Office of Superintendent of Schools January 28, 2009 Board Meeting of February 11, 2009 ANNUAL REPORT OF THE ETHICS ADVISORY COMMITTEE

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1 Office of Superintendent of Schools January 28, 2009 Board Meeting of February 11, 2009 Allen M. Vann, Chief Auditor Office of Management and Compliance Audits SUBJECT: COMMITTEE: ANNUAL REPORT OF THE ETHICS ADVISORY COMMITTEE INNOVATION, EFFICIENCY & GOVERNMENTAL RELATIONS LINK TO DISTRICT STRATEGIC PLAN: ENSURE ADEQUATE AND EFFECTIVE INTERNAL CONTROLS AND OPERATIONAL EFFICIENCY The Ethics Advisory Committee is hereby submitting its Annual Report to the School Board. The document includes attachments that list the committee s many endeavors and accomplishments. This report will be presented by its Chair, Ms. Daneen Regna. Copies of this report will be distributed to the Board and placed on file in the Office of the Recording Secretary to the School Board and in the Citizen Information Center. Additional copies are available upon request. RECOMMENDED: That The School Board of Miami-Dade County, Florida, receive and file the Annual Report of the Ethics Advisory Committee. AMV:em E-92

2 MIAMI-DADE COUNTY PUBLIC SCHOOLS MIAMI-DADE COUNTY giving our students the world PUBLIC SCHOOLS ANNUAL REPORT ETHICS ADVISORY COMMITTEE FISCAL YEAR

3 THE SCHOOL BOARD OF MIAMI-DADE COUNTY, FLORIDA Dr. Solomon C. Stinson, Chair Dr. Marta Pérez, Vice Chair Mr. Agustin J. Barrera Mr. Renier Diaz de la Portilla Dr. Lawrence S. Feldman Ms. Perla Tabares Hantman Dr. Wilbert Tee Holloway Dr. Martin Karp Ms. Ana Rivas Logan Mr. Alberto M. Carvalho Superintendent of Schools Mr. Allen M. Vann, CPA Chief Auditor Office of Management and Compliance Audits Ethics Advisory Committee Ms. Daneen Regna, Chair Ms. Roberta Kressel, Vice Chair Ms. Michele Anglade, Esq. Ms. Jacqueline Becerra, Esq. Ms. Jane W. Moscowitz, Esq. Dr. Susan Mullane Frederick F. Thornburg, Esq. MIAMI-DADE COUNTY giving our students the world PUBLIC SCHOOLS

4 MIAMI-DADE COUNTY giving our students the world PUBLIC SCHOOLS Miami-Dade County Public Schools giving our students the world Superintendent of Schools Alberto M. Carvalho Ethics Advisory Committee Daneen Regna, Chair Roberta Kressel, Vice Chair Michele Anglade, Esq. Jacqueline Becerra, Esq. Jane W. Moscowitz, Esq. Dr. Susan Mullane Frederick F. Thornburg, Esq. January 30, 2009 Miami-Dade County School Board Dr. Solomon C. Stinson, Chair Dr. Marta Pérez, Vice Chair Agustin J. Barrera Renier Diaz de la Portilla Dr. Lawrence S. Feldman Perla Tabares Hantman Dr. Wilbert Tee Holloway Dr. Martin Karp Ana Rivas Logan The Honorable Chair and Members of The School Board of Miami-Dade County, Florida Mr. Alberto M. Carvalho, Superintendent of Schools I am pleased to provide you with the Ethics Advisory Committee s (EAC) annual report. During Fiscal Year the Committee met seven times. The following highlights our accomplishments: Enacted a Code of Ethics for Volunteers who serve on School Board committees Researched practices to address Nepotism and recommended appropriate revisions to the Board Rule Welcomed two new members Reviewed the Lobbying Rule Reviewed issues of concern from Board members. The Committee wants to take this opportunity to make available to the School Board the correspondence issued during the year included as ATTACHMENT A. Also, the Committee issued its annual reports each of the three previous years to document its trajectory and achievements since it was created by the School Board in Those reports are available for review by accessing the Committee s website, It is the hope of the Committee that its recommendations, reached after due deliberation of the important issues that have come before it, have served to further the original objective of promoting ethical behavior for which the Committee was created. The EAC will continue to meet in FY and welcomes the continued support and participation of the School Board and administration. Sincerely yours, Daneen Regna, Chair Ethics Advisory Committee School Board Administration Building 1450 N.E. 2nd Ave. Suite 415 Miami, FL (FAX)

5 TABLE OF CONTENTS Page Number COMMITTEE MEMBERS...1 ACKNOWLEDGEMENTS...2 CODE OF ETHICS FOR VOLUNTEERS... 3 RECOMMENDED REVISIONS TO THE NEPOTISM RULE... 3 LOBBYING RULE REVIEW... 4 INSPECTOR GENERAL UPDATES...4 UPDATE ON APPLICABLE FLORIDA STATUTES...5 SCIENTIFIC LEARNING... 5 FOLOW-UP ON GRAND JURY RECOMMENDATIONS RE: MIAMI NORTHWESTERN SENIOR HIGH SCHOOL...5 ATTACHMENT A CORRESPONDENCE MARCH 25, MAY 2, i

6 ANNUAL REPORT ETHICS ADVISORY COMMITTEE FISCAL YEAR We are pleased to present the Miami-Dade County School Board and the Superintendent of Schools with this annual update summarizing the issues that the Ethics Advisory Committee (EAC) concentrated on during the school year. Our goal is to promote ethical behavior and educate all stake- holders as to the required standards of ethical conduct within our School District. The EAC is composed of seven (7) independent volunteers who are appointed for staggered terms of four years. To assure our independence, the seven volunteer members are appointed by specifically designated judicial, academic, or other community institutions that are not influenced by the School Board. From the time the Committee was created in 2002, the EAC members have promoted professionalism and dedication in conducting the business of the Committee. The members during the school year were: Ms. Jane Moscowitz, Esq., Chairwoman of the EAC was appointed by the Chief Judge of the Eleventh Judicial Circuit of Florida, chaired the Committee this year. Ms. Moscowitz is a member of the law firm of Moscowitz & Moscowitz, P.A. and is a former Assistant U.S. Attorney. committee members Dr. Susan Angulo served as Vice Chair. She was appointed by the President of St. Thomas University, where she serves as the Assistant Vice President for Academic Affairs. 2 Ms. Daneen Regna was appointed by the Director of the Center for Labor Studies at FIU. She is a former teacher and serves as President of the UTD Retired Teachers Chapter. Mr. Frederick F. Thornburg, Esq., a former EAC Chair and Vice Chair, was appointed to the Committee by the Dade Coun- Ms. Moscowitz relinquished her position as Chair at the close of the fiscal year to Ms. Daneen Regna. 2 Dr. Angulo relinquished her seat on the Committee at the end of the Fiscal Year and has been replaced by Ms. Michele Anglade. Ms. Anglade is the Assistant Dean for Academic Support Programs at Florida International University College of Law and was appointed to the Ethics Advisory Committee by the President of FIU, Mr. Modesto A. Maidique. Ethics Advisory Committee Report Page

7 ty Council PTA/PTSA. Currently, he is the Director (Dean) of the CAU undergraduate and MBA Business Schools and serves on a number of civic, charitable and company boards. He has taught ethics in graduate school. After serving as the law clerk to the Chief Judge of the United States Court of Appeals for the 7th Circuit and practicing as a partner in the multi-state law firm of Barnes & Thornburg, he served on the TWC Board of Directors and as President of Wackenhut International, Inc. Dr. Susan Mullane has also served as Chair and Vice Chair of the EAC in previous years. Dr. Mullane was appointed by the Dean of the School of Education, University of Miami, where she serves as associate professor and has a specialty in ethics. Ms. Roberta Kressel was appointed by the Greater Miami Chamber of Commerce, where she is currently on the Board of Governors. Ms. Kressel is the Executive Vice President of Human Resources with BankUnited. She also teaches Human Resources Certification classes at Barry University, where she is an adjunct professor, and has served as chair of the finance division of the Miami-Dade County United Way. Ms. Jacqueline Becerra, Esq., was appointed to the Committee by the Chief Judge of the Eleventh Judicial Circuit of Florida. Ms. Becerra is a shareholder in the law firm of Greenberg Traurig and is a former Assistant U.S. Attorney. acknowledgements The Committee wishes to acknowledge the commitment and professional support from District staff who have contributed to the EAC s success. Mr. Allen M. Vann, the Chief Auditor serves as the liaison to the EAC, providing all of the logistical support necessary for us to operate and assists in maintaining an open line of communications between the Committee, the School Board and the Office of the Superintendent. Mr. Luis Garcia, Esq., the Deputy School Board Attorney, has provided us with legal advice and helped formulate recommended ethics related rules. Mr. Norberto Ferradaz, an Audit Supervisor in the Office of Management and Compliance Audits has assisted us in many Page 2 Ethics Advisory Committee Report

8 of our projects. Ms. Elsie Berrios-Montijo, Administrative Secretary is our recording clerk and has provided the EAC with all of its administrative support. We would also like to acknowledge the cooperation of District officials who have attended EAC meetings to share information with the Committee when issues relevant to their areas of expertise are subject to our deliberations. The members of the Committee appreciate the support provided by District staff, and thank each individual who helps us discharge our duty to promote ethical behavior in Miami-Dade County Public Schools. The EAC activities during the year included discussions and recommendations relating to a wide range of issues the most salient of which are as summarized below: Code of Ethics for Volunteers After deliberations that progressed throughout the year, the Committee redacted the Certification of Compliance-Code of Ethics for Individuals Serving on Advisory Committees (Non-Employees) of the School Board of Miami-Dade County, Florida. This enhancement to the Code of Ethics was submitted to the Superintendent for Board approval. The Board enacted Rule 6Gx13-1B that made it obligatory for individuals who are not employees but are selected or appointed to advisory committees to complete and sign a certificate indicating the individual s intention to comply with applicable ethical guidelines. This action had the effect of aligning the required ethical behavior of volunteers who serve the District to follow the practices prescribed by the Code of Ethics for all other groups in the District. The administration disseminated information about this new requirement to the many advisory committees and provided a process to collect and file the certificates from the volunteers by the end of the school year. Recommended Revisions To The Nepotism Rule Code of Ethics for Volunteers Recommended Revisions To The Nepotism Rule The Board requested the EAC to review the Rule on Nepotism with an eye to strengthen ethical behavior in this area that is perceived lacking by many in the community. At the February 13, 2008 meeting, the School Ethics Advisory Committee Report Page

9 Board agreed the review by the EAC was necessary after the agenda item presented by a Board Member was discussed. The EAC appointed Ms. Roberta Kressel, an EAC member, to conduct a study on how other governmental units approached the nepotism issue. Ms, Kressel presented the results of her study of nepotism rules enacted by selected school districts in Florida and some large districts in the nation. After extensive discussion by members and input from human resources administrators, the EAC forwarded its recommendations to the Board for their consideration. EAC communications to the Board on this issue are included in Attachment A. Lobbying Rule Review Lobbying Rule Review The Committee worked with the Clerk of the School Board to determine if the process in place to regulate lobbying activities was working properly and if there had been any violations. The Clerk of the School Board provided a detailed overview on the procedures and requirements for lobbyists. While there was no evidence that anyone has been in violation of the current rule, the EAC agreed with an attendant Board member who expressed concerns that not many people had registered as lobbyists and unregulated activity may be occurring. Accordingly, the Committee asked EAC member Ms. Becerra and Deputy School Board Attorney Mr. Garcia to review the existing rule and recommend changes. Ms. Becerra reported that the rule included some inconsistencies. Information on the registration forms was not always consistent with the rule, and the two-tiered system to deal with violations would not sustain adverse challenges. Also, there were small variations in the different versions of the applications that are available in three languages that needed to be corrected. Ms. Becerra drafted appropriate changes to the rule and the forms. Inspector General Updates The review of the Lobbying Rule continues to be an issue on the Committee s agenda, as discussions on the Nepotism Rule resulted in this issue being deferred. Inspector General Updates The selection of the Inspector General proved to be a difficult process and the Committee received periodic updates during the year. Our concern was Page Ethics Advisory Committee Report

10 finally resolved satisfactorily when the School Board approved the Interlocal Agreement with Miami-Dade County to provide the services of their Inspector General. We are pleased to report that staff of the Inspector General s Office has attended our meetings. Update On Applicable Florida Statutes Mr. Luis Garcia, Esq., the Deputy School Board Attorney provided the EAC with an overview of The Florida Sunshine Law, The Public Records Act, and The Code of Ethics. The Sunshine Law requires that the meetings be open to the public and reasonable public notice be given, and written minutes must be taken. A point in the explanation covered how the laws apply to a person who is not an employee but is serving as a volunteer. The Committee thanked Mr. Garcia for his informative presentation. Update On Applicable Florida Statutes Scientific Learning A Board Member expressed concerns with a company allegedly receiving no bid contracts when they have family members working for the School Board. The School Board Attorney issued an opinion that there were no violations committed. The School Board Attorney was asked to research the Code of Ethics to determine if it provides sufficient disclosure provisions and to report back in the event that changes to the rule were necessary. Scientific Learning Follow-up On Grand Jury Recommendations Re: Miami Northwestern Senior High School The actions taken by the District in response to events that took place at the school in the previous year were discussed by the Ethics Advisory Committee. The Committee agreed that the civil investigations being conducted by District staff move forward, and policies should be enacted to make sure similar events do not reoccur. FOLLOW-UP ON GRAND JURY RECOMMENDATIONS Ethics Advisory Committee Report Page

11 ATTACHMENT A CORRESPONDENCE

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15 The School Board of Miami-Dade County, Florida, adheres to a policy of nondiscrimination in employment and educational programs/activities and programs/activities receiving Federal financial assistance from the Department of Education, and strives affirmatively to provide equal opportunity for all as required by: Title VI of the Civil Rights Act of prohibits discrimination on the basis of race, color, religion, or national origin. Title VII of the Civil Rights Act of 1964, as amended - prohibits discrimination in employment on the basis of race, color, religion, gender, or national origin. Title IX of the Education Amendments of prohibits discrimination on the basis of gender. Age Discrimination in Employment Act of 1967 (ADEA), as amended - prohibits discrimination on the basis of age with respect to individuals who are at least 40. The Equal Pay Act of 1963, as amended - prohibits sex discrimination in payment of wages to women and men performing substantially equal work in the same establishment. Section 504 of the Rehabilitation Act of prohibits discrimination against the disabled. Americans with Disabilities Act of 1990 (ADA) - prohibits discrimination against individuals with disabilities in employment, public service, public accommodations and telecommunications. The Family and Medical Leave Act of 1993 (FMLA) - requires covered employers to provide up to 12 weeks of unpaid, job-protected leave to "eligible" employees for certain family and medical reasons. The Pregnancy Discrimination Act of prohibits discrimination in employment on the basis of pregnancy, childbirth, or related medical conditions. Florida Educational Equity Act (FEEA) - prohibits discrimination on the basis of race, gender, national origin, marital status, or handicap against a student or employee. Florida Civil Rights Act of secures for all individuals within the state freedom from discrimination because of race, color, religion, sex, national origin, age, handicap, or marital status. School Board Rules 6Gx13-4A-1.01, 6Gx13-4A-1.32, and 6Gx13-5D prohibit harassment and/or discrimination against a student or employee on the basis of gender, race, color, religion, ethnic or national origin, political beliefs, marital status, age, sexual orientation, social and family background, linguistic preference, pregnancy, or disability. Veterans are provided re-employment rights in accordance with P.L (Federal Law) and Section (Florida Statutes), which stipulate categorical preferences for employment. Revised 5/9/03

16 MIAMI-DADE COUNTY giving our students the world PUBLIC SCHOOLS