DEPARTMENT OF ECONOMIC

OPPORTUNITY (DEO)

CODE OF

ETHICS

DEO Chief Ethics Officer = General

Counsel

Ethics Guidelines & Legal

Resources

• Florida Constitution

• Chapter 112, F.S. (Statutory Code)

• Executive Order 11-03 (Jan. 4, 2011)

Governor Scott

• DEO Policies 1.03, 1.05 and 1.07

(DEO Codes)

GOVERNING PRINCIPLES

• Stewards of the Public

Trust

• No compensation other

than normal salary

• Avoidance of conflict of

interests

• Avoidance of appearance

of impropriety

THE BOTTOM LINE

MAINTAIN THE

INTEGRITY OF THE

GOVERNMENT

Points to Take Away

from Ethics Training

• High ethical standards are required of

Department employees.

• Avoid even the appearance of impropriety.

• Be cautious in dealings with vendors or

lobbyists.

• When in doubt, don’t (or, at least, ask first)!

• A “zero tolerance” personal policy on gifts

arising from or related to performance of

duties.

GIFTS

WHAT IS A GIFT?

Anything of value! Some examples:

Property (or the use thereof)

Flowers and plants

Food or beverage

Preferential rates

Tickets to events

What is not a Gift?

An award, plaque, certificate, or

personalized item with no commercial

value given in recognition of one’s

public service

Solicitation and

Acceptance of Gifts

You may not ask for or accept

anything of value (including a gift,

loan, or promise of future

employment) based on an

understanding that it will influence

your actions or judgment at your job.

Gifts (continued)

You, your spouse, or your minor child may not accept anything of value when you know, or should know, that it’s being given to influence an action in which you are expected to participate at your job.

Statutory Code - The Gift Law for

“Reporting Individuals”

(Those required to file annual financial disclosure Form 1 or Form 6)

Generally, Reporting Individuals are prohibited from accepting:

• Anything from someone who is (or you believe may be) a lobbyist* or his/her principal (the person, firm, or corporation which employed or retained him/her).

*a person registered as an Executive Branch lobbyist or who is paid to lobby

an Executive Branch agency. Check www.leg.state.fl.us to determine if

person/entity is lobbyist/principal (LPL).

OR

• A gift valued at over $100 from a non-registered lobbyist** or his/her partner, firm, or principal.

**a person who, during the last 12 months, sought to influence governmental decision making by the reporting individual or his/her agency, whether

registered or not

Statutory Code - The Gift Law for

“Procurement Employees”

(broadly defined in Section 112.3148(2)(e) as anyone who participates in the

purchasing process for purchases exceeding $1,000 annually)

Procurement Employees are prohibited from accepting a gift valued at over $100 from a

lobbyist* or his/her partner, firm, or principal.

*a person who, during the last 12 months, sought to influence governmental decision making

by the procurement employee or his/her agency, whether registered or not.

Statutory Code: More Gift Standards for

Reporting Individuals and Procurement

Employees (RIPEs)

Do not SOLICIT any gift from a political

committee, lobbyist*, or the partner, firm, or

principal of a lobbyist.

*For this prohibition, a lobbyist is any person who, for compensation, seeks or sought within 12 months to influence the governmental decision making of you or your agency. A principal means the person, firm, corporation, or other entity which has employed or retained the lobbyist.

Department Code’s Additional

Directives on Gifts:

• Employees may not solicit any gift, regardless of value, if the gift is for personal benefit of themselves, their family, or another employee

• Employees may not accept anything of value from a lobbyist or lobbyist’s principal (LPL).

So, generally:

1. NO EMPLOYEE, REGARDLESS OF WHETHER HE OR SHE IS A "REPORTING INDIVIDUAL" OR A "PROCUREMENT EMPLOYEE," MAY SOLICIT ANY GIFT, REGARDLESS OF ITS VALUE, IF THE GIFT IS FOR THE PERSONAL BENEFIT OF HIMSELF OR HERSELF, HIS OR HER FAMILY, OR ANOTHER EMPLOYEE.

2. NO EMPLOYEE, REGARDLESS OF WHETHER HE OR SHE IS A "REPORTING INDIVIDUAL" OR A "PROCUREMENT EMPLOYEE," MAY ACCEPT ANY THING OF ANY VALUE FROM A LOBBYIST OR A LOBBYIST'S PRINCIPAL, REGARDLESS OF WHETHER THE THING IS BEING OFFERED OR GIVEN FOR THE PURPOSE OF LOBBYING.

3. NO EMPLOYEE, REGARDLESS OF WHETHER HE OR SHE IS A "REPORTING INDIVIDUAL" OR A "PROCUREMENT EMPLOYEE" MAY ACCEPT ANY GIFT FROM A NON-LOBBYIST.

DEO Code Exceptions

Employees may accept these gifts:

• Gifts (regardless of value) from relatives (unless relative is LPL).

• Gifts received (regardless of value) from friends in ordinary course of friendship (unless friend is LPL, or a person having special monetary interest in a pending matter before a state agency or EOG, or provides goods/services to the State under contract, or is seeking such business from the State).

• On-site consumption of food & drink at receptions/similar events if attendance is appropriate exercise of official duties, unless provided by LPL …. (it gets tricky! – also, still can’t exceed statutory $100 limit).

• Gifts made to the DEO/State (not to you personally) if ethics officer approves first.

• Gifts (regardless of value) involving volunteer campaign-related travel, lodging, and/or food expenses if ethics officer approves.

• Gifts (regardless of value) accepted on behalf of a governmental entity or charitable organization, or for which public purpose can be shown, if ethics officer approves.

DEO Code Prerequisites to

Acceptance

1. Is the gift being given by a LPL? If yes, may not accept it (regardless of value).

2. Is it being given to influence your action? If yes, may not accept it.

3. Do you know or reasonably should know gift is given to influence your action? If yes, may not accept it.

4. Does the gift meet one of the exceptions? If no, may not accept it.

• A gift that cannot be received directly cannot be received indirectly.

• Avoid the appearance of impropriety – if you question the propriety of accepting the gift, it probably is a good indication that the gift should not be accepted.

• It is your responsibility to determine if the gift is from LPL: www.leg.state.fl.us (look for Executive Branch lobbyists and principals).

• No gift or expenditure exists if you reimburse the donor for the cost of the item. Reimbursement must be contemporaneous with or precede the receipt of the item.

Example – National Conference

As a part of your official duties, you are

attending a conference in Montana jointly

sponsored by the State of Montana and

Gazzooks, Inc. (a private anti-fraud

contractor in the Northwest U.S.).

Gazzooks, Inc. is paying for the conference’s

kickoff dinner at a local steakhouse. Can

you eat at Gazzooks’ expense?

Conference Steak Dinner -- Solution:

You check the executive lobbyist website and determine that Gazzooks does not employ a lobbyist in Florida.

You may accept under the gift exception that allows acceptance of food and drink at a reception or similar event where your attendance is an appropriate exercise of your duties.

Eat and enjoy! (Reminder: If LPL, cannot accept the food/drink unless you make contemporaneous payment.)

Conference Steak Dinner -- Follow-up:

After the Montana Conference, a representative from Gazzooks, Inc. comes to the Caldwell Building to see about doing business with the Agency.

The representative invites

you out to lunch.

Should you accept the invitation? Can the representative pay for your meal?

Vendor Lunch -- Solution:

Should you accept the invitation? The Ethics

Policy does not specifically address this

situation. However, remember one of the

guiding principles is the avoidance of even

the appearance of impropriety. Best not to

go!

Can the representative pay for your meal? No

HONORARIUM

DEFINITION:

Money or anything of value as payment

to an employee for an oral

presentation or a written document

(other than a book) related to the

employee’s employment/duties

Honorarium

Statutory Code: RIPEs may not:

• Solicit an honorarium related to their public duties.

• Knowingly accept an honorarium from a lobbyist or from the lobbyist’s principal, partner, or firm.

DEO Code: Employees may not:

• Solicit or accept honoraria or anything of monetary value for speaking appearances or articles written.

DEO Code: Employees may:

• Receive payment for honorarium event related expenses if prior approval is obtained from chief ethics officer.

• Receive awards, plaques, certificates or similar personalized items if prior approval is obtained from chief ethics officer.

AVOIDANCE OF CONFLICTS OF INTERESTS

The Ethics Policy addresses this principle in the following areas:

1. Misuse of Public Position

2. Disclosure of Information

3. Employment and Business Relations

4. Post-employment Restrictions

5. Financial Disclosures

6. Department Policies 1.03 and 1.07: Political Activities

Misuse of Public Position

May not use or attempt to use your public

position, property, or resources to obtain

a special privilege or benefit for yourself

or others.

Disclosure of Information

May not use or disclose information not

available to the general public and which

you gained from your employment for your

personal benefit or the benefit of others.

Doing Business with DEO

• May not purchase, rent or lease realty, goods, or services for DEO from a business of which you, your spouse or your child is an officer, partner, director, or owner or in which you, your spouse or child has more than a 5% ownership interest.

• May not rent, lease, or sell any realty, goods or services to DEO from your business.

CONFLICTS OF INTEREST

May not hold any employment or contract:

• with a business or agency regulated by or doing

business with DEO,

• which will pose a conflict between your private

interests and your public duties, or

• which will impede the full and faithful discharge of

your public duties.

SERVICE ON BOARDS

• DEO employees may serve on boards or

commissions of governmental entities subject to the

approval of the General Counsel.

• DEO employees may not serve as an officer or

director of any non-governmental corporation,

company, partnership or other entity, whether

private or public, or for profit or not for profit unless

such service falls within specified exceptions and is

approved by the General Counsel. See next page for

exceptions.

Exceptions

to

Service on Boards Restrictions

With approval of the General Counsel:

1. Service may be allowed if the entity does not seek

funding from or do business the State and is closely

held or family owned or operated.

2. If the entity receives funding from the State, the

employee may serve if:

a) Serving is directly related to the employee’s

employment, or

b) The employee was requested to serve by the

Office of Governor or the Executive Director, or

Exceptions to Board Service Restrictions Cont’d

c) The employee is required to serve by statute,

rule, executive order, or other applicable law.

Voluntary, pro bono services on behalf of non-

profit organization may be permitted if services

to such organizations do not create a conflict or

impair the employee’s ability to effectively

perform his or her job duties for the State.

Post-Employment Restrictions

• May not take a job with a business in connection with any contract in which you participated personally and substantially (while a state employee) through decision, approval or disapproval, rendering of advice, or recommendation.

• For two years after leaving, may not take a job with a business in connection with a contract that was within your responsibility as a state employee.

• SMS/SES employees may not personally represent a person/entity for compensation before the Department for two years after leaving the Department (unless employed with another state agency)

Restrictions on Hiring Relatives*

(Nepotism)

May not appoint, employ, promote, or advance your relatives and may not recommend that your relatives be appointed, employed, promoted, or advanced.

*Your 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, or half sister.

Relatives who are lobbyists

• Employees whose immediate relatives

are lobbyists will, at least quarterly,

disclose to the chief ethics officer the

names of all clients of such lobbyists.

These employees will not participate in

any matter that would inure to their

relative’s special gain or loss, and will

recuse themselves from discussions,

meetings/etc. involving clients of their

immediate relatives.

Financial Disclosure Requirements

Some State employees (reporting individuals) are required to file with the Florida Ethics Commission a Form 1 Statement of Financial Interests within 30 days of employment, annually thereafter (by July 1st), and within 60 days of leaving employment. This disclosure provides assurance to the public that employees’ decisions were made impartially and without thought of personal gain.

Financial Disclosure Requirements

(continued) Gifts

Reporting individuals and procurement employees are required to file Form 9, Quarterly Gift Disclosure, to list permissible gifts worth more than $100 given to them by anyone except relatives.

Honoraria-event related expenses

Reporting individuals and procurement employees must disclose acceptable honorarium-event related expenses given to them by lobbyists of their agencies on a Form 10, an annual form. Gifts from governmental entities and direct support organizations also are reported on this form.

All forms are available at www.ethics.state.fl.us.

Travel in Private Aircraft

• Employees are prohibited from

traveling in a private aircraft unless

they obtain prior authorization from the

Executive Office of the Governor

through the DEO’s Chief Ethics Officer.

DUAL EMPLOYMENT

• No employee may have any on-going dual

employment or dual compensation without

prior approval from the chief ethics officer.

Dual employment or dual compensation is

being employed or compensated by more

than one state agency or holding more than

one state job. An employee must complete a

Dual Employment and Compensation

Request form, and obtain agency approval

prior to engaging in any secondary

employment with another state agency.

POLITICAL ACTIVITIES • Political campaign activity and participation may not be done while on duty as a state employee, via the use of state resources, or within the offices of the Department.

• You may take an active part in political campaigns outside of working hours.

• You may have political campaign bumper stickers on your car(s).

• You are encouraged to vote.

POLITICAL ACTIVITIES Federal Hatch Act: If principally employed in connection with programs financed in whole or in part by Federal grants, then employee cannot be a candidate for political office in a partisan election.

You must seek DEO approval before engaging in political fundraising activities or prior to announcing or qualifying for any elected office/position.

Procedures: Department Policies 1.03 and 1.07 and Rule 60L-36.002, F. A. C.

Ethics Code Violations

• Violations of this policy and the statutory Code of Ethics can form a basis for disciplinary action against DEO employees.

EXEMPTIONS

• There may be unique and/or

compelling circumstances

warranting exceptions to and/or

waivers from these requirements in

certain individual cases. In those

instances, prior approval of the

Chief Ethics Officer is required.

Advisory Opinions

When in doubt, ask!

You may request an opinion about how the Statutory Code of Ethics applies to your specific situation. The person having the power to hire or fire you also may seek an opinion from the Commission on Ethics about how the Code might apply to you.

Contact the Ethics Commission at

850/488-7864 (phone)

850/488-3077 (fax)

Contact information is also available at www.ethics.state.fl.us

COMPLAINTS

You may contact the DEO General Counsel to report violations or obtain more detailed information on any of the topics addressed in this presentation.

ETHICS CONCLUSION

It’s easier to stay out of trouble than it

is to get out of trouble once you are

already in trouble.

BE ETHICAL! Again, contact the DEO General

Counsel if you have questions

about the Ethics Policy or ethics law.

Training Confirmation

Please complete the training

confirmation form.