Ethics with Case StudiesLinda Bond Edwards

June 26, 2019

Prepared by Linda Bond Edwards © 2016 Rumberger, Kirk & Caldwell, P.A.

Goals of the Code of Ethics

• Protect and secure the over-arching goals of fairness, impartiality, and transparency of the government

• Promote Public confidence in public employees and the government as a whole

Florida Commission on Ethics

Nine members

Balanced politically

Primarily administer Article II, Section 8, Florida Constitution, and Part III, Chapter 112, Florida Statutes

Persons Subject to Standards Administered by Commission

Public officers

Public employees

Local government attorneys

[Candidates]

Miscellaneous others

What the Commission Does

Provide Guidance

– Formal advisory opinion approved by entire

Commission

– Informal guidance provided by phone and letter

Investigate Ethics Complaints

Administer Financial Disclosure

Complaints!

May be filed by ANYONE!

Must be sworn and on a CE Form 50

Are confidential until a certain stage

Cannot be initiated by Commission*

Financial Disclosure

WHY?!

• Reminds public officials of financial interests that may conflict with their duties

• Citizens can monitor potential conflicts• Deters officials from actions that might cause a conflict• Instills public confidence in government

Financial Disclosure: Form 6

A Form 6 must be filed annually by Clerks of the Circuit Court

Contains information on net worth, assets, liabilities, and sources of income.

Due on July 1, with grace period until September 1.

Frequently Asked Disclosure Questions

Where do I file my Form 6? – If you are serving as a public officer, file with the

Commission on EthicsIs there any way to protect personal information included on the Form?

– Certain public officers can submit a written request to have information redacted based on their past or current position

May I email or fax in my form?– No, at the current time, you must submit by hand

delivery or through the mail

• Form 1 Filers • Form 6 Filers

How Do I Fix A Mistake or Omission?

• Form 1 Filers • Form 6 Filers

What If I Leave Public Office/Employment?

GIFTS, BRIBES & UNAUTHORIZED COMPENSATION!

Section 112.313(2), F.S.

No Bribes!

Prohibits asking for or accepting anything of value to the recipient based on an understanding that it will influence

your vote, official action, or judgment.

Involves a quid-pro-quo. Basically prohibits bribery.

112.313(4), F.S.Seriously, no bribes!

Prohibits an official, his spouse, or his minor child from accepting anything of value when the official knows, or under the circumstances should know, that it was given

to influence a vote or other official action.

THE Gifts Law: Section 112.3148, F.S.

Applies to Reporting Individuals of the Clerk of Court

X Solicit gifts from lobbyists, principal and vendorsX Accept gifts worth more than $100 from lobbyists,

and vendorsMust report gifts worth more than $100 received from others May accept gifts of any value from relatives!

What is a “Gift”?

Anything that you get, for which you did not give equal

or greater consideration . . . within 90 days.

Section 112.312(12)(a), F.S.“Gifts” May Include:

• Tangible or intangible personal property.

• Food or beverages • Transportation• Lodging • attributable value

• Flowers and floral arrangements

• Entrance fees and tickets

• Preferential rates• Membership dues • Any other similar service

or thing having an

“Gifts” Do Not IncludeSection 112.312(12)(b), F.S.

Salary associated with private employment

Campaign contributions

Awards in recognition of service

Gifts from “government officer or employee” organizations

Who Are “Lobbyists” and “Vendors”?

“Lobbyist”: Anyone who, for compensation, is seeking or

has sought in the last 12 months to influence the

governmental decisions of a RIPE or his or her agency.

Sec. 112.3148(2)(b), F.S.

“Vendor”: A business entity doing business directly with

an agency, such as renting, leasing, or selling any realty,

goods, or services. Sec. 112.3148(2)(f).

Anti-solicitation: Section 112.3148(3), F.S.A reporting individual cannot solicit a gift, regardless of value, from a “lobbyist” who lobbies his agency, a “vendor,” or certain others or from persons or entities connected to such donors, if the gift is for the personal benefit of the RIPE, another RIPE, or immediate family of either.

Exception for Charitable Solicitations—CEO 91-52 (bird sanctuary donations), and CEO 95-25 (community college donations).

Prohibition of Acceptance: Section 112.3148(4), F.S. A reporting individual cannot accept, directly or indirectly, a gift from a lobbyist, a vendor, or certain others, valued at over $100.

– Reporting an impermissible gift will not cure its unacceptability.

– See also Section 1001.421 – District Board members or their relatives may not accept gifts of over $50 from vendors doing business with school district.

Gifts from Relatives & Friends112.3148(1), F.S.

Section 112.3148(1) – Gifts from “relatives” of any amount can be accepted

– No reporting requirement

Section 112.3148(8)(a)—Gifts from friends in community of any amount can be accepted

– Have to report if over $100 on a Form 9– See also CEO 16-1

Form 10-Gifts from a School Board

Gifts (of any value) from certain governmental entities, including school boards, made to a reporting individual, pursuant to a public purpose may be accepted.

If the value of the gift exceeds $100, must be reported on a Form 10.

– See Section 112.3148(6)(a)-(b).

Honoraria Law Section 112.3149, F.S.

Applies to reporting individuals. Implicated when you are asked to give a talk. Like 112.3148, F.S., identifies “lobbyists,” “vendors,” “political committees,” and certain others.Unlike 112.3148, F.S., has no $ threshold.“Honorarium” means a payment of money or other value for an oral presentation or writing.

Honoraria Law: Section 112.3149, F.S

RIPEs cannot solicit, from anyone, an honorarium related to their public duties.

AND RIPEs cannot accept an honorarium from a lobbyist, principal/partner/firm of a lobbyist, political committee, or vendor.

The Honoraria Law Does Allow:

The acceptance of actual and reasonable honorarium event related expenses including:

– Transportation – Lodging – Food & Beverages – Registration fees

-For self and spouse

Conflicting Business & Employment Relationships

Sections 112.313(3) & (7), F.S.

Conflicting Employment & Contractual Relationships Part I: Section 112.313(7)(a), F.S.

Cannot work for or have a contractual relationship with an entity regulated by, or doing business with, your

agency

Conflicting Employment & Contractual Relationships Part II: Section 112.313(7)(a), F.S.

Cannot have an employment or contractual relationship that creates a conflict between your public duties and

private interests or an impediment to your public duties

Doing Business with One’s Own AgencyPart I While acting in your public capacity, do not

purchase, rent, or lease any realty, goods, or services FOR your agency FROM any

business where you or your spouse or child is an officer, partner, director, or proprietor,

or where there’s a material interest.

Doing Business with One’s Own AgencyPart II

In your private capacity, do not rent, lease or sell any realty, goods, or services TO your agency OR any

agency within the political subdivision.

Misuse of Public PositionSection 112.313(6), F.S. Corruptly use or attempt to use your public position or resources to secure a special benefit or privilege for oneself or others.

Not simply mismanagement or

rude behavior.

Most complaints.

Examples of Misuse of Public Office

Conduct which might be generally referred to as sexual harassment.

Threats by a city commissioner to terminate an employee over a private dispute unrelated to their public employment or job performance.

Threats by a city commissioner that his actions toward a police department would be affected if his son's speeding ticket was not reduced.

Inside Information: Section 112.313(8), F.S.

Applies to current and former officers and employees

Personal gain or benefit

Information not available to the public

Voting Conflicts of InterestSection 112.3143, F.S. Sections 112.3143(3) & (4)

CE Form 8B

Applies only to collegial bodies

Identifying & Applying Voting Conflict Section 112.3143, F.S.May not vote on any measure which would inure to YOUR special private gain or loss

OR• Local elected or

appointed officer:

Identifying & Applying Voting Conflict Section 112.3143, F.S.

You know would inure to the special private gain or loss of:

– A principal by whom you are retained– A parent organization or subsidiary or sibling of a

corporate principal by whom you are retained– A relative– A business associate

Who is a “Principal”?

An employer

A client of a legal, accounting, insurance, or other professional practice

A corporation for which officer serves as a compensated director

Special Private Gain or Loss

Requires an economic benefit or harm that will inure to the officer, his or her relative, business associate, or principal. Determining “special private gain or loss”:

– Size of the class – Unique impact – Remote and speculative – Preliminary and procedural

What to doSection 112.3143, F.S.

All local officers MUST: •publicly disclose conflict orally prior to vote; •abstain from voting; AND •file a memorandum (CE Form 8B) within 15 days.