State of Florida. Code of Ethics Training for Executive Branch Employees

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1 State of Florida Code of Ethics Training for Executive Branch Employees

2 Caution This presentation is only an overview of the Code of Ethics for Public Officers and Employees found in Part III of Chapter 112, Florida Statutes. Contact Florida s Commission on Ethics to obtain more detailed information on any of the topics addressed in this presentation. Also, your agency may have additional and/or more restrictive standards than those contained in this presentation. Please check with your HR office to determine your agency s specific policy on ethics.

3 Objectives To understand the purpose of Florida s Code of Ethics To understand the major components of the Code of Ethics To understand the penalties for violations of the Code of Ethics To recognize the resources available for assistance and guidance regarding the Code of Ethics

4 Code of Ethics for Public Officers and Employees Purpose of the Code Maintain the respect of the people of Florida in state government Protect the integrity of state government Ensure duties are performed impartially Prevent the use of public office for private gain Avoid conflicts of interest without unnecessarily restricting public employment

5 Florida s Ethics Laws The laws contain standards of conduct and prohibition, as well as disclosure requirements. Standards/Prohibitions Gifts Honoraria Misuse of position Disclosure of information Doing business with one s agency Employment and contracts Relatives Revolving door Reporting Requirements Financial interests Clients Gifts Honoraria

6 Solicitation and Acceptance of Gifts Do 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.

7 Unauthorized Compensation You, your spouse, or your minor child should 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.

8 The Gift Law for Reporting Individuals (Those required to file annual financial disclosure Form 1 or Form 6) Depending on the circumstances, you may be 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 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

9 The Gift Law for Procurement Employees (broadly defined in Section (2)(e) as anyone who participates in the purchasing process for purchases exceeding $1000 annually) You 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 If you are not sure whether you are a procurement employee, please refer to the statutory language or contact the appropriate ethics officer in your agency.

10 Additional Gift Standards for Reporting Individuals and Procurement Employees 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.

11 Honoraria If you file annual financial disclosure or are a procurement employee, you may not: Solicit an honorarium (a payment for a speech or paper) related to your public duties Knowingly accept an honorarium from a lobbyist or from the lobbyist s principal, partner, or firm In addition, if you file annual financial disclosure, you may not: Accept honorarium-event related expenses from a lobbyist who is registered as an Executive Branch Lobbyist. (Certain exceptions may apply.) Note: Procurement employees who do not file annual disclosure may accept specified expenses related to honorarium events. Please refer to the statutes or contact your agency s ethics officer for the list of acceptable expenses.

12 Misuse of Public Position Do not use or attempt to use your public position, property, or resources to obtain a special privilege or benefit for yourself or others.

13 Disclosure of Information Do not use or disclose information not available to the general public and which you gained from your employment for your benefit or the benefit of others.

14 Doing Business with One s Agency Do not purchase, rent or lease realty, goods, or services for your agency 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 a material interest. Do not rent, lease, or sell any realty, goods or services to your agency from your business. Exemptions may apply. Please contact Florida s Commission on Ethics for further clarification.

15 Conflicting Employment or Contractual Relationship Do not hold any employment or contract: with a business or agency regulated by or doing business with your agency OR which will pose a conflict between your private interests and your public duties. Exemptions may apply. Please contact Florida s Commission on Ethics for further clarification.

16 Revolving Door A Senior Management Service (SMS), Selected Exempt Service (SES) employee, or Other Personal Services (OPS) employee having powers normally conferred on an SMS or SES position cannot personally represent another person or entity for compensation before his/her former agency for a period of 2 years following termination or retirement, unless employed by the agency prior to July 1, 1989.

17 Additional Employment Restrictions Upon Leaving State Government Do 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. Note: An exemption may apply if your position is being privatized. For two years after leaving, do not take a job with a business in connection with a contract that was within your responsibility as a state employee. Note: An exemption may apply if your position is being privatized. For the first year after leaving, do not enter into a contract with your former agency where your salary exceeds the amount of your previous annual salary as of the date you left state employment. Note: This prohibition may be waived by the agency secretary if it will result in significant time or cost savings for the State.

18 Restrictions on Hiring Relatives* Do not appoint, employ, promote, or advance your relatives* and do 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, motherin-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, or half sister.

19 Additional Restriction Regarding Relatives and Others Do not procure contractual services for your agency from a business of which a relative* is an officer, partner, director, or proprietor or in which you, your spouse, or child has a material interest. *See Section (21), Florida Statutes for the definition of relative under this prohibition. Please note that the broad definition includes such people as a roommate, fiancé, etc.

20 Disclosure Requirements Financial Interests Some State employees (reporting individuals) are required to file a Form 1 Statement of Financial Interests within 30 days of employment, annually thereafter, 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. There are automatic penalties for failing to timely file Form 1 $25 fine for each day late, up to $1500!

21 Disclosure Requirements (continued) Clients Reporting individuals who represent a client for a fee or commission before a State-level agency are required to file a Form 2 Quarterly Client Disclosure. Gifts Reporting individuals and procurement employees are required to file Form 9, Quarterly Gift Disclosure, to list non-prohibited gifts worth more than $100 given to them by anyone except relatives. Form 10 Reporting individuals and procurement employees must disclose acceptable honorarium-event related expenses given to them by lobbyists of their agencies on this annual form. Gifts from governmental entities and direct support organizations also are reported on this form. All forms are available at

22 Ethics Code Violations Violations of the State Ethics Laws found in Part III of Chapter 112, Florida Statutes, may be punished by a fine of $10,000 per violation, dismissal from employment, and repayment of any monetary gains received because of the violation. You may lose your retirement benefits if you commit a crime involving your public position.

23 Advisory Opinions When in doubt, ask! You may request an opinion about how the Code of Ethics applies to your specific situation. The person having the power to hire or fire you also has standing to seek an opinion from the Commission on Ethics about how the Code might apply to you. Contact the Commission at 850/ (phone) 850/ (fax) Contact information is also available at

24 Reminder This presentation contains only a general summary of the Code of Ethics for Public Officers and Employees found in Part III of Chapter 112, Florida Statutes. Contact Florida s Commission on Ethics ( ) to obtain more detailed information on any of the topics addressed in this presentation. Your agency may have additional and/or more stringent standards than those contained in this presentation. Please check with your HR office to determine your agency s specific policy on conflicts of interest and other ethical concerns.

25 Acknowledgement Form If your agency requires this training course, please print this page, complete, sign where indicated, and forward to your Human Resources office for inclusion in your personnel file. Employee Name: People First ID: I acknowledge that I have completed the State of Florida Ethics Training, and I understand the consequences of any ethics code violations. Employee Signature: Date: