form of the roof as a "design"
should reflect an orderly relationship of dominant mass to subordinate mass
wherein the dominant mass organizes the subordinate masses and "members"with
the subordinate masses in a total design.
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Standard 3.12:Style Specific Details
a. General:The proper execution of style specific is characteristic of enduring quality
and residential areas which retain their attractiveness over time. The key aspects
of employing style specific details include:
b. Material: Most styles whether the style is traditional or contemporary employ
materials by which crafted construction (a key aspect of architectural design) can be
executed. Therefore, construction details which are traditionally derived from work
of the stone mason,the carpenter,the metal crafter,the glass artisan, etc. should
use a material that the characteristic craftsman can work in. The employment of
systems or materials that replicate the work of a trade or artisan are discouraged.
Relation to composition and architectural forms: Most style specific details are
associated with the roof,the edges (e.g. corners and openings), and the closure to
36
Res 18-08 Page 36 of 58
weather(e.g. cornice).Therefore,the employment of architectural detailing
associated with a style should use the characteristic detailing of that style in ways
authentic to the style.
Standard 3.13: Fireplaces
a. General: Fire places are significant components of the interior and exterior
architectural identity. However, in more recent times fireplace systems have
transformed the external importance of the chimney into a utilitarian concession to
the mechanics of venting. It is the intent of this standard to restore the
architectural importance of fireplaces as an enduring aspect of quality.
b. Systems: Traditional tile construction or Isokern systems are recommended for
Westlake. Metal fireplace systems may be used if the external expression of the flu
and its associated spark
arrestor is visually
yJh�n�r�1�1a,�k-,�mr,� �,II � undisguisable from
6at G -� ¢nhpn �rr� �c�urd I
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c.Chimneys:All fire place
chimneys should be brick,
� � stone, or stucco.
g Attention should be given
N I
� to the complexity and
/ form of the cap detailing.
��, All chimneys should have
� a distinctive cap detail
executed in brick or
stone. Metal fireplace
caps may be used if
approved by the town. In
� addition, the street visible
rise of shaft should be
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in plan as well as
elevation. Prefabricated metal fireplaces and metal flues may be used but their
chimneys should be masonry or stucco clad supporting a masonry cap and present
the appearance of full masonry construction.
d. Chimney caps: All chimney caps should be masonry(stone, brick or tile) and fully
conceal the spark arrestor or any other features associated with a non-masonry fire
place construction.
Standard 3.14:Gates,Walls, and Fences
a. General: Gates, fence walls, and fences are aspects of the construction most often
37
Res 18-08 Page 37 of 58
neglected in terms of their enduring quality and have significant influence on the
visual quality of a community over time.Therefore,Westlake sets forth standards
which are meant to improve the enduring quality of gates,walls, and fences within
the town.
b. Relationship to the lot: Fences are discouraged in the yard space shown below (see
diagram below) of any lot smaller than 30,000 sf.when it is part of a development
of similarly sized (or smaller) lots. Larger lots or lots not part of a development of
similar size lots, may have entry gates in the front yard space and masonry or
wrought iron walls extending from that gate. However, wood fences in the yard of
any residence are discouraged unless the property is an agricultural landscape and
the wood fence is an agricultural form.
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c. Fence Materials: Residential fences may be any of the following:
i. Masonry
ii. Wrought Iron with masonry corner columns
iii. Masonry corner columns and a masonry knee-wall supporting a wood or
wrought iron infill.
iv. Wood along property lines that are not in the discouraged yard space. Where
wood fences are used,they should be supported by vertical tubular steel
supports with at least 3 2x4 stringers supporting a wood fence design with a
decorative wood cap detail.The finished face of the wood fence should face to
the outside of
38
Res 18-08 Page 38 of 58
the lot, if only 1 face is finished. Wood face members of the fence should be a
minimum of 3/ inches thick.
v. 5 strand barbed wire or welded tubular agricultural fences, where the
property is greater than 30,000 sf., not located in a development where such
a fence presents a contrast other fences of the development,and hosts an
agricultural use or the fence is part of an agricultural theme is allowed.
d. Gate Materials: Gates in residential fences may be any of the following:
i. Wood with frame members measuring a minimum of 1.5 inches thick and infill
planks measuring a minimum of 1.5 inches thick.
ii. Wrought Iron with the frame measuring a minimum of 1.5 inches square with
pickets of at least% in. square with welded connections. Such fences may be
made of solid stock or thick wall tubular steel (sufficient thickness to not burn
through when welded but no thinner than 3/32nd inch) with any finials or other
decorative detailing being made of solid stock and welded to the fence
construction or wrought as part of the iron making process.
e. Corners and expression of support structure:All property corners of a property line
fence should be supported by a column that is at least 8 in. square. For wood fences
that are not visible to the street,the decorative corner post may be wood. In all
other applications,the decorative corner post should be masonry.
f. Discouraged materials and wall types: The following fence materials and wall
types are discouraged:
i. Thin wall construction
ii. Cast or embossed concrete walls
iii. Picket materials less than 3/ inches thick
iv. Iron fences with mechanical connection assemblies
v. Prefabricated decorative elements that are designed to slip over stock
tubular steel shapes.
vi. Plastic or Vinyl fence components or systems
Standard 3.15: Entries
a. General: In residential design,the entry function is the focus of architectural
emphasis. Perpetuation of this importance into the future residential development
of Westlake, is a feature of enduring quality that assures Westlake's place relative to
its own history. Therefore the entries are an important component of enduring
quality in Westlake.
b. Materials:All entry doors should be solid wood or steel. However, pressed steel
doors which are manufactured to look like wood doors are discouraged in single
family or single family attached buildings.
c. Articulation:The architectural form which embodies the entry should be: (A)
the dominant roof mass; or(B) engaged by the dominant roof mass.
39
Res 18-08 Page 39 of 58
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Standard 3.16:Garage Doors
a. General: Garage doors are an important investment in enduring quality, as the
utilitarian purpose of the garage is often used as an opportunity to introduce less
enduring door types and/or materials.Therefore, garage doors are viewed an
aspect of enduring quality.
b. Styling:When garage doors are facing a street, double width doors (greater than 9
ft.) are discouraged and paired single doors are permitted.Therefore,where garage
doors face a street, garage doors should not exceed a width of 9 feet. All garage
doors should have masonry, stone or stucco over the header of garage door up to
the soffit. Cornice details should continue uninterrupted over the garage door. All
garage doors visible to the street should be recessed a minimum of 12 inches.
Adjacent doors in the same building plane should be separated by at least 12 inches
of building veneer.
c. Materials:All garage doors should be solid wood on a metal door frame.
Standard 3.17: Exterior light fixtures
a. General:The means and method of lighting is an enduring feature of quality for
Westlake. Proper lighting is a designed effect which is as important to the
architectural quality of the Town as the buildings themselves.
40
Res 18-08 Page 40 of 58
b. Types Lighting: Pole-mounted lighting or building mounted high intensity lighting, or
foundation mounted up-lighting is discouraged on any lot smaller than 1 acre. Or
any lot in a development of lots as the continuity of light treatment is an important
feature of the broader visual character. Landscape lighting is encouraged.
c. Size: Exterior wall or plinth mounted light fixtures should be at least 12 inches
tall, exclusive of decorative finials or brackets.
d. Light:The light source (regardless of type) should emit a soft or warm white
light (2700 degrees Kelvin or higher)
e. Materials: Exterior wall mounted or plinth mounted lights should be crafted of inetal
with soldered or welded connections. Cast aluminum or cast iron light fixtures are
discouraged.
Standard 3.18:Street visible Wrought Iron
a. General: Wrought Iron is one of the few areas in the elevation of a residence where
qualities of craftsmanship can be displayed. Because craftsmanship is an important
aspect of enduring quality, wrought iron railings,fences, gates, and/or other
wrought iron elements are also an important aspect of enduring quality.
b. Dimensions: Minimum dimensions for wrought iron are:
c. Frames and other structural support of the pickets should not be less than 1.5
inches in either width measurement or 1.5 inches in diameter if round.
d. Pickets should not be less than 3/ inch in width or diameter.
e. Panels should be made of inetal plate material with a minimum thickness of 3/16 inch.
f. The wall thickness of any tubular steel should not be less than 3/32 inches.
g. Visual treatments and decorative elements: Decorative elements (such as finials,
rings, etc.) should be made of solid stock and welded to the pickets or frame as per
the design or wrought from solid stock material as party of the iron crafting process.
Attachment of pickets to frame and all other components of the wrought iron
construction should be welded, mechanical connections are discouraged.
Section 4: Non-residential Construction Quality Standards
This Section sets forth the desired standards that should be implemented when designing a non-
residential structure in Westlake. These standards are intended to:
• Establish a recognizable enduring quality of Westlake's non-residential building stock.
• Maintain and perpetuate the distinctiveness of Westlake that derives from existing and
exemplary Westlake projects such as Deloitte and Solana.
• Promote new development that has:
o Dimensional relief
o High craftsmanship and workmanship
o Quality materials and construction methods
The design of each non-residential structure in Westlake should demonstrate conformance to the
standards specified below at time of review. "As equal" substitutions amy be offered or proposed.
More specifically,the standards applicable to non-residential are:
41
Res 18-08 Page 41 of 58
Standard 4.1:Site-work and Site Design
a. General: Site-work includes all aspects of site preparation that are related to the
creation of a building site within a platted lot, parcel, or tract of land. It is the intent of
these standards to create more distinctive non-residential fabric that avoids
characteristics common to commercial strip development or speculative office projects.
b. Relationship to adjacent developments:Although most non-residential projects are
contained within projects specific to a particular lot,tract or parcel;Westlake seeks to
avoid the segmentation of its non-residential fabric commonly associated with project
autonomy by promoting project interconnectivity. Key features of interconnectivity
include:
i. Vehicular Connectivity: Where an adjacent property provides circulation stub-
outs, such stub-outs should be extended to and connected with the vehicular
movement patterns of the subject site.
ii. Pedestrian Connectivity: Where an adjacent property provides Trail and
Pedestrian-way stub-outs, such stub-outs should be extended to and connected
with the vehicular movement patterns of the subject site.
iii. Landscape Connectivity: Where an adjacent property provides open space or
streetscaping along a major arterial required by the Westlake 2015
Comprehensive plan, such open space or streetscaping should be extended to
and connected with the open space and streetscaping patterns of the subject
site.
iv. Natural Feature Connectivity: Where an adjacent property preserves a plant
community, landmark landform, or other natural feature that extends into the
subject property such natural preservation should be extended to and
connected with a reserved continuation of the plant community or natural
feature into the subject site.
42
Res 18-08 Page 42 of 58
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a. Site Condition during construction: Every lot, parcel,or tract which is the site of non-
residential construction should maintain the site in the following condition from the
start of site-work to the completion of building construction thereon:
i. Containment of all construction debris in locations generally screened from
public view by a built or natural screen.
ii. Removal of all excavated material within 45 calendar days of the excavation
work unless the excavated material is being stockpiled for reuse on the subject
site. In which case, excavated material should be stored in a location on the site
most concealed from public view. If the building plate configuration prohibits
such location,then the Town Building Official may consider and approve an
alternate site location.
40
Res 18-08 Page 43 of 58
iii. Removal of all plant material and biomass within 2 days from any grubbing,
tree removal,tree pruning, shredding, and/or other trimming/selective cutting
activity.
iv. No more than 1 temporary builder/developer sign per major street frontage.
v. No more 1 premise.
vi. Location of any temporary sanitary facilities at a place within the site that is not
visible to the street. If street visibility is unavoidable,then the temporary
sanitary facility should be screened with an earthen berm,temporary landscape
screen, or a decorative wood screen. Location of any temporary sanitary facility
so it is visible to the street should require approval of the location and the
method of screening by the Town Building Official.The building and site-work
contractor should keep a set of permitted construction plans on-site so they
may be viewed by a Town official when deemed necessary by that Town
Official. The on-site construction set should also show any change orders or"as
built" conditions
which are different than the permitted drawing set.
b. Drainage:All drainage swales and/or drainage ways should be designed and constructed
so as to create natural looking ground conditions.Therefore, artificial appearing side
slopes, detention/ pool geometries, and/or visible flow lines that are overly angular or
straight, retention/detention facilities that are square/angular/or any regular geometric
shape should be avoided.
Standard 4.2: Integration of water
a. General:The commercial areas of Westlake (such as the Regional Commercial District or
the Community Commercial 1 District) are currently located toward State Highway 114,
in places where the lower elevations of Westlake exist. Such areas also become the
general repository of Drainage flows as such flow makes its way to lake Grapevine.
These areas possess a greater potential to integrate water with site design so that a
more organic relationship between development and water exists. Therefore, site work
in Westlake should accommodate natural flows in natural or natural like conditions that
have influence on the form of development.
Standard 4.3: Parking during development phase:
a. General: Due to the higher parking demand rate associated with non-residential
construction, construction parking is often a problem unless it is coordinated by a
parking management plan which prevents random parking at tree lines, within drip
lines, and amidst native vegetation, etc. which normally exists at the edge of the
construction zone. Therefore, non-residential site work in Westlake should require
determination of designated parking areas which avoid tree drip lines, edges of wooded
40
Res 18-08 Page 44 of 58
areas, and patches of native vegetation so that the native fabric is not further displaced
beyond the construction zone by random parking.
Standard 4.4:Tree protection during construction and development:
a. General: Tree protection: All trees remaining on a lot, parcel, or tract and exposed to
the building activity or within 30 feet of the building site (hereinafter regulated trees)
should be protected as follows:
i. Tree fencing: Regulated/protected tree trunks should be protected with a visible
"tree fence" at least 48 in.tall and protecting the tree and ground around the
tree to a minimum 10 ft. distance from the trunk of the tree.
ii. Tree marking: All Regulated/protected Trees should be marked with a sign
stating"Protected Tree".
iii. Ground compaction avoidance: Measures should be taken to minimize
ground compaction within the dripline of Regulated/protected Trees as
follows:
1. Prohibiting parking under the drip line of a Regulated Tree
2. Routing construction and equipment traffic so as to avoid the drip line
of a Regulated/protected Tree
3. Prohibiting the storage of any material, equipment, debris, or excavated
material within the drip of any Regulated/protected Tree
4. Avoiding, where possible, any grading within the drip line of a
Regulated/protected Tree. Grading within the ground protected by a
Tree Fence is discouraged.
iv. Maintenance of normal hydration: Measures should be taken to maintain
normal hydration for any Regulated/protected Tree by:
5. Preventing the accumulation of storm water runoff within the ground
plane area of any Tree Fence.
6. Avoiding increased levels of hydration from temporary irrigation
system.
7. Restoring hydration where the source of hydration has been disrupted
by the construction activity.
v. Preserve Tree Communities:A non-residential development plan or design
should make every reasonable effort to preserve, protect, and rehabilitate
indigenous plant communities.
Standard 4.5:Grading:
a. General: Grading for non-residential construction and/or the creation of a building site
should:
i. Avoid steep grades:Westlake is distinguished by its dramatic and varied
topography. Further, it is the intent of Westlake to preserve the
40
Res 18-08 Page 45 of 58
distinctiveness of this ground plane as much as is reasonably possible.To
that end, non-residential site work in Westlake should:
1. Submit a grading plan for Town approval that identifies the
existing topography and proposed topography after grading as
well as any proposed grade retaining structures.
2. Any proposed grading which engages a natural slope of 18%or
greater should acquire Town approval.
3. To the extent reasonably possible, Westlake encourages that grade
changes across a site be accommodated with architectural solutions
that are integral to the primary development and not with
independent retaining structures meant to create lot pads where
vertical development occurs independent of natural grade.
ii. Take place within the"Building Area":Any construction grading within a
lot, parcel, or tract should be limited to the Building Area identified on the
permitted grading plan page of the permit drawing set. Delineation of the
Building Area should also identify where grading equipment should be
stored, if stored on site. The building Area delineation should also identify
where excavated material will be stored, if such material is to be stored
on-site.
iii. Conform to the standards for tree protection:All grading should confirm
to the standards for tree protection specified above. Tree preservation
zones should be delineated with a tree protection fence prior to the start
of grading.
Standard 4.6:Screening:
a. Westlake seeks to create a view of development both in-process and completed that is
not cluttered by the presence of storage,temporary facilities, or utility services.
Therefore, every reasonable effort should be made to screen such aspects of the site
work as follows:
i. Storage: Storage of excavated material, construction debris, and
construction materials should be accommodated in an orderly way so that
standing storage
areas which remain on-site for more than 10 days are effectively screened from
street view by:
1. Temporary earthen berm
2. Wood fence
3. Natural/native landscape
Each building site is encouraged to designate a storage area that will serve the
project.
ii. Temporary Facilities:Temporary facilities such as construction trailers and sanitary
40
Res 18-08 Page 46 of 58
facilities should be located as follows:
1. Construction Trailers may be located in convenient and accessible locations
fronting a street provided that such trailers are in good condition,with visibly
designated parking, provide foundation screening, and have a porch and stair
entry with entry door cover. Construction trailers not having these features
should be located toward the rear of the property in less visible locations.
2. Sanitary Facilities should be located toward the rear of the construction site in
places less visible to the street. Sanitary facilities should be grouped and not
spread out. Facility groups should be screened with a 6ft. privacy fence that
provides concealment but still allows access by service vehicles.
iii. Utility and trash Services for the vertical development:Typically, non-residential
construction requires large electric transformers which are typically located in proximity
to electric ROW's along major arterials. Where such transformer facilities are necessary
to serve development or where trash facilities are necessary to serve development,they
should be screened in one or a combination of the following ways:
1. Landscape Screen: Electricity Transformers may be screened with native grasses
attaining a height of 4 ft. in combination with native trees and shrub materials
planted in natural drifted forms or other forms that are part of a Master
Landscape Plan.
2. Built Screen: Both Electricity Transformers and Trash facilities may be screened
with a masonry screen that is an extension of on-site retaining walls, decorative
walls, or other screening walls
3. Architectural Screen: Both Electricity Transformers and Trash facilities may be
screened with an architectural feature that is an extension of the development
architecture or an accessory structure with visual qualities of the development
architecture.
iv. Loading: Loading areas for non-residential development generally require sufficient
maneuvering area for larger service vehicles. Therefore, loading facilities should be
sufficiently screened or more integral with the development architecture,thereby
making such facilities less apparent. Loading facilities in non-residential construction
should be either:
i. Screened: All loading facilities meant to accommodate trucks with 3 axles or
more should be so located that such facilities do not front a public street. In
addition,street views of such facilities should be screened with one of the
following:
1. A landscape screen comprised of evergreen screening trees and shrubs
that effectively screens at least 70%of the facilities street visibility
(excluding and driveways).
2. A built masonry screen that is at least 8 ft. and is an extension of
the architectural plane of the primary building.
ii. Architecturally Integrated: Loading facilities may be architecturally
screened, meaning that the loading bays and drives are components of:
3. A parking structure
4. A building extension which encases the loading facility
40
Res 18-08 Page 47 of 58
S. A lower floor covered by an upper floor that is supported so that
the loading facility is subordinated to the upper floor.
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screen from street view by an architecturally integrated and detailed, physical screen.
Standard 4.7:Walls
a. General: Walls express the mass of the structure and convey its sense of permanence.
Where there is greater relief in the wall,there is a greater sense of mass conveyed
through the deeper inset of void areas and the consequent shadow.This conveyance of
mass is most dramatically seen in the Legoretta's design of Solana. Westlake views the
sense of greater mass as characteristic of the Town and indicative of enduring quality.
Therefore,the walls of non-residential construction in Westlake should demonstrate the
following features:
b. Wall systems: Generally,veneer walls over frame construction are discouraged in non-
residential development unless the frame adds dimension to the wall to replicate the
40
Res 18-08 Page 48 of 58
relief of a load-bearing masonry construction. Whether a modified frame or a load
bearing masonry wall the offset between the exterior wall plane and the surface of any
window or door should be a minimum of_8 inches. Where masonry spandrel systems
are employed for taller buildings,such systems should provide the same relief.
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c. Wall finishes:All non-residential construction in Westlake should be a predominantly
masonry finish. The percent of masonry on the exterior of any non-residential building,
excluding the areas of fenestration, should be as follows:
i. 1 story: 100% masonry
ii. 2-3 story should be no less than 60% masonry
iii. 3-5 story should be no less than 50% masonry
iv. Over 5 story to be approved by the Town
Where the masonry system or technology used requires control joints or expansion
joints, such joints should be concealed as follows:
i. Hidden by a finish detail that covers the joint
ii. Concealed with an architectural detail (such as the inside corner of intersecting
forms or pilaster or the line of a projected belt course or sill course, etc.)
d. Accepted masonry:The accepted Masonry materials include:
i. Brick that is laid in running bond or other structural stone bond patterns (e.g.
Flemish bond) and brick spandrel panel systems that use full dimension brick
and has the appearance of structural bond application.
ii. Natural Stone that is coursed in a load bearing patterns (Mosaic patterns are
discouraged unless specifically approved by the Town).
iii. Smooth face Stone or cut stone that is coursed or attached with stone veneer
systems which use true stone cut for such applications.
iv. Unit Concrete Masonry that is rough face or split face
v. Stucco that is applied to a unit masonry substrate. When not applied to a unit
masonry substrate, the stucco application may be considered an accent material
and is permitted to be used as a non-masonry material to the percentage of
total wall specified above.
e. Accepted non-masonry materials: Non-masonry materials may be used in combination
with masonry as specified in "c" above.Accepted non-masonry materials include:
i. Stucco over a substrate other than unit masonry
ii. Commercial metal panel systems or steel plate with a minimum % in.thickness
(including Corten)
iii. Special glass or other fabricated panel of a fired material that is an intrinsic
aspect of the architecture and approved by the Town.
f. Horizontal relationships within the wall: Unless there is a specific compositional intent
to an arrangement of openings within the wall plane, such openings should generally
align horizontally and vertically. However,the use of ribbon glass is discouraged.
g. 100%glass structures: In accordance with item "c" above, non-residential buildings
sheathed in glass or glass systems are discouraged unless approved by the Town.
Standard 4.8:Openings
a. General: Openings in the architectural wall plane and the treatment thereof is
important to Westlake as an enduring aspect of both quality and identity. Legoretta's
51
Res 18-08 Page 50 of 58
deep set piercings(for openings) of the massive wall planes of Solana illustrate that the
sculptural qualities of this design are, to a significant extent,visually conveyed by the
articulation of openings. Similarly,the horizontally and vertically aligned placement of
openings in the Deloitte elevation allows material changes in the wall plane separating
windows to create graphic patterns.Westlake views the innovative and articulate
treatment of openings to be a significant aspect of enduring identity and building quality
for the Town.
b. Glazing and glazing systems: Reflective glass is discouraged. Glazing systems may be
used only if the final installation has the visual qualities of a window. Buildings exteriors
that are comprised of glazing and a glazing system are discouraged unless special
approval, of such use of glass, is authorized by the Town in recognition of architectural
excellence.
c. Off set at the wall: It is the intent that openings be deeply set into the mass of the wall.
Therefore, an 8-in. offset is recommended between the plane of the opening and the
plane of the wall.
d. Articulation: Non-residential buildings in Westlake will express window openings as
voids in a contiguous wall plane. Therefore, ribbon glass and totally glass buildings are
discouraged unless special approval of such use of glass is authorized by the Town
Council. The relationship of void to solid should not be greater than 50%void
meaning that the area of void cannot amount to more than 50%of the solid wall area
unless special approval, of a greater ratio, is authorized by the Town Council .
However, areas of solid glazing are permitted, provided that they:
i. Are associated with, and limited to, an articulated sub-mass of the building
design.
ii. Are limited to an area beneath a projecting roof that defines the area of glass
apart from the rest of the wall
iii. Where transparency of the ground floor is a key feature in the "ground level"
interaction as described below.
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Standard 4.9:The Ground level
a. General: The relationship between the ground plane and a non-residential structure is
key to the structure's participation in the aspect of Westlake common to all
development. The Town desires that a building's interaction with the ground is one that
participates in human activity(where such activity is prevalent) or responsive to natural
setting. Therefore,the ground floor of any non-residential structure is an enduring
aspect of building quality in Westlake.
b. Pedestrian accommodations:The visual message of any non-residential structure, as it
interacts with pedestrian use of the ground plane is"come-in" instead of"stay out".
To have such an inviting message,the portions of the structure interacting with the
ground plane should embody such feature as:
i. More transparent
ii. Barrier free
iii. Highly amenitized for the comfort and pleasure of pedestrians
iv. Create favorable micro-climate conditions
v. Externally express internal building activities.
c. Natural accommodations:The visual message of any non-residential structure that
located in a special relationship with a natural feature should embody such features
as:
i. Allow a blending if interior and exterior that is not defined by the building wall
ii. Allow the pedestrian to stand in a special relationship to a natural feature or
natural system such as a pedestrian overlook at a lake edge.
iii. Limit all intrusions into the natural feature or system to the architectural plane
of the structure. Creation of a building pad apart from the walls of the structure
is discouraged where such pad encroached on special natural features or
systems.
Standard 4.10:The roof
a. General: For the most part,Westlake non-residential design employs a pitched roof
form with a few exceptions. Westlake seeks to maintain a general continuity throughout
its non-residential fabric while encouraging the innovative use of roof forms as a major
architectural feature. Therefore, the roof as an architectural feature is an important
design element that sets Westlake apart from other cities and Townships in the Highway
114 corridor.
d. Roof forms: Permitted roof forms are either:
i. Gable form
ii. Hip form
iii. Barrel form
iv. Shed form
v. Flat
It is essential that the roof design is simple with clean and uninterrupted ridge lines and that
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multiple roof forms are not intermingled unless differing forms are used on subordinate
architectural features as part of a complete composition concept. Therefore,while gable
and hip forms can be combined,the combination of other roof forms is generally
discouraged except where specific architectural purpose is served.A flat roof may be
combined with any roof form. Roof forms other than those listed above are discouraged
unless specifically approved by the Town.
e. Roof materials: Non- residential roofs should employ only quality roof
materials. Approved roof materials include:
i. Metal Roof: Including commercial metal systems that create uniform seams that
run parallel to the rake or perpendicular with the rake. However, such
commercial systems should have closure details and closure fabricated trim that
is low profile. Where a commercial system is employed,the roof form should
be simple so that the mechanics of the system are not consistently compromised
to accommodate unusual roof intersections, crickets, complex valleys,short
hips.
ii. Tile: Where the relief of the tile (if a cementitious product) is consistent with the
relief normally associated with a clay tile product. Where a barrel tile is
used,the architecture of the structure should be appropriate for the
employment of such a style specific roof material.
iii. Slate: Includes a natural slate and manufactured slate that provides the
appearance of a natural slate. Man-made slate products should be
guaranteed against fading. Hips should be mitered.
iv. Built-up or membrane roofs: Acceptable for flat roof applications when
installed in accordance with the manufacturer's specification and qualifies for a
warranty and where a flat roof is concealed behind a minimum 10 in. parapet.
Composition roof products are discouraged in non-residential applications.
f. Legibility: In non-residential applications, it is essential that the roof have a clear and
legible composition. Therefore, a roof should be associated with a clear architectural
mass from which it derives its form.
g. Skyline relationship: It is anticipated that Westlake, at some point in its build out will
have a "skyline". Skyline can be defined as the collective image of taller buildings as
they are viewed above other buildings and against the sky. For some cities,the skyline
is an iconic expression of place. Therefore,taller buildings are called upon to establish a
meaningful contribution of Westlake as follows:
i. Buildings taller than elevation 700: Buildings in Westlake that are located
within the Regional Commercial Districts, or those Community Commercial
Districts fronting Highway 114 and have a height exceeding 700 feet above sea
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level are considered "skyline contributing buildings" and are subject to the
following design considerations.
ii. Vertical gesturing components rather than horizontal: Skyline contributing
buildings should have a vertical gesturing component as follows:
1. Buildings that are more horizontal than vertical: Such buildings should
have a significant form component which is vertically gesturing,
meaning that the significant form is more vertical than horizontal. In
addition,the vertical completion of the form should present a
"capping" form or complexity.
2. Buildings that are more vertical than horizontal: Such buildings should
present a "capping" form or
other complexity contributes
to the skyline.
�� iii.Complexity of profile: In the
aggregate,the buildings which
% contribute to the skyline of
Westlake should present a
varied profile against the sky.
I i
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Standard 4.11: Parking:
a. General:The generally greater parking demand of non-residential development
produces large expanses of parking apron that tend to isolate the development
structure within a zone of parking,thereby detaching the primary structure from a
desired relationship with the landscape. To avoid the visual dominance of parking areas
that isolate buildings, non-residential parking in Westlake should meet the following
standards in addition to any parking landscape requirements contained in the Westlake
Code of Ordinances or an individual PD Ordinance.
b. Form and expanse: Where surface parking areas engage natural water or land features,
the parking geometries should avoid straight lines and introduce curvilinear parking
edges that are more associated with the natural landscape they engage. In addition,
surface parking areas should avoid large single expanses where any single expanse of
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Res 18-08 Page 54 of 58
uninterrupted parking apron exceeds 10%of the land area, exclusive of the building
footprint.
c. Relationship to street: Surface parking areas should avoid creating edges that
parallel street pavement and abut the street parkway with a curvilinear edge.
d. Ruralization or urbanization of the parking facility:There are 4 Character Districts
ascribed to Westlake in the 2015 Comprehensive Plan which describe settings that are
more urban (e.g.The Regional Commercial District) and settings that are more rural (e.g.
Community Commercial 3 District). In each of these settings,when surface parking is
associated with non-residential development,the parking itself is a significant
component of the visible landscape and should embody features consistent with the
nature of the Land Use Character District in which such surface parking is located.
Therefore,surface parking related to non-residential development in Westlake should
embody qualities of layout and landscaping that contribute to implementation of the
Land Use Character District in which such surface parking is located and include the
following:
iv. Layout: Surface Parking areas located in Regional Commercial and Community
Commercial 1 Districts should compliment the more urban character of such
districts by maintaining regular geometries in layout and parallel arrangement
of parking rows. However, in more pastoral areas(e.g.Community Commercial
2 and 3 Districts and certain Town Community Districts in closer proximity to
Dove Road)should employ a curvilinear layout wherein the undulating rows
open up areas of landscaping which further breakdown the normal expanse of
parking.
v. Landscaping:The dominance of landscaping becomes more important as the
surface parking areas are located in more pastoral Land Use Character Districts.
Therefore, surface parking areas located in Community Commercial 2 and 3
Districts and certain Town Community Districts located in close proximity to
Dove Road should provide landscape areas within the parking layout that permit
the drifted clustering of native trees. These landscape areas, in aggregate,for
and single parking layout should permit at least 1, 3.5 in caliper tree (measured
12 in. above the root flair)for every 10 parking spaces and comprise a planting
space no smaller than 20%of the total surface parking lot.
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Res 18-08 Page 55 of 58
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42
Res 18-08 Page 56 of 58
Section 5: Landscaping
Standard 5.1: Design
a. General: Landscape design is essential to establishing the relationship of building to land that
manifest the importance of Westlake's place within its indigenous landscape and its special
features. From the time a landscape design is installed and through its maturity,that design
continues to reflect, in ever more powerful ways,the extent to which the natural form of
Westlake influences and shapes its built form.Therefore, landscape Design is an essential aspect
of enduring quality. The Town of Westlake determines that the following are important
considerations that any landscape design for residential developments and non-residential sites
should embody.
i. Extension of and integration with the indigenous natural fabric: When a development
and/or a non-residential construction displaces a significant amount of natural mosaic, it
is essential that the Landscape design which infills the disturbed area re-knits the
disturbed natural fabric together. To the extent reasonable when accommodating the
new construction, re-knitting the natural mosaic may be accomplished by replacement
of disturbed vegetative communities, use of an indigenous plant palette, preservation
of (and continuation of) natural water courses, preservation of(as well as restoration
of) steep slopes over 20%, and preservation of land mark landforms.
ii. Natural forms over ornamental: When detention and/or retention facilities are
installed, natural water
courses are reconfigured,
� or flood plain is reclaimed,
NC� ' �� �
� J �' the configuration of such
�
� �� �.Yi r��
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� - r �
�``���"���M�, ��!--�,f�� � creating wetlands,or
� � � ���-��` �; creating earthen berms
�� �\ � � J � should be executed in
i ; ,�" �� forms and configurations
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43
Res 18-08 Page 57 of 58
iii. Rural and urban treatments:The great magnitude of entitlement square footage
permitted by the existing zoning of Westlake, means that portions of the Town will be
more Urban while other portions will remain rural. Each of these settings justifies an
appropriate landscape design response. In the more rural portions of the Town
(pastoral District, Community Commercial 2 and 3 Districts, and Town Districts
exclusive of the Town Core) landscape design for residential development and non-
residential projects, bed and plant massing geometries should be more organic, plant
groups more drifted, greater bio-diversity with a dominance of native materials. In
the more urban portions of the Town (The Regional Commercial District,the
Community Commercial 1 District, and the Town Core District) more formally
arranged landscape design with more species dominant installations are permitted.
iv. Tree preservation and native plant community preservation: See tree preservation
ordinance and the tree preservation componentoftheSiteWork
Standard in both the residential and non-residential portions of this document.
Standard 5.2: Residential landscaping:
a. General:The above specified landscape standards for residential use apply to the Residential
Development as well as those specified below as applicable
b. Foundation Planting: Landscape Design for a residential lot should be appropriate to the
architecture of the home. Where foundation landscaping is used, it should be "layered" along
any street facing elevation. Layered means that the foundation landscape edge should be
comprised of at least 3 layers: one upper layer of inedium evergreen shrub approximately 30-36
in. high and 2 layers of shorter shrubs, or 1 shrub and an ornamental grass, planted in beds
having a minimum width of 72 inches. Upper layer shrubs should be 5-gallon container plants
planted 30 in. on center,triangular spacing. Lower layer shrubs should be a minimum 3-gallon
container plants, planted at 24 in. on center,triangular spacing.
c. Floating Beds: Free floating beds in front yard lawn areas of lots that are 30,000 sf. or less are
discouraged.
Standard 5.3: Non-residential landscaping:
a. General: Non-residential landscaping should be approved on a case-by-case basis. However,
non- residential landscaping along any of the Town's arterials should extend the "borrowed"
streetscape established by other non-residential development along that arterial. Borrowed
streetscape is that portion of the site landscaping that extends from the ROW to a point 20 feet
into the property.
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