THE REVISED BROWARD CODE OF ETHICS FOR ELECTED OFFICIALS BROWARD OFFICE OF THE INSPECTOR GENERAL

Transcription

1 THE REVISED BROWARD CODE OF ETHICS FOR ELECTED OFFICIALS BROWARD OFFICE OF THE INSPECTOR GENERAL

2 B ROWARD C ODE OF E THICS WHAT IS IT?

3 WHAT IS IT? Section 1-19 of the Broward Co. Code of Ordinances Applicable to municipal elected officials as of January 2, 2012 Substantial revisions effective: o For training, term year beginning in or after November 2015 o For lobbyist contacts, April 1, 2016 o Vendor definition adds competitive solicitation responders within current or prior two (2) calendar years, Jan. 1, 2017 o Otherwise, December 10, 2015 Can be more restrictive (but not less restrictive) than State law BEWARE: State law sets the minimum standard

4 Policy statement: Elected officials work for the citizens Elected officials shall not receive personal economic benefit from public service Each elected official is responsible to act to promote public trust With complete transparency and honesty And to avoid even the appearance or perception of impropriety B.C.C. 1-19(a).

5 Establishes: Standards of conduct, including required disclosures Ethics training requirements B.C.C. 1-19(c) & (d). Applies to each elected official B.C.C. 1-19(c) Elected official means each member of the Board of County Commissioners, member of the governing body of a municipality in Broward County, and municipal mayor in Broward County B.C.C. 1-19(b)(3), 1-19(b)(9).

6 CONSEQUENCES Enforcement procedure: After OIG completes investigation, determines probable cause Complaint filed in name of I.G. Hearing officer selected by Selection-Oversight Committee Florida Rules of Civil Procedure Florida Evidence Code Burden of proof = By a preponderance of the evidence Subject to judicial review B.C. Charter C.

7 Dispositions: Finding of violation(s) Fines of $250 to $5,000 per violation Depends on gravity, intent, repeat offense Could be no penalty, if violation found to be unintentional and de minimis Disgorgement Public Reprimand and Censure B.C. Charter C.(5) Criminal vs. Civil.

8 DISCLOSURES

9 Filed for Public Inspection means: (1) Applicable hard copy form is filed With County Admin. or municipal clerk And copy or substance is uploaded into Entity s (or BLOC s) searchable internet database, OR (2) All required info, entry date, and signature Is directly entered into Entity s (or BLOC s) searchable internet database. Where certain forms are kept on a searchable internet database of another agency, o.k. if official s entity website links to the other agency s website. B.C.C. 1-19(b)(4).

10 Where can I find the Broward Ethics Code forms?

11

12 STANDARDS OF CONDUCT

13 (1) Acceptance of Gifts (8) Advisory Opinions (2) Outside/ Concurrent Employment (7) Financial Disclosure Broward Code Sec. 1-19(c) Standards of Conduct (3) Lobbyists (6) Procurement Selection Committees (4) Honest Services (5) Solicitation & Receipt of Contributions

14 (1) GIFTS If definition not in the Ethics Code, look to (in this order): State Code of Ethics Broward County Code of Ordinances Broward County Administrative Code B.C.C. 1-19(b) Gift and Value are as defined in Part III of Florida Statutes Chapter 112 a/k/a the State Ethics Code

15 Gift means: Any service or thing listed in the statute or that has an ascertainable value accepted directly or indirectly by the donee or on the donee s behalf for the donee s benefit without equal or greater consideration within 90 days F.S (12)(a).

16 Value is: Actual cost Less taxes and gratuities Deduct compensation given within 90 days F.S (7).

17 Prohibited under the Broward and State Codes: As a public official or employee, to solicit or accept anything of value if it could be perceived to result in official action or inaction. F.S (2) As a public official or employee (or spouse or minor child), to accept anything of value if based on an understanding that you would be influenced. F.S (4) As a Form 1 or Form 6 filer (or immediate family), to solicit or knowingly accept anything of value from a political committee (other than legally authorized and primarily related to campaign financing). F.S As a Form 1 or Form 6 filer, to solicit any gift from a lobbyist, vendor, or political committee (partner, firm, employer, or principal). F.S (3) As a Broward elected official (or relative or staff), to accept a gift of a value exceeding $5 from a lobbyist, vendor (current supplier, supplier in current or past 2 calendar years, or responder to current open competitive solicitation in current year or past 2 calendar years*), or contractor (currently under contract) to your entity. B.C.C. 1-19(b)(1), (b)(13), & (c)(1)a. As a Broward elected official, to accept a gift valued over $50, given to you in your official capacity. B.C.C. 1-19(c)(1)b Significant new exceptions for the Broward rules follow.

18 Exceptions to the gift rules of the Broward COE: Gifts given to an elected official from a govt. entity B.C.C. 1-19(c)(1). Customary condolence or sympathy gifts B.C.C. 1-19(c)(1)d.1. upon significant injury or illness or death of the official or immediate family member Expenses for public service training B.C.C. 1-19(c)(1)d.2. Non-alcoholic beverages B.C.C. 1-19(c)(1)d.3. Tickets to charitable events open to the public B.C.C. 1-19(c)(1)d.4. Must disclose within 15 days (there s a form) Must compensate for food and beverage within 30 days BEWARE: State Code rules are unaffected: You must report any gift valued over $100 from a non-relative Government entity gifts valued over $100 must have a public purpose You must report gifts from governmental entities valued over $100 Lobbyist/vendor/political committee gifts of $25 to $100 must be reported Lobbyist/vendor/political committee gifts valued over $100 are prohibited.

19 (2) OUTSIDE/CONCURRENT EMPLOYMENT Broward s elected officials May not lobby any covered individual (certain decision-makers in Broward s county and municipal agencies) B.C.C. 1-19(b)(2) & (c)(2)b. Any other employment o.k. if consistent with law and public duties. B.C.C. 1-19(c)(2)b. Must disclose all outside/concurrent employment (including pursuant to contract) and remuneration B.C.C. 1-19(b)(10), (b)(12) & (c)(2)b. o Outside/concurrent employment means providing services in exchange for remuneration o Remuneration means payment in return for services, including bonuses, profit and other distributions from entity paying wages, and direct employer contributions to retirement o Remuneration does not mean gifts, business expense reimbursements, paid training and travel, employer payments for insurance and other benefits (other than retirement plan contributions), or return of capital or payment of interest relating to capital payment.

20 Disclose using the form created by the County Attorney List all outside employment And remuneration received by range: o Under $1,000 o $1,001-$5,000 o $5,001-$10,000 o $10,001-25,000 o $25,001-50,000 o $50,000-$100,000 o Over $100,000 Employer contributions to retirement may be reported by exact amount or checking box File for public inspection BCC members: by March 31, June 30, Sept. 30 and Dec. 31 for prior qtr. Muni s: by July 1 for prior year B.C.C. 1-19(c)(2)b.

21 Immediate family members and government office staff: May not lobby any covered individual May not conduct business with your entity as a vendor or contractor unless o Permitted under state law AND o Official files a written attestation for public inspection that: Do not share primary residence and Neither is listed on the other s B.C.C. most recent tax return 1-19(c)(2)c.

22 (3) LOBBYISTS Lobbyist is: Person retained with or without compensation to lobby, OR Person who is principally employed to lobby on behalf of his or her employer B.C.C. 1-19(b)(8). Lobbyist is not: Official or employee communicating in an official capacity, Someone communicating on his or her own behalf, Someone communicating on behalf of his or her employer (unless principally employed to lobby), Homeowner s association staff or member representing the H.A., or Non-profit public interest member representing the non-profit B.C.C. 1-19(b)(8).

23 Lobbying is: From lobbyist to covered individual (certain government decision makers) Any kind of communication That seeks to influence, convince or persuade Support or opposition for An item to be foreseeably decided B.C.C. 1-19(b)(2) and (b)(7).

24 Effective April 1, 2016 Whenever and wherever a lobbyist makes contact with an elected official for the purpose of lobbying, he or she must Complete contact log o His or her name and employer o Who is being represented o Elected official(s) contacted o Date, time, location, and communication mode o Specific purpose and subject matter File the log for public inspection no later than 3 business days following contact o Govt. entity must make database accessible to lobbyists (for input) OR may link to BLOC s searchable logs If no system for lobbyist to input the contact, then the elected official who was contacted is responsible for filing B.C.C. 1-19(c)(3).

25 (4) HONEST SERVICES. Elected officials: May not engage in a scheme or artifice to deprive another of the material intangible right of honest services Or any activity in contravention of the duty to provide loyal service and honest governance To be construed consistently with state and federal bribery and extortion law B.C.C (c)(4).

26 (5)a. CHARITABLE CONTRIBUTION FUNDRAISING Permissible so long as: No entity staff or other entity resources are used F/R is for an IRS designated 501(c)(3) No quid pro quo or other direct or indirect benefit to an involved party Disclosure is filed for public inspection within 15 days Exception: Your governmental entity formally approves the charity or event B.C.C. 1-19(c)(5)a.

27 If for a 501(c)(3), disclose using the current form created by County Attorney Name of charity and event Name of any person or entity who requested the official do the solicitation File for public inspection within 15 days B.C.C. 1-19(c)(5)a.

28 (5)b. CAMPAIGN CONTRIBUTION FUNDRAISING Permissible so long as: No entity staff or other entity resources are used Contributions are not made, solicited, or accepted in any government-owned building B.C.C. 1-19(c)(5)b.

29 Campaign fundraising for yourself Any campaign finance report you must submit per F.S. Ch. 106 Concurrent with filing with Supervisor of Elections or municipal elections official Must also be filed for public inspection Govt. entity may link on its website to website where the campaign finance reports are filed online and searchable B.C.C. 1-19(c)(5)b.2.

30 Campaign fundraising for others: Disclose on the County Attorneycreated form o Name of candidate o Location and date of any event o Names and contribution amounts for contributions you bundle File for public inspection within 15 days B.C.C. 1-19(c)(5)b.3.

31 (6) PROCUREMENT SELECTION COMMITTEES. For Procurement Selection Committees of their own governmental entity: Elected officials may not sit as voting members Or participate in or interfere at such Committee s meetings May inquire/express concerns to head of procurement upon completion of Committee s selection process May attend Committee meetings if no active participation or interference Exceptions: Strong mayors and municipal officials whose charters require such participation Hiring or contractual procurement of those who report directly to governing body B.C.C. 1-19(c)(6).

32 (7) FINANCIAL DISCLOSURES Concurrent with filing your Form 1 with Supervisor of Elections or Form 6 with State Commission on Ethics File the Form 1 or Form 6 for public inspection Govt. entity may link on its website to website where the financial disclosure forms are filed online and searchable B.C.C. 1-19(c)(7).

33 (8) ADVISORY OPINIONS. Request & Opinion Make a written and signed request To your county or municipal attorney or designee Asking how the COE applies to you Must include all facts necessary for advising attorney to understand the circumstances and render a correct opinion The OPINION must state all material facts necessary for a complete and correct opinion by the attorney If atty. needs more info, official shall furnish it promptly upon request Official must ensure the opinion is sent in searchable.pdf to ethicsadvisoryopinions@broward.org in 15 days The Effect Binding on your conduct unless material omission or misstatement As to Sec only If you act in accordance, you may not be found to be in violation of the COE B.C.C (c)(8).

34 TRAINING & EDUCATION

35 TRAINING & EDUCATION New Elected Officials Must complete four (4) hours of training on Sunshine law, public records, and public service ethics Two (2) of those hours must be interactive (live) From their County or municipal attorney or at their direction Within 120 days of taking office File certification of completion for public inspection within 15 days of completion This is in addition to the annual four (4) hour requirement (at right) B.C.C. 1-19(d)(1). All Elected Officials Must complete four (4) hours of continuing education on Sunshine law, public records, and public service ethics -- each term year Two (2) of those hours must be live Effective the first day of your term year beginning in or after Nov File certification of completion for public inspection within 30 days after end of term year B.C.C. 1-19(d)(2) & (3) BEWARE: State law (F.S ) requires four hours that addresses, at a minimum state constitutional and statutory ethics, public records, and public meetings laws per calendar year.

36 TRAINING & EDUCATION Certify: Date of each training session Number of hours completed each session Mode of each session o Live individual training, o Live group training, o Online training, or o Watching/listening to recorded materials B.C.C. 1-19(d)(4).

37 SUMMARY

38 DEC CODE REVISIONS Disclosures can be directly entered without filing form Your entity s website can link some disclosures residing on other sites New disclosure deadlines: o 15 days for Charitable Event Tickets o July 1 for munis Outside Employment o 3 business days for Lobbyist to log Contact o 15 days for Charitable Contribution Fundraising o 15 days for Campaign Contribution Fundraising for Others o 15 days to file Advisory Opinions with the County o 15 days to file New Elected Official Training o 30 days at end of term year to file Elected Official Continuing Education

39 New or amended definitions o Contractor o Vendor o Outside/Concurrent Employment o Remuneration For Outside/Concurrent Employment o Remuneration may be reported by range Gift rule changes o Lobbyist/Vendor/Contractor gifts now up to $5 in value o Broward gift rules for government entity gifts negated o Exceptions to Broward gift rules Sympathy Gifts Public Service Training Non-Alcoholic Beverages Tickets to Charitable Events (with compensation for food/beverage and disclosure)

40 Immediate family may now do business with official s entity o With attestation Lobbyist Contacts o Now disclosed by Lobbyists o Entities or BLOC must allow Lobbyists to directly input o Otherwise, official responsible to file contact Charitable Contribution Fundraising o Rules exceptions must now be formally approved by the entity o Disclose name of person or entity who requested official to solicit Procurement Selection Committees o Officials are explicitly permitted to attend meetings

41 Advisory Opinions o No longer needs to be in writing o Attorney must include all material facts in the opinion o Official must ensure filing of opinion into County database Training & Education o Two of four new electeds training hours must be interactive o New electeds training of four hours is in addition to annual requirement of four hours o Annual eight hour requirement reduced to four, including two interactive o Annual requirement now includes Sunshine and public records o Annual requirement defined by term year o Certifications are more detailed and now filed for public inspection

42 QUESTIONS?

43 C AROL JODIE BREECE E THICS C OUNSEL B ROWARD O FFICE OF THE I NSPECTOR G ENERAL cbreece@broward.org