Carol Carson, Connecticut Office of State Ethics

Transcription

1 Athens Citizen Oath We will never bring disgrace on this our City by an act of dishonesty or cowardice. We will fight for the ideals and Sacred Things of the City both alone and with many. We will revere and obey the City's laws, and will do our best to incite a like reverence and respect in those above us who are prone to annul them or set them at naught. We will strive unceasingly to quicken the public's sense of civic duty. Thus, in all these ways, we will transmit this City not only, not less, but greater and more beautiful than it was transmitted to us.

2 Carol Carson, Connecticut Office of State Ethics When in doubt, don t do it. If you will have to explain and answer questions when the story breaks in the media, don t do it. Ask yourself what you would think if a colleague did the same thing. If you are going to have a hard time telling your mother what you did, don t do it.

3 Florida Clerks of Court and Comptrollers Ethics Tallahassee, Florida Monday, December 1, :45 a.m. to noon 1

4 Ethics Training Statutory requirement 4 50-minute hours per calendar year Must cover Code of Ethics Public records Public meetings Must certify compliance on financial disclosure Not required in a year when officer assumes new office after March 31 2

5 Options for Ethics Training Requirement You may also pursue online training resources. The Commission provides 6 free training modules on its website. The 3 video and 3 audio modules, provide 4 hours and 25 minutes of ethics training. Florida Commission on Ethics, (follow Training hyperlink). The Commission provides links to fee-based training opportunities and states. The Ethics Package provided by the Florida Institute of Government costs $85.00 and satisfies the four hour requirement. The Commission has opined that any knowledgeable person or entity may provide the training, but that the training could not be satisfied by a self-directed learning program consisting of the official s review of materials he or she selects independently. CEO at p. 2. 3

6 What we re not going to focus on Philosophy- moral philosophy Crime bribery, extortion, theft, etc. Local government ethics requirements and training 4

7 Power and strict accountability for its use are the essential constituents of good government. Woodrow Wilson

8 Ethics in Florida Florida has been a leader among the states in establishing ethics standards for public officials and in recognizing the right of the people to protect the public trust against abuse. Our State Constitution was revised in 1968 to require that a code of ethics for public officers and employees be prescribed by law to prohibit conflict between public duty and private interests. 5

9 Sunshine Amendment The Sunshine Amendment, adopted in 1976, provides additional constitutional guarantees concerning ethics in government. For enforcement, the Sunshine Amendment requires that there be an independent commission to investigate complaints concerning breaches of public trust by public officers and employees. 6

10 Code of Ethics The Code of Ethics for Public Officers and Employees is found in Chapter 112, F.S. The main goal is to promote the public interest and maintain the respect of the people for their government The Code ensures that public officials conduct themselves independently and impartially, not using their offices for private gain other than compensation provided by law As a balance, the Code seeks to avoid the creation of unnecessary barriers to public service 7

11 [T]he public interest may be presumed to be what men would choose if they saw clearly, thought rationally, acted disinterestedly and benevolently. Walter Lippmann

12 Commission on Ethics In 1974, the Legislature created the Commission on Ethics to serve as guardian of the standards of conduct for state and local public officials. 8

13 Contrariwise... if it was, it might be; and if it were so, it would be: but as it isn t, it ain t. That s logic. Tweedledee

14 Prohibitions and Reporting Florida's ethics laws contain two types of provisions: Those prohibiting certain actions or conduct Those requiring that certain disclosures be made to the public 9

15 Chief Justice Earl Warren In civilized life, law floats in a sea of ethics. Each is indispensable to civilization. Without law, we should be at the mercy of the least scrupulous. Without ethics, law could not exist.

16 Misuse of Public Position Public administrators should be held to a higher standard than others. s (6), F.S. 10

17 Government is a trust, and the officers of the government are trustees; and both the trust and the trustees are created for the benefit of the people. Henry Clay Madam, I may be President of the United States, but my private life is nobody s damn business. Chester A. Arthur

18 Misuse of Public Position A higher standard of ethics does not imply a different standard of morality. Instead, it means more scrupulous adherence to accepted standards. On the whole, administrators and citizens share the same fundamental ethical values and perspectives 11

19 Misuse of Public Position No public officer... Shall corruptly use or attempt to use his or her official position or any property or resource which may be within his or her trust, or perform his or her official duties, to secure a special privilege, benefit, or exemption for himself, herself, or others s (6), F.S. 12

20 Chieftains must develop empathy an appreciation for and an understanding of the values of others, a sensitivity for other cultures, beliefs and traditions. Attila the Hun

21 Misuse of Public Position More than just bad behavior corruptly engaging in conduct inconsistent with the proper performance of your duties; knowing that the conduct is wrong; and intending to gain a personal privilege, benefit, or exemption. 13

22 Inside Information Current and former officers and employees Personal gain or benefit Information not available to the public and gained by reason of your official position Statutory exemptions are provided for: Information relating exclusively to governmental practices Use of general expertise or skill s (8), F.S. 14

23 If men were angels, no government would be necessary. If angels were to govern men, neither external nor internal controls would be necessary. In forming a government which is to be administered by men over men, the great difficulty lies in this: you must first enable the government to control the governed; and in the next place oblige it to control itself. James Madison

24 Public Records Anything, in any format, that is intended to PERPETUATE, COMMUNICATE, or FORMALIZE knowledge Even if it is not in "final form" 15

25 Public Records Exemptions The requestor may not be asked for purpose or identification, may not be refused because the request is overbroad, and does not have to make the request in writing Federal law 16

26 Public Records Every person who has custody of a public record shall permit the record to be inspected and copied by any person desiring to do so, at any reasonable time, under reasonable conditions, and under supervision by the custodian of public records or the custodian s designee. s (1)(a), F.S. 17

27 Public Records Retention Department of State Frequently Asked Questions: Department Webinar Training: Telephone: Tim Few Roger Sockman

28 Public Records Not a revenue-raising activity Service charge when volume of records requires extensive IT resources, or extensive clerical or supervisory assistance s (4)(d), F.S. If no fee is set elsewhere you may charge a fee of up to 15 cents per one-sided copy for copies that are 14 inches by 8 ½ inches or less. You may charge no more than an additional 5 cents for each two-sided duplicated copy. s (4)(a)1., F.S. 19

29 Public Records Denial of right to access may result in a civil action, including the requestors costs and attorneys fees s , F.S. Knowing violation can subject you to suspension and removal or impeachment s , F.S. Willful, knowing violation is a 1 st degree misdemeanor (up to1 year in jail and a $1,000 fine) 20

30 Post-Employment Restrictions No fewer than 7 constitutional and statutory provisions exist that limit the ability of public officials and high-level staff from representing entities after they leave public office or employment. 21

31 Post-Employment Restrictions Local elected officials may not personally represent another person or entity for compensation before the government body or agency of which the person was an officer for a period of 2 years after vacating that office. s (14), F.S. 22

32 Public Employee Compensation Government officers and employees severance pay is limited to 20 weeks of compensation. Severance is prohibited after termination for misconduct. Any policy, ordinance, rule, or resolution implementing a bonus scheme must: base the award of the bonus on work performance, describe the performance standards and evaluation process for the bonus, notify all employees before the beginning of the evaluation period, and consider all employees for the bonus. s , F.S. 23

33 Dual public employment Prohibits dual public employment of an elected state or local official if it is offered to influence the official. OK if hiring is arm s length (my term) s , F.S. 24

34 Doing business with your own agency As a public officer acting in your official capacity, you may not (directly or indirectly) purchase, rent, or lease any realty, goods, or services for your agency from any business entity of which you, your spouse, or your child is an officer, partner, director, or proprietor or in which you, your spouse or your child has a material interest. You may not, acting in a private capacity, rent, lease, or sell any realty, goods, or services to your political subdivision or any agency thereof... s (3), F.S. 25

35 Conflicting employment or contractual relationship You may not have any employment or contractual relationship: with a business entity that is subject to the regulation of, or is doing business with, your agency that will create a continuing or frequently recurring conflict between your private interests and the performance of your public duties or that would impede the full and faithful discharge of your public duties. s (7)(a), F.S. 26

36 Double check what you re sure you know Let s use relatives as an example 27

37 RELATIVES Voting Conflicts Voting conflicts. (1)(c) Relative means any father, mother, son, daughter, husband, wife, brother, sister, father-in-law, mother-in-law, son-inlaw, or daughter-in-law. TWELVE 28

38 RELATIVES Nepotism Restriction on employment of relatives. (1)(d) Relative, for purposes of this section only, with respect to a public official, means an individual who is related to the public official as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, mother-inlaw, son-in-law, daughter-in-law, brother-in-law, sisterin-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, or half sister. TWENTY-SEVEN 29

39 RELATIVES Gift Ban Definitions. (21 Relative, unless otherwise specified in this part, means an individual who is related to a public officer or employee as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, half sister, grandparent, great grandparent, grandchild, great grandchild, step grandparent, step great grandparent, step grandchild, step great grandchild, person who is engaged to be married to the public officer or employee or who otherwise holds himself or herself out as or is generally known as the person whom the public officer or employee intends to marry or with whom the public officer or employee intends to form a household, or any other natural person having the same legal residence as the public officer or employee. THIRTY-SEVEN 30

40 Judges and officers... Thou shalt not wrest judgment; thou shalt not respect persons, neither take a gift: for a gift doth blind the eyes of the wise, and pervert the words of the righteous. Deuteronomy 16:18-19

41 Gifts If you didn't pay for it, it may be a gift. Anything of value not primarily related to contributions, expenditures, or other political activities authorized under Chapter 106, F.S. Anything you get, for which you do not give equal or greater consideration within 90 days. 31

42 Gifts Anyone who files an annual financial disclosure is prohibited from soliciting any gift from a political committee, a vendor, or a lobbyist (including the partner, firm or principal of a lobbyist) if it would benefit the person or their immediate family. 32

43 Gifts RIPEs Reporting Individual is a public officer or employee who files financial disclosure Procurement Employee is a state executive or judicial branch employee who participates in the procurement of contractual services or commodities where the cost exceeds $10,000 per fiscal year 33

44 Gifts You may not accept a gift worth over $100 from a vendor, political committee or lobbyist (including the lobbyist s. partner, firm, employer, or principal). What s the value of a gift? Generally, cost minus tax and gratuities. Lodging is $44 a night (state rate). Transportation is valued as comparable commercial conveyance. Tickets are face value (daily or per event, whichever is greater). What do I have to report (quarterly)? Gifts worth over $100 from anyone except relatives as defined by law (gifts from them are exempt) 34

45 Gifts The primary gift law is found at s , F.S., but you must also be aware of s (2) and (4), F.S. Anything of value given in exchange for your action or to influence you (quid pro quo) is prohibited by s (2), F.S. Compensation or anything of value given to influence your action is prohibited by s (4), F.S. 35

46 Gifts Lobbyist means anyone who, for compensation, is seeking or has sought in the last 12 months to influence the governmental decisions of a RIPE or a RIPE s agency. Gift can be direct or indirect - intended to benefit you or ultimately received by you. Beginning in 2013, you and your parents, spouses, children, and siblings are prohibited from accepting any gift from a political committee. s , F.S. 36

47 Gifts you can take Gifts from the 37 types of relatives included in the statutory definition Gifts on behalf of a governmental entity or charitable organization Gifts from persons who are not lobbyists, principals, vendors, but you must report any valued over $100 Gifts from government organizations and DSOs, but you must report any valued over $100 37

48 Gifts Form 9 Quarterly Gift Disclosure (Gifts Over $100) Form 10 Annual Disclosure of Gifts From Governmental Entities and Direct Support Organizations and Honorarium Event Related Expenses You are not required to file these forms for any period (quarter or year) during which you did not receive a reportable gift Form 30 Donor s Quarterly Gift Disclosure (filed by lobbyists, vendors, political committees) 38

49 Honoraria An honorarium is a payment, directly or indirectly, to a RIPE, or any other person on his or her behalf, as consideration for an oral presentation or a writing other than a book, that is intended to be published s , F.S. An honorarium event is a meeting or function, or a series of related meetings or functions such as a convention held over several days, where the RIPE has been invited to make a speech, address, oration, or other oral presentation Rule , F.A.C. 39

50 Honoraria You may not solicit an honoraria related to your public office or duties You may not accept an honoraria from political committees, vendors, or lobbyists (and their principals, employer, partner, or firm) You may accept actual and reasonable expenses for transportation, lodging, food and beverage, and registration fees related to an honorarium event (unless otherwise prohibited) Annually, you must disclose honorarium event related expenses paid by lobbyists 40

51 If a man can't put his arms around his sons and help them, then what's the world coming to? Richard F. Daley

52 Nepotism Applies if you are vested with authority by law, rule, or regulation (or through delegation) to appoint, employ, promote, advance, or recommend individuals s , F.S. 41

53 Nepotism Appointment, promotion, employment, advancement of a relative includes just recommending includes authority as a member of a collegial body NOT working together or supervising each other grandfathered relatives (not a pun) You can fire but not hire the law does not prevent stationing, evaluating, transferring, or suspending a relative s , F.S. 42

54 As George Washington, I would do anything in my power for you. As President, I can do nothing. George Washington (refusing to help a job-seeking friend)

55 Dual Officeholding Art. II, sec. 5(a): No person shall hold at the same time more than one office... This applies to both elected and appointed offices. 43

56 Hostile Work Environment Misuse of public position No public officer, employee of an agency, or local government attorney shall corruptly use or attempt to use his or her official position or any property or resource which may be within his or her trust, or perform his or her official duties, to secure a special privilege, benefit, or exemption for himself, herself, or others. s (6), F.S. 44

57 Values are like fingerprints. Nobody's are the same, but you leave 'em all over everything you do. Elvis Presley

58 Reporting Requirements/Forms Financial disclosure of certain assets, liabilities and sources of income. It is not the same as a financial statement It is a snap shot of the person s financial situation as of a certain date, usually December 31 st The Commission on Ethics has the responsibility of compiling a list of persons at both the state and local levels required to file financial disclosure annually 45

59 Form 6 Full and Public Disclosure of Financial Interests Net worth as of preceding year or a more current date All assets valued at over $1,000 All liabilities in excess of $1,000 including joint and several liabilities Common mistakes: Failure to provide addresses Failure to accurately list assets or liabilities Not reading instructions Failing to have signature notarized Income (filer has option to include prior year s tax return or file a sworn statement identifying each separate source of primary and secondary income that exceeds $1,000) Interests in specified businesses Form must be signed and notarized 46

60 Form 6X and Form 6F Form 6X is used to amend a previously filed Form 6 Part F on Form 6 is used to explain the changes in your original Form 6 Final Form 6F is to be filed within 60 days after a public officer leaves office Form 6F - the disclosure period between January 1 and the last day of office or employment within that year 47

61 Financial Disclosure Deadline Form 6 is due by July 1 After July 1, there is a grace period until September 1 (avoids fines) Candidates file at the time of qualifying with the qualifying officer Your new employees who are subject to file Form 1 file must do so within 30 days of beginning employment 48

62 Qualified blind trusts If a public officer creates a trust and does not control the interests held by the trust, his or her official actions will not be influenced or appear to be influenced by private considerations.... he or she does not have a conflict of interest... or a voting conflict of interest... with regard to matters pertaining to that interest.... The public officer may not attempt to influence or exercise any control over decisions regarding the management of assets in a qualified blind trust. s ,F.S., new in

63 A long habit of not thinking a thing wrong, gives it a superficial appearance of being right, and raises at first a formidable outcry in defense of custom. Thomas Paine

64 Open Meetings Florida's Sunshine Law gives citizens the right of access to both state and local government proceedings. It has been applied to any gathering of two or more members of the same board where they discuss some matter that foreseeably will come before their board for action. 50

65 Open meetings Meetings of public boards and commissions must be open to the public Notice of such meetings must be given and must be reasonable Minutes must be taken, promptly recorded, and open to public inspection 51

66 Open meetings The law may apply to advisory boards even when they only make non-binding recommendations Staff meetings are usually not covered Staff committees may be covered if they are deemed to be part of the decision making process rather than performing traditional staff roles of gathering and organizing information For example, a committee composed of staff could be given the authority to screen and reject applicants from further consideration 52

67 Open meetings Board members may not use electronic communications to carry on private discussions about board business.this includes , text messages, Facebook, the telephone, etc. A board member is allowed to send a one-way communication to other board members as long as the communication is kept as a public record and no response is made except at an open public meeting. Any one-way communication should be distributed by the board office so it can be preserved as a public record and to ensure that any response to the communication is made only at a public meeting. 53

68 Open meetings Board members can not use staff as go-betweens to conduct indirect discussions or poll other members. Written ballots may be used to cast votes only if the votes are made openly at a public meeting, the name of the person voting and his or her selection are written on the ballot, and the ballots are maintained and available for public inspection. Boards may adopt reasonable rules to ensure the orderly conduct of meetings, But they may not to ban nondisruptive videotaping, tape recording, or photography at public meetings. 54

69 Open meetings Board meetings should be held in buildings that are open to the public and accessible (not be held in private homes). Open to the public means open to all persons who choose to attend. Effective October 1, 2013, subject to certain exceptions, boards must provide people in attendance a reasonable opportunity to be heard on propositions before the board. s , F.S. 55

70 Open meetings - penalties A knowing violation is a misdemeanor of the second degree. Unintentional violation may be prosecuted as a noncriminal infraction resulting in a civil penalty up to $500. No resolution, rule, regulation or formal action shall be considered binding except as taken or made at an open meeting and is void ab initio. If, at a later public meeting, the board takes an independent final action (not perfunctory or ceremonious) to ratify or accept a decision previously made at a secret meeting, the board s decision may stand. 56

71 Voting conflicts No... public officer shall vote in an official capacity upon any measure which would inure to his or her special private gain or loss... You also can t vote if you know the measure would inure to the special private gain or loss of: a principal by whom you are retained the parent organization or subsidiary of a corporate principal by whom you are retained a relative a business associate Such public officer shall, prior to the vote being taken, publicly state... the nature of the officer s interest in the matter... and, within 15 days after the vote occurs, disclose the nature of his or her interest as a public record... s , F.S. 57

72 Voting Conflicts Special private gain or loss Must be economic Then consider: What is the size of the affected class? Is the gain or loss remote or speculative? Is this merely a preliminary measure? 58

73 Voting Conflicts Local elected officers: Must abstain. Must orally disclose the conflict prior to the vote. Must file a Form 8B within 15 days. Exceptions: Your principal is your public agency. The measure affects your compensation as provide by law. A member of a local government board may abstain if there is a conflict of interest under local standards of conduct more stringent than the Code of Ethics. 59

74 Article II, Section 5, Florida Constitution I do solemnly swear (or affirm) that I will support, protect, and defend the Constitution and Government of the United States and of the State of Florida; that I am duly qualified to hold office under the Constitution of the state; and that I will well and faithfully perform the duties of (title of office) on which I am now about to enter. So help me God. 60

75 Whenever you are to do a thing, though it can never be known but to yourself, ask yourself how you would act were all the world looking at you, and act accordingly. Thomas Jefferson

76 Resource Materials Relevant constitutional, statutory, and administrative rules Selected Commission on Ethics Forms List of county disclosure coordinators Department of State Records Schedule for Clerks of Court 2012 Annual Report of the Commission on Ethics 61

77 Books as General Resources (1) Political Ethics and Public Office Dennis F. Thompson Personal responsibility stands against the pressures of organizational life Representation and Responsibility Bruce Jennings and Daniel Callahan, ed. Expectations about the transfer of authority The Ethics Challenge in Public Service: A Problem-Solving Guide Carol W. Lewis Practical tools and techniques for making ethical choices The Shadowlands of Conduct Beth A. Rosenson How and why state legislators pass ethics laws to regulate their own conduct Drawing the Line: Legislative Ethics in the States Alan Rosenthal Applies ethical principals to the issues state legislators face 62

78 Books as General Resources (2) A Vietnam Experience: Ten Years of Reflection Vice Admiral James B. Stockdale The Capabilities and limitations of the human spirit Moral Courage Rushworth M. Kidder the quality of mind and spirit that enables one to face up to ethical challenges firmly and confidently Justice: What s the Right Thing To Do? Michael J. Sandel More policy ethics than process ethics Ethics Wisdom: What Makes Us Good Mark Matousek Ethics in contemporary life, combined with recent research findings 63

79 Books as General Resources (3) Scandal Proof: Do Ethics Laws make Government Ethical? G Calvin Mackenzie Ethics at the federal level, beginning with JFK s Executive Order The Pursuit of Absolute Integrity: How Corruption Control Makes Government Ineffective Frank Anechiarico and James B. Jacobs Cycles of corruption and reform have led to expansive definitions of corruption and ambitious anticorruption agendas Conflict of Interest In American Public Life Andrew Stark Broad rules have replaced case-by-case considerations The Appearance of Impropriety: How the Ethics Wars Have Undermined American Government, Business, and Society Peter W. Morgan and Glenn H. Reynolds Legitimate ethical concerns in government and business have turned into absurd standards 64

80 Where government is based on the consent of the governed, every citizen is entitled to have complete confidence in the integrity of his government. Each individual officer, employee, or adviser of government must help to earn and must honor that trust by his own integrity and conduct in all official actions. Executive Order (5/8/65): Prescribing Standards of Ethical Conduct for Government Officers and Employees Lyndon B. Johnson

81 The end Grub first, then ethics. Bertold Brecht