1. 1 Overview of Ethics Requirements University of West Florida Board of Trustees May 26, 2010

2. 2 Our Goal: To provide you with the legal/ethical framework that will allow you to spot issues, raise questions and concerns regarding: Overall restrictions on ability to solicit/receive gifts Special additional restrictions that apply to “reporting individuals” Better understanding of conflict of interest

3. 3 Applicability As public officers, the members of the University of West Florida Board of Trustees are subject to the Code of Ethics for Public Officers and employees. Chapter 112 (Part III), Florida Statutes Members are also governed by the Board’s Conflicts Policy (See Attachment 1).

4. 4 State of Florida legal/ethical requirements generally consist of two types of provisions: 1. Those prohibiting certain actions or conduct; 2. Those requiring that disclosures be made.

5. 5 Ethical considerations include: ProhibitionDisclosure Solicitation and Acceptance of Gifts Unauthorized Compensation Misuse of Public Position Disclosure or Use of Certain Information Solicitation or Acceptance of Honoraria Discrimination, including Sexual Harassment Personal Use of University Resources Personal Use of University IP Nepotism Doing Business With One’s Agency Conflicting Employment/Conflict of Interest Conflicting Contractual Relationships Contractual Services: Prohibited Employment

6. 6 Personal Gifts/Benefits ALL public officers, employees, local government attorneys and candidates are prohibited from soliciting or accepting anything of value--including a gift, loan, reward, services, discounts, promise of future employment, or favor--based upon any understanding that their votes, official actions, or judgments would be influenced thereby. Sections 112.313(2), 112.313(3) and 112.313(4), Florida Statutes

7. 7 Personal Gifts/Benefits (cont’d) No solicitation of gifts if you are a “reporting individual” (a “RIPE”) (You are one.) RIPEs may not directly or indirectly accept a gift valued at more than $100 from lobbyists who lobby their agencies, from the partners, firms, employers, or principals of such lobbyists, or from political committees or committees of continuous existence. Although a RIPE may accept a gift with a value that does not exceed $100 from someone in the prohibited group, the lobbyist/donor must report the gift on a quarterly disclosure statement. The donor must notify the RIPE at the time a reportable gift (a gift valued at over $25 but not exceeding $100) is given that it will be. (For this law, a “lobbyist” means any person who, for compensation, seeks or sought during the preceding 12 months, to influence the governmental decision-making of a reporting individual or procurement employee or his or her agency or seeks, or sought during the preceding 12 months, to encourage the passage, defeat, or modification of any proposal or recommendation by the reporting individual or procurement employee or his or her agency.)

8. 8 Personal Gifts/Benefits (cont’d) It is a gift if you don’t pay for it within 90 days of receipt unless it is salary, benefits, etc., related to your service for the organization, or unless it is from a relative There are exceptions, such as gifts from close relatives or from direct service organizations. When in doubt, get back to them.

9. 9 Honoraria This law prohibits RIPEs from soliciting an honorarium which is related to their public office or duties. The law also prohibits a RIPE from knowingly accepting an honorarium from a lobbyist who has lobbied his or her agency within the past 12 months, or from a political committee or a committee of continuous existence. Although RIPE's cannot accept honoraria from those in this prohibited group, they may accept the payment of actual and reasonable transportation, lodging, food and beverage expenses, and registration fees related to an honorarium event for themselves and their spouses. The person or entity providing these expenses must provide a statement listing the name and address of the donor, a description of the expenses, and the total value of the expenses given. This statement should be attached to the annual disclosure form the RIPE is required to file if he or she receives such payment of expenses related to an honorarium event.

10. 10 Danger, Danger Executive Branch Lobbyists, Section 112.3215 Effective January 1, 2006, there were major modifications to the lobbying laws in Florida which affect State-level reporting individuals. ONLY reporting individuals in the Executive Branch are subject to the expenditure acceptance prohibitions in this statute. (We think this is YOU.) Notwithstanding the gifts law and honoraria law, which contemplate limitation of value and reporting, Executive Branch reporting individuals are prohibited from accepting, and Executive Branch lobbyists and their principals are prohibited from making, any direct or indirect expenditure. An expenditure is defined as a payment, distribution, loan, advance, reimbursement, deposit, or anything of value made by a lobbyist or principal for the purpose of lobbying. If you take it, you must provide payment for the "thing of value" prior to or at the time the gift is given (when the expenditure is made, not within ninety days). The definition of "lobbyist" for purposes of this section differs from the gifts law definition. A lobbyist is considered anyone who is registered (or should be registered) to lobby the Executive Branch, regardless of whether or not that lobbyist actually lobbies your agency. For example, a registered lobbyist who frequently appears before the Department of Transportation would still be prohibited from buying lunch for a reporting individual who works for the Department of Revenue.

11. 11 Personal Gifts/Benefits (cont’d) A “lobbyist” is defined as a person who, for compensation, seeks, or sought during the preceding 12 months, to influence the governmental decision-making of a reporting individual or procurement employee or his or her agency, or To encourage the passage, defeat, or modification of any proposal or recommendation by the reporting individual or procurement employee or his or her agency. “Persons” include individuals and entities, including corporations and groups.

12. 12 Personal Gifts/Benefits (cont’d) Don’t forget: FOR PURPOSES OF THE GIFT LAWS ALL VENDORS OF THE UNIVERSITY DURING THE PRECEDING 12 MONTHS PERIOD ARE LOBBYISTS.

13. 13 Conflicts of Interest

14. 14 Conflicting Employment/Conflict of Interest A university officer acting in his or her official capacity cannot a. purchase, rent, or lease any realty, goods or services for his or her agency from a business of which the officer (or their spouse or children) is an officer, partner, director, proprietor, or owner of a “material interest” (more than 5% of the total assets or capital stock of the business). b. hold a contractual or employment relationship with any entity that is regulated by or is doing business with the University, c.have or hold any employment or contractual relationship that i. would create a continuing or frequently recurring conflict between his or her private interests and the performance of his or her University duties, or ii. would impede the full and faithful discharge of his or her University duties. § 112.313(7), Flordia Statutes.

15. 15 Check with the Commission The Ethics Commission receives more requests for opinions on these sections than on any others. Since the interpretation of these laws hinges on the specific facts surrounding the relationships and since there are exemptions to the prohibitions in these laws, public officers and employees should seek advice from their agency attorneys or from the Ethics Commission when they have a question about whether a conflict exists between their private interests and public duties.

16. 16 Exemptions The above prohibitions may not apply: (a) When the business is awarded through the bid process and the official, spouse, or child has not attempted to persuade University personnel to enter into the contract and certain procedural safeguards are followed. (b) Which the purchase or sale is for legal advertising, utilities service, or for passage on a common carrier. (c) When an emergency purchase must be made to protect the public health, safety, or welfare and proper certifications are filed. (d) When the business entity is the sole source and there is full disclosure (Ethics Commission FORM 4A must be filed). (e) When the aggregate of the transactions does not exceed $500 in a calendar year. (f) When the transaction involves sponsored research or intellectual property provided certain safeguards are met, including specific approval by University President and Board of Trustees Chairperson. (g) When the University officer or employee purchases from a business entity which is doing business with his or her agency upon the same terms available to the general public.

17. 17 Employees Holding Office No person can be an employee of a state agency, county, municipality, special taxing district, or other political subdivision of the state and simultaneously hold office as a member of the governing board, council, commission, or authority which is his or her employer. Section 112.313(10), Florida Statutes.

18. 18 Dual Office Holding Article II Section 5 of the Florida Constitution provides that no person holding an office of emolument under any foreign government, civil office of emolument under the United States or any other state. Generally, no person may hold at the same time more than one office under the government of the state and the counties and municipalities therein. State law. There are exceptions for notaries, constitutional revision commissions, constitutional conventions, bodies with advisory powers, and officers of special districts. The Florida Attorney General publishes an excellent outline on Dual Office Holding http://myfloridalegal.com/pages.nsf/Main/92e25864d475966f85256cc6007b96cb

19. 19 Misuse of Public Position Public officers, public employees, and local government attorneys may not corruptly use or attempt to use their official positions to secure a special privilege, benefit or exemption for themselves or someone else. The word “corruptly” is defined to mean “done with a wrongful intent and for the purpose of obtaining, or compensating, or receiving compensation for, any benefit resulting from some act or omission of a public servant which is inconsistent with the proper performance of his or her public duties.” Section 112.312(9), Florida Statutes.

20. 20 Misuse of Information Current and former public officers, public employees, and local government attorneys are prohibited from disclosing or using information not available to members of the general public and gained by reason of their official positions, except for information relating exclusively to governmental practices, for their personal gain or benefit or for the personal gain or benefit of any other person or business entity. Section 112.313(8), Florida Statutes.

21. 21 Lobbying After Office A member of the Legislature or a statewide elected or appointed official is prohibited from representing another person or entity for compensation before the government body or agency of which he or she was an officer or member for two years following vacation of office. Art. II, Sec. 8(e), Florida Constitution and Section 112.313(9), Florida Statutes.

22. 22 Voting Conflicts A voting conflict arises when an official is called upon to vote on any measure which would inure to the officer’s special private gain or loss; which the officer knows would inure to the special private gain or loss of any principal by whom the officer is retained (other than a governmental agency) or to the parent organization or subsidiary of a corporate principal by which the officer is retained; or which the officer knows would inure to the special private gain or loss of a relative (father, mother, son, daughter, husband, wife, brother, sister, father-in-law, mother-in-law, son-in-law, or daughter-in-law) or business associate of the public officer. Section 112.3143, Florida Statutes.

23. 23 Voting No state public officer is prohibited from voting on any matter. However, any state officer who votes on a measure that presents a voting conflict shall, within 15 days after the vote occurs, disclose the nature of his or her interest as a public record in a memorandum filed with the person responsible for recording the minutes of the meeting, who shall incorporate the same in the minutes. Section 112.3143(2), Florida Statutes.

24. 24 Participation In addition, State appointed public officers cannot participate in any matter in which they have a voting conflict without first disclosing the nature of their interest in the matter. The definition of “participate” in this subsection is “any attempt to influence the decision by oral or written communication, whether made by the officer or at the officer’s direction.” If you have a conflict, and want to abstain from participation, you should abstain and follow up with the written form within 15 days. If you do intend to participate, you must make disclosure before you participate and follow up with the written form within 15 days. In the event that disclosure has not been made prior to the meeting or that any conflict is unknown prior to the meeting, the disclosure should be made orally at the meeting when it becomes known that a conflict exists. A written memorandum disclosing the nature of the conflict then should be filed within 15 days after the oral disclosure with the person responsible for recording the minutes of the meeting and be incorporated into the minutes of the meeting at which the oral disclosure was made. Section 112.3143(4), Florida Statutes.

25. 25 Disclosure of Financial Interests All persons who fall within the categories of “state officers,” “local officers,” “specified state employees,” as well as candidates for elective local office, are required to file the “limited” financial disclosure statement (Form 1 – Statement of Financial Interests). (This includes you.) Initially, each local officer, state officer, and specified state employee must file within 30 days of the date of his or her appointment or the beginning of employment. Appointees who must be confirmed by the Senate must file prior to confirmation, even if that is less than 30 days from the date of their appointment. Thereafter, local officers, state officers, and specified state employees are required to file by July 1st following each calendar year in which they hold their positions. If not received by September 1, there is an automatic fine of $25 per day after that, up to $1,500. Section 112.3145, Florida Statutes.

26. 26 Other Disclosures Other required disclosures include: Gift reports (Section 112.3148(8), Florida Statues; Annual Disclosure of Gifts from Governmental Entities and Direct Support Organizations (Section 112.3148(6)(d), Florida Statutes; Annual Disclosure of Honorarium-Event Related Expenses (Section 112.3149, Florida Statutes

27. 27 Resources Visit the Commission on Ethics web site, www.ethics.state.fl.us, for additional information on ethics laws, rules, and opinions and to view and print required forms Visit www.myfloridalegal.com for a variety of information on the Sunshine Laws, including FAQ's, searches, views, and downloads of the Sunshine Manual and related materials, and on Dual Office Holding considerations. Much of this material is taken from the course offered by the Florida Institute of Government entitled Florida’s Code of Ethics, Sunshine Law and Public Records Act. Please Advise the Office of the President or General Counsel if you would like to register for the full course.

28. 28 Attachment 1: BOT Conflicts Policy