Office of Superintendent of Schools November 7, 2007 Board Meeting of November 20, 2007 ANNUAL REPORT OF THE ETHICS ADVISORY COMMITTEE

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1 Office of Superintendent of Schools November 7, 2007 Board Meeting of November 20, 2007 Rudolph F. Crew, Superintendent of Schools 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 since its creation by the School Board in March This report will be presented by its Chair, Ms. Jane Moscowitz, Esq. RECOMMENDED: That The School Board of Miami-Dade County, Florida, receive the Annual Report of the Ethics Advisory Committee. RFC/AMV:em A-2

2 Superintendent of Schools Rudolph F. Crew, Ed.D. Ethics Advisory Committee Jane W. Moscowitz, Esq., Chair Dr. Susan Angulo, Vice Chair Jaqueline Becerra, Esq. Roberta Kressel Dr. Susan Mullane Daneen Regna Frederick F. Thornburg, Esq. November 1, 2007 Miami-Dade County School Board Agustin J. Barrera, Chair Dr. Martin Karp, Vice Chair Renier Diaz de la Portilla Evelyn Langlieb Greer Perla Tabares Hantman Dr. Robert B. Ingram Ana Rivas Logan Dr. Marta Pérez Dr. Solomon C. Stinson The Honorable Chair and Members of The School Board of Miami-Dade County, Florida Dr. Rudolph F. Crew, 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 that addresses the different needs of the students; Board Members, administrators and teachers; and those who do business with the District. Prepared a Business Code of Ethics for vendors. Reviewed Ethics in the School Curriculum. Reviewed various Board Rules. Recommended a Civility Rule. Kept abreast of and supported Inspector General and other oversight activities. 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 attached are: the Annual Report of the Ethics Advisory Committee, presented to the School Board at the June 14, 2006 meeting, included as ATTACHMENT B and the official agenda of the May 26, 2005 EAC/Board Workshop and related materials/reports from the EAC included as ATTACHMENT C. The work done since its founding by the School Board reflects the Committee s dedication to its mission to promote high standards of ethical conduct. The EAC will continue to meet in FY and welcomes the continued support and participation of the School Board and administration N.E. 2nd Avenue, Room 415 Miami, Florida Fax

3 ANNUAL REPORT OF THE ETHICS ADVISORY COMMITTEE This report summarizes the issues addressed by the Ethics Advisory Committee (EAC) for the school year The EAC s goals are to restore the public confidence in our public schools by promoting ethical behavior and educating all stake holders as to the required standards of ethical conduct. 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 W. Moscowitz, Esq., 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. Mr. James Howe, served as Vice Chair during the year. He was appointed by the Greater Miami Chamber of Commerce. Mr. Howe is the Executive Director of the National Conference for Community and Justice of Greater Miami and also serves on several boards. Mr. Howe stepped down from EAC membership, in June Mr. Frederick F. Thornburg, Esq., a former EAC Chair and Vice Chair, was appointed to the Committee by the Dade County 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 an associate professor and has a specialty in ethics. 1

4 Ms. Daneen Regna was appointed by the Director of Center for Labor Studies at FIU and is a former teacher and now serves as the President of the UTD Retired Teachers Chapter. Dr. Susan Angulo was appointed to the EAC by the President of St. Thomas University, where she serves as the Assistant Vice President for Academic Affairs. The Honorable Judge Seymour Gelber was appointed to the EAC by the Chief Judge of the Eleventh Judicial Circuit of Florida. Judge Gelber served as the Mayor of Miami Beach. He continues to serve periodically as a judge in the state judiciary system and also serves on the Miami- Dade Ethics Commission. The commitment and professional work of the staff has proven critical in the successful conduct of the EAC business. Mr. Allen Vann, Chief Auditor of Miami Dade County Public Schools serves as the liaison to the Committee and assists in the conduct of all necessary operations. The work of Ms. Elsie Montijo, Administrative Secretary in Mr. Vann s Office, deserves special mention. The members of the Committee are grateful for the excellent support received during the year. The EAC activities during the year included discussions and recommendations relating to a wide range of issues as summarized below. CODE OF ETHICS RULE ENACTED PROPOSED BUSINESS CODE OF ETHICS RULE The EAC appointed a subcommittee on Complaint Process to obtain a more thorough understanding on that issue that is covered in the Code. School Board members had pointed out some ambiguities in the original Certificate of Compliance submitted by the EAC. The administration of the Office of Professional Standards, Investigations & Diversity Compliance, Civilian Investigative Unit, and the School Police Department, made presentations to the EAC where the features and controls for the systems in place were discussed. Following the presentations, the EAC removed the ambiguous wording. The resubmission of the Code of Ethics and the Certificate of Compliance to the School Board for its consideration and approval was made subsequent to review with Ms. Karen Aronowitz, the President of the UTD. The resulting revisions were approved. Subsequently, the Chair presented to the Committee a request from Board Member Ms. Greer, that the School Board Rule Code of Ethics cover all volunteers. A subcommittee is drafting a separate rule. The Committee prepared an M-DCPS Business Code of Ethics. The School Board is in the process of enacting the rule. 2

5 ETHICS IN SCHOOLS CURRICULUM Mr. John Doyle, the District s Administrative Director, Curriculum and Instruction Social Sciences reported on the implementation of ethics into the curriculum and partnerships with St. Thomas University, the Robert Myers Group, and the Youth Ethics Initiative (YEI), contracted to produce additional instructional material for senior high school students. REVIEW OF SCHOOL BOARD RULE, 6GX13-1C.108 GIFTS TO SCHOOL PERSONNEL The EAC reviewed the adequacy of the rule based on a Board Member s request. The issue related to vendor sponsorship of holiday parties. After careful consideration, the EAC determined that the rule was adequate and communicated this to the School Board. INSPECTOR GENERAL ACTIVITIES Since September 2005 the functions of the Inspector General (IG) have been aligned with the Office of Management and Compliance Audits as directed by the School Board. The Ethics Committee has continued to monitor and keep abreast of the process. The search and selection process for a new IG was hampered by stringent prerequisites for the position requiring substantive auditing experience, whereas the state statute does not require it. The EAC wrote a letter to the Board recommending that the Board relax its rule to be consistent with the statutes. The Chair of the EAC is a member of the search committee. A proposal is under consideration to contract with the County Inspector General to work at the School Board. The EAC recommended exploring that solution. REVIEW OF INVESTIGATION OF ALLEGED IMPROPRIETY BY MATER ACADEMY CHARTER SCHOOL(S) AND ACADEMICA The Chair attended two Audit Committee meetings where allegations of improper ethical behavior and potential self dealing with regard to questionable leasing transactions by the charter school through the principals of its management company were sustained. In a letter to the Board, the EAC expressed support for the audit conclusions and the recommendations of the Superintendent. GRAND JURY REPORT - MIAMI NORTHWESTERN SR. HIGH SCHOOL The EAC has been briefed and is monitoring this issue. The Superintendent directed the Chief Auditor in his role as acting Inspector General, to monitor the implementation of the Grand Jury recommendations. 3

6 EVALUATION OF THE PROPRIETY OF EMPLOYEE CONTRIBUTIONS TO SCHOOL BOARD POLITICAL CAMPAIGNS DO ETHICAL QUESTIONS ARISE FROM EXPENDING TAX DOLLARS TO DEFEND AGAINST CIVIL RIGHTS LAWSUIT RELATED TO BOOK BANNING CASE? RECOMMENDED A CIVILITY RULE The Board rule prohibits members from soliciting, but allows them to accept contributions from employees. Although there cannot be a blanket prohibition of contributions, the EAC wants to make an appropriate recommendation to the Board on the issue, with an eye to applying restrictions in the future. After extensive analysis that included references to the explanations provided by the outside attorney and input from members of the public, the Committee decided not to address this issue as it was deemed beyond the EAC s purview and jurisdiction. The Committee submitted a Civility Rule to the School Board for its consideration and possible approval. SUPPORT FOR THE YOUTH ETHICS INITIATIVE (YEI) The organization conducts Ethics Conferences and supports incorporating ethics courses into the curriculum. The EAC supports YEI s mission to promote ethics awareness and training among students and educators. 4

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8 6Gx-13-3F- CONTRACTS AND DOCUMENTS MIAMI-DADE PUBLIC SCHOOLS BUSINESS CODE OF ETHICS I. APPLICATION This Business Code of Ethics ( Code ) shall govern the conduct of all contractors, lobbyists, and consultants who are under contract with the School Board of Miami-Dade County, Florida ( School Board ). These standards of conduct supersede all prior written ethics policies duly adopted by the School Board, which may be in conflict with these standards. These standards of conduct are to be read in conjunction with the latest applicable School Board contracting and procurement policies and procedures. All contractors shall ensure that their subcontractors comply with this Code. The School Board will accept bids and proposals for contracts and procurement of goods or services only from firms or entities which agree to comply with this Code and all applicable School Board contracting and procurement polices and procedures. II. DEFINITIONS: A. Consultant - an individual providing information and advise in his or her area of expertise, pursuant to a contract with the Board. This may include, but is not limited to, real estate brokers, developers, and experts in their field. B. Contractor an individual, company, joint venture, or other corporate entity who has entered into a written contract to provide goods or services to the School Board in accordance with an invitation to bid, a request for proposal, a purchase order, or by the approval of the School Board. C. Lobbyist any individual, firm, or corporation compensated by or who contracts for economic consideration from any principal person or organization for the purpose of lobbying. Please see the provisions of School Board Rule 6Gx13-8C-1.21(Lobbyists) for a more complete definition. III. INTENT AND PURPOSE

9 The purpose of this Code is: 1. To protect the integrity of the school district s procurement process; 2. To provide a uniform statement of expected conduct for consultants and contractors doing business with the School Board in an effort to ensure a fair and ethical environment throughout the procurement process. IV. CODE IS NOT EXHAUSTIVE/NON-EXCLUSIVE This Rule does not address all ethical issues that may arise through the school district s procurement process. Accordingly Nonetheless, each person or entity is expected to act in an ethical manner at all times while engaging in business with the School Board. V. ENFORCEMENT OF CODE OF CONDUCT Violations of any provisions of this Code may be investigated by the School Board s Inspector General or by any other appropriate enforcement authority. The School Board may reject any bid or proposal, or impose other sanctions against any person, contractor, or entity, that has not complied with the requirements of this Code in accordance with applicable State laws or Board Rules. VI. PROHIBITED CONDUCT No bidder, proposer, contractor, or subcontractor shall fraudulently deceive or attempt to deceive any school district official with regard to any material fact pertinent to any pending or proposed School Board contract. Nor shall an individual, company, or other entity engage in conduct with the purpose or intent of placing any school district employee, official, or agent under personal obligation to the bidder, proposer, contractor or subcontractor by engaging in, but not limited to, the following acts or conduct: Providing gifts or monetary compensation to a School Board employee or promising gift, or other compensation in return for a contract, or any other conduct that would place the employee in violation of the prohibitions contained in , Fla.Stat (2006).

10 VII. AVOIDANCE OF THE APPEARANCE OF IMPROPRIETY All contractors shall refrain from conduct which they know or reasonably should know is likely to create in the minds of reasonable, objective, fair-minded observers an appearance of impropriety. VIII. LOBBYIST REGISTRATION All consultants and contractors must ensure that any lobbyist working on their behalf comply with the requirements under School Board Rule 6GX13-8C-1.21, Lobbyist. IX. GIFTS AND OFFERS OF EMPLOYMENT TO SCHOOL PERSONNEL No consultant, bidder, proposer, or contractor shall offer, give, or promise to offer or give--directly or indirectly--any money, gift or gratuity to any School Board employee whose duties involve authorizing and/or procuring contracts for goods and services for the school district. The provisions of School Board Rule 6GX13 1C-1.08, Gifts to School Personnel, are incorporated by this Rule. Similarly, no person or entity covered by this Code, including, but not limited to, consultant, bidder, proposer, or contractor shall offer, or promise to offer, either--directly or indirectly--any future employment or business opportunity to any School Board employee or consultant, their immediate family, spouse, significant other, or business associates of such persons if such offer of employment is conditioned expressly or implicitly on the awarding of a present or future contract, or preference in the awarding of a contract to anyone at any time by the School Board. X. DISCLOSURE OF EMPLOYMENT OF FORMER SCHOOL BOARD EMPLOYEES To prevent current or former School Board employees from using their relationship with School Board from improperly influencing procurement decision-making, all bidders, proposers, consultants, and contractors are required to disclose the names of any of their employees who serve as agents or principals for the bidder, proposer or contractor, and who within the last two years, have been or are employees of the School Board. Such disclosures will be in accordance with current School Board rules, but will include, at a minimum, the name of the former School Board employee, a

11 list of the positions the employee held in the last two years of his or her employment with the School Board, and the dates the employee held those positions. In addition, the School Board will not contract with any bidder, proposer, consultant, or contractor that compensates any former School Board employee or consultant to influence any action on a matter pending with School Board if that employee, within the last twelve (12) months, held a School Board position in which they personally and substantially participated in the matter. The School Board will not contract with any bidder, proposer, contractor or sub-contractor that employs a former School Board employee or consultant who, while serving in a School Board position within the last two (2) years, substantially participated in the development of the invitation to bid or request for proposal s requirements or specifications, or who took part in contracting process for the specific goods or services being solicited by the School Board. The Superintendent or his/her designee, for good cause, may waive this prohibition in writing with notification to the Board prior to awarding the contract. Good cause may be shown in circumstances where awarding the contract to another party will not be in the best interest of the School Board. XI. PRECLUSION FROM CONTRACTING FOR INDIVIDUALS OR FIRMS INVOLVED IN THE DEVELOPMENT OF THE BID, PROPOSAL, OR CONTRACT SPECIFICATIONS No contractor or consultant who participates in the development of the scope of work, solicitation documents, contractual instruments, or of the technical specifications on behalf of the school district may participate as a proposer or sub-proposer or perform any work associated with that particular procurement. The Superintendent or his/her designee upon, for good cause, may waive this prohibition in writing prior to the award of the contract. XII. CONFLICTS OF INTEREST All individuals, firms, contractors, and consultants, must take steps to avoid conflicts of interest, for example, but not limited to, those conflicts delineated in School Board Rule 6Gx13-4A-1.212, Conflict of Interest. The Superintendent or his/her designee, in consultation with legal counsel, shall determine whether a conflict of interest exists and recommend appropriate action that will resolve the conflict. If it is determined that an actual or apparent conflict of interest exists, the Superintendent or his/her designee shall notify

12 the contractor in writing of this finding and the actions that will be recommended to the School Board in order to resolve the conflict of interest. XIII. NON-RETALIATION POLICY The School Board encourages good faith reporting of all suspected violations of this Code. Accordingly, anyone making a good faith report of a suspected violation of this Code shall not be subjected to any adverse action by the School Board, nor shall anyone or any company, accused of violating this Code and subsequently found not to have committed a violation of this Code, be subjected to any adverse sanctions or penalties by the School Board. The identity of any persons reporting violations of this Code shall be kept confidential to the extent permitted by law. All suspected violations shall be reported to the Office of the Inspector General for investigation. If the Inspector General determines that the allegations have merit, the matter will be referred to the appropriate authorities. If the Inspector General determines that the matter should be investigated by another department or by an outside entity, the Inspector General may refer the matter to the other department or outside entity for investigation or final disposition. XIV. RESOLVING VIOLATIONS OF THE CODE If it is determined that a violation of this Code has taken place, the School Board may take one or more of the following actions: a. Meeting with the consultant or contractor to discuss the violation, and any and all possible resolutions to the violation(s); b. Suspending the consultant or contractor in accordance with the provisions of the contract in question, or by initiating debarment procedures as established by School Board Rule 6Gx13-3F-1.023, Contractor Debarment Procedures; c. Directing the prime contractor to remove the a subcontractor who has been shown to have intentionally violated the Code from the project;

13 d. Rescinding, voiding, or terminating the contract as may be permitted by law, School Board rules, or the relevant contract; and/or e. Any other reasonable sanction deemed appropriate, and which is permitted by law, School Board rules, and by the provisions of the impacted contract. XV. PROSPECTIVE APPLICATION This Code will not be applicable to contracts or written agreements which were in existence at the time this Code was enacted, nor to solicitations that had been published at the time this Code was enacted. This Code will be incorporated into all formal bid solicitations, vendor applications, and to any Request for Proposals issued by the School Board upon enactment of this Rule. Any individual or firm shall be required to complete a Certificate of Compliance with this Code, which is attached hereto and incorporated herein by reference. Specific Authority: (1)(2); (22); (10) F.S. Law Implemented, Interpreted, or Made Specific: ; F.S. History New: THE SCHOOL BOARD OF MIAMI-DADE COUNTY, FLORIDA

14 CERTIFICATE OF COMPLIANCE MIAMI-DADE PUBLIC SCHOOLS BUSINESS CODE OF ETHICS [CONSULTANTS, VENDORS, CONTRACTORS] I, the undersigned, (Print your name) Hereby certify as follows: 1. On behalf of [firm s name](hereinafter the Firm ], the undersigned has received a copy of the School Board s Code of Conduct for Non-Employees, School Board Rule 6Gx13- (hereinafter Code ). 2. The undersigned has read and understands this Code; and has familiarized the Firm with the Code. 3. The undersigned represents, in his or her capacity as an agent and representative of the Firm, the undersigned and the Firm agree to abide by the provisions of the Code and both the undersigned understands that any violation of the Code s provisions by the undersigned, or any employee or representative of the Firm, may, among other things, disqualify the Firm from doing business with the School Board in accordance with the provisions of the Code. The undersigned also represents that he has the authority to make this representation. Signature Date Print Name Title or Position Company Name

15 CIVILITY RULE The members of the M-DCPS School Board unanimously agree to be bound and to expect all participants in M-DCPS School Board meetings, including committee and workshop meetings at every level, to agree to be bound by the following Rule of Civility: All members and participants agree to treat each other with respect, courtesy, and patience and to avoid abrasive, abusive, and hostile conduct and demeaning, disparaging and humiliating words in their communications with each other. Subject to all applicable governing rules, all members and participants agree to permit others to express fully their point of view and to give consideration to the positions advanced by others.

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22 Office of Superintendent of Schools June 8, 2006 Board Meeting of June 14, 2006 Rudolph F. Crew, Superintendent of Schools SUBJECT: COMMITTEE: ANNUAL REPORT OF THE ETHICS ADVISORY COMMITTEE INNOVATION, EFFICIENCY & GOVERNMENTAL RELATIONS The Ethics Advisory Committee was formed by School Board Policy in March 2002 and is hereby submitting its annual report to the School Board. This report will be presented by its Chair, Frederick F. Thornburg, Esq. RECOMMENDED: That The School Board of Miami-Dade County, Florida, receive the Annual Report of the Ethics Advisory Committee. REVISED RFC/AMV:em A-6

23 ANNUAL REPORT OF THE ETHICS ADVISORY COMMITTEE This report is a brief digest of the endeavors of the Ethics Advisory Committee (EAC) since its founding by the School Board in March of Henceforth, the EAC will provide the School Board with an annual report of its work. By way of background, the EAC was formed by School Board Policy adopted in March of 2002 in response to a deterioration of public trust and confidence in the Miami-Dade County Public Schools (M-DCPS) system for a variety of reasons. The State had appointed an oversight committee and frozen much needed construction dollars until there was significant financial and ethical improvement in the M-DCPS. The Ethics Advisory Committee is composed of seven (7) independent, volunteer, voting members who are appointed for staggered terms of four years. The relevant experience, qualifications, and dedication of the members on the EAC are indeed as impressive as they are apposite to the mission of the EAC, Mr. Frederick F. Thornburg, Esq., EAC Chair since March 2004 and former Vice Chair, was appointed to the EAC in March 2002 by the Dade County Council PTA/PTSA. He is a former partner in the multi-state law firm of Barnes and Thornburg and served on the board of directors and as President of Wackenhut International, Inc. He is retired but continues to serve on a number of Boards and has taught ethics in both law and MBA schools. Annual Report of the Ethics Advisory Committee Page 1 of 11 June 8, 2006 A-6

24 Dr. Susan Mullane, Vice Chair, and a former EAC Chair was appointed by the Dean of School of Education, University of Miami and has served as an assistant professor at the University of Miami and has specialty in the discipline of ethics. Dr. Susan Angulo, appointed by the President of St. Thomas University, is a professor and currently serves as the Assistant Vice-President for Academic Affairs. Honorable Judge Seymour Gelber, was appointed to the EAC by the Chief Judge of the Eleventh Judicial Circuit of Florida. Judge Gelber served as the Mayor of Miami Beach, and currently serves on Miami-Dade Ethics Commission, and continues to periodically serve as a judge in the state judicial system. Mr. James Howe, was appointed by the Executive Committee of the Greater Miami Chamber of Commerce. Mr. Howe is the Executive Director of the National Conference for Community and Justice of Greater Miami and serves on several boards including the Youth Ethics Initiative, Inc. board. Ms. Jane W. Moscowitz, Esq., appointed by the Chief Judge of the Eleventh Judicial Circuit of Florida is a member of the law firm of Moscowitz & Moscowitz, P.A. and a former Assistant U. S. Attorney. Ms. Daneen Regna, appointed by the Director of Center for Labor Studies at FIU, is a former teacher and now serves as the President of the UTD retired teacher s Chapter. The EAC has as liaisons to assist it, Mr. Allen Vann, Chief Auditor and Mr. Jose F. Montes-de-Oca, Assistant Chief Auditor. All members of the EAC are extremely Annual Report of the Ethics Advisory Committee Page 2 of 11 June 8, 2006

25 grateful to them for their very meaningful contributions and assistance and it would be remiss to not also note the terrific support of Ms. Elsie Montijo, Administrative Secretary. Additionally, the EAC wants to extend a multitude of thanks to those Board Members who frequently attend the EAC meetings for their support and dedication to improving our school system and all the School Board members for the trust they have placed in its endeavors. The School Board charge to the EAC is to promote the public trust and confidence in the school system by among other things, educating the public, candidates for election to the board, members of the board and employees of M-DCPS as to the required standards of conduct, and recommending School Board Rules and changes to the various rules and regulations which set forth the school system governing standards of ethical conduct. In its comparatively brief existence, the EAC has undertaken numerous diverse activities, they include: Testified before the Grand Jury On behalf of the EAC, the Chair testified before the grand jury in respect to a number of issues and grand jury inquiries. Established Board Rule Code of Ethics and Certificate of Compliance In 2004, the EAC drafted and the School Board unanimously passed a Code of Ethics and accompanying Certificate of Compliance for M-DCPS employees. The District administration has committed to have these certificates executed by June 2006; however due to prolonged delays by differences of opinion as to the Annual Report of the Ethics Advisory Committee Page 3 of 11 June 8, 2006

26 propriety of the Certificate of Compliance enforceability, its completion remains in limbo. Ms. Maria Vidal, Human Resources Officer, reported at the March 10, 2006 EAC meeting that 25,688 employees have received ethics training and 14,549 employees remain to be trained. She also noted that planned on-line training sessions for April or May 2006 have already taken place. Conducted Candidate Forum - In accordance with one of its missions as established by the School Board, the EAC, in collaboration with the Miami-Dade County Commission on Ethics and Public Trust, co-hosted a series of Ethics fora for Miami-Dade County School Board candidates prior to the November 2004 elections. Additionally, the EAC co-sponsored a debate amongst School Board run off candidates and was instrumental in having the debates televised and broadcasted by WLRN television and radio stations. The EAC was also credited as a partner in The Miami Herald sponsored WLRN School Board candidates fora. Set Rules for EAC Member s Participation in Political Campaigns - The question of whether it was ethical for EAC members to participate in political campaigns was extensively debated. As a result, the EAC proposed a rule which the School Board unanimously passed, that barred EAC members from participating or contributing to school board candidates campaigns because of obvious potential conflicts of interest. The rule was amended, however, to allow EAC members to participate and contribute to candidates running for any other political office. The School Board voted unanimously to amend the Rule as heretofore noted. Annual Report of the Ethics Advisory Committee Page 4 of 11 June 8, 2006

27 Established an EAC Website An informational EAC website has been up and running since November The site includes resumes of the EAC members, listing of scheduled EAC meetings, agendas, minutes, and relevant School Board ethical rules. From its inception the EAC has been very involved with several diverse ethical matters and issues affecting M-DCPS and has addressed the following topics: Nepotism - The EAC recommended that M-DCPS adopt a policy of zero tolerance in regards to nepotism. This recommendation was unanimously adopted by the School Board. The purpose and effect of the revised Board Rule is to provide additional requirements in regards to prohibiting administrative supervisors from employing or directly supervising relatives at the same work location, the requirements to disclose the names of relatives working at the work site by the supervisor and the employee, and the consequences for failure to disclose. At the behest of the EAC, the district administration reported the status of the nepotism cases. According to this report, of the 106 cases originally reported, only 22 cases still remain open. During , it is anticipated 3 employees will shortly be placed at different locations. Thus, there has been a marked and enviable improvement in this area of ethical and public concern. Rules Governing Lobbyists - The EAC was actively involved in promoting and drafting the School Board Rule governing lobbying and attendant required disclosures. Anti Double-Dipping Rule An EAC recommendation was made to the School Annual Report of the Ethics Advisory Committee Page 5 of 11 June 8, 2006

28 Board, that School Board employees, when elected to public office, should take leave without pay when acting in the elected official capacity. The genesis of this recommendation was to avoid giving the impression of impropriety, by having the employee being paid by the School Board while serving in their elected capacity. The School Board adopted the EAC s recommended rule with an even more stringent requirement for its implementation. The Office of the Inspector General (OIG) The topic of the OIG was discussed for several months and at least three workshops were conducted by the School Board to determine the direction it wanted to take with this issue. It was ultimately decided that the OIG was to report to the Audit Committee. The EAC was the first entity to endorse the maintenance and continuation of the OIG with properly funded and fully staffed office. The unanimous consensus of the EAC as published in a letter to the School Board was that an appearance of ethical impropriety could be created by having the OIG report to the Audit Committee whose members are appointed by the School Board and the Superintendent. This reporting chain raises the unwanted and obvious question of the OIG s independence. The Inspector General from the Florida Department of Education, Mr. John Franco, strongly suggested having the OIG report to the EAC. The State Attorney s Office also vigorously supported keeping the OIG s office totally independent. Administrative Appointments The EAC was requested to address concerns and opine on the issue of the propriety of direct employee appointments by the Superintendent. The EAC made a request to Board Attorney Mr. Johnny Brown who provided a legal opinion that in accordance with Section IV.C. of School Annual Report of the Ethics Advisory Committee Page 6 of 11 June 8, 2006

29 Board Rule 6Gx13-4A-1.16, the Superintendent is authorized to make direct appointments when it is deemed to be in the best interest of the school system. Also, at the request of a School Board member the EAC opined by letter dated May 10, 2005 that administrative appointments constituted an administrative not an ethical issue and pointed out that the Superintendent has the legal authority to make such appointments under the aegis of state law. Whistle-Blower Proposal The EAC addressed this issue and was advised by the School Board Attorney s Office that these provisions are being incorporated into the rule governing the Office of the Inspector General. In this connection, the EAC proposed a number of revisions to the Whistle-Blower proposal. EAC Issued Opinion and Other Relevant Letters The following letters are attached: Revised Date October 5, 2004 April 28, 2005 May 10, 2005 May 17, 2005 October 10, 2005 November 18, 2005 May 11, 2006 May 11, 2006 Topic (1) Proposal to Amend the Nepotism Rule; and (2) Exempting Selected School Board Employees from the Application of the Nepotism Rule The Ethical Propriety of the June 29, 2004 Election of the Audit Committee Chair Under School Board Rule 6Gx13-2C (1) The Ethical Propriety of the Superintendent of Schools to Make Direct Appointments to Positions and to Bypass the Formal Management Selection Protocol Including the Advertising and Interview Process; and (2) The Possible Repercussions that Could Result from the Employment Practice of Direct Appointments Office of the Inspector General Office of the Inspector General Ethics Advisory Committee Composition Revisit Campaign Reform Proposal School Board Workshop Re: Code of Ethics and Certificate of Compliance Annual Report of the Ethics Advisory Committee Page 7 of 11 June 8, 2006

30 EAC/School Board Workshop on EAC s Roles and Issues This workshop, was scheduled to report on major endeavors and accomplishments of the EAC, to reaffirm its role and fiduciary duties, and to provide a forum where concerns could be voiced. It was attended by several School Board members and several issues were discussed such as an ongoing rumor that the EAC was going to be eliminated and the extent of the EAC s authority. School Board members present reaffirmed their support for the EAC and the workshop was viewed as a success. The EAC Chair appointed to the Selection Committee for the Inspector General - At its September 7, 2005 meeting the School Board established a committee for the selection of the Inspector General, among whose members is the Chair of the EAC. In addition, the EAC has acted in concert with other entities or used reports to further educate the public, as follows: Grand Jury The Final Report of the Miami-Dade County Grand Jury, Fall A.D was filed on August 7, The Grand Jury arrived at some of the same conclusions, independently, as the EAC had. On Wednesday, October 1, 2003, a Workshop was conducted for the School Board to address and discuss the contents of the Grand Jury Report. State Attorney Katherine Fernandez Rundle appeared before the School Board and provided background information Annual Report of the Ethics Advisory Committee Page 8 of 11 June 8, 2006

31 regarding the report. It should be noted that Mr. Frederick F. Thornburg testified on behalf of the EAC in front of the Grand Jury. Cable Tap Cable-Tap can be used for ethics programming and making the mission and the work of the EAC known to the community. It was also suggested that the EAC should explore with Cable-Tap and possibly WLRN utilizing these media resources to expand its reach to the community. The EAC approved participation in the proposed Cable-Tap programs. Youth Ethics Initiative, Inc. (YEI) This entity s primary mission is to provide training on ethics and promote ethics in the schools curriculum. YEI has a diverse Board of Directors dedicated to working with the school system to help imbed ethics in education and is strongly endorsed and financially supported by the Children s Trust. The Superintendent has also actively supported the YEI s efforts and its Annual Students Ethics Conferences in Miami-Dade and Broward counties. This year nearly 500 students participated in the annual conferences and attendant ethic workshops. The YEI asked the EAC for its endorsement and support of the YEI mission. The EAC voted to recommend this program and to endorse the YEI s endeavors. Mr. Howe recused himself from voting on the YEI request for EAC endorsement. It should be noted that one School Board member expressed the view that it is unethical to serve on the EAC and be on the board of an organization that was seeking School Board support and possible funding. After thorough discussion, the members of the EAC unanimously agreed there was no ethical impropriety, since Mr. Howe fully disclosed his YEI board involvement and recused himself from voting on the YEI request for EAC endorsement. Many months after the vote of endorsing the YEI, the Chair Annual Report of the Ethics Advisory Committee Page 9 of 11 June 8, 2006

32 accepted an appointment to the YEI s Board of Directors because of his philosophical belief in the importance of incorporating ethics as a discipline in the educational curriculum. Miami-Dade County Ethics Coalition Mr. Thornburg and Ms. Regna have been active volunteer members of the Coalition as EAC representatives. Miami-Dade County Commission on Ethics and Public Trust - The EAC has continuously interfaced with Mr. Robert Meyers, its Executive Director, who frequently attends EAC meetings and has worked with the EAC and WLRN to sponsor the debates of School Board candidates in the runoff election. As noted above, EAC member Judge Gelber also serves on the Miami-Dade Commission on Ethics. Projects: Establishment of the Outsider Code of Ethics and Certificate of Compliance A proposed Outsider Code of Ethics and Certificate has been drafted and will be soon submitted to the School Board for action. Its purposes is to provide ethical guidance to those individuals and entities who engage in business with M-DCPS. Establishment of an EAC Executive Director Due to the scope of the EAC mission as defined by the School Board, and the voluntary nature of the EAC, it is respectfully suggested that M-DCPS establish a position of EAC Executive Director. The following are the envisioned roles and responsibilities of an ethics office: o Training Staff o Advising/Opining on Potential Conflicts Annual Report of the Ethics Advisory Committee Page 10 of 11 June 8, 2006

33 o Maintaining and Implementing the Employee and Outsider Codes of Ethics and Certificates of Compliance o Developing Policies and Procedures o Operating Help/Tips Line o Developing/Maintaining Ethics Website o Serving as Liaison to Other Government Ethics Commissions. To conserve expenses and equally important to bring M-DCPS background experience to the Executive Director position, the EAC suggests such an Executive Director post could be filled on a part-time basis by a current school system employee familiar with the functions and the mission of the EAC, the OIG and Audit Committee with requisite independence. In conclusion, the EAC wishes to acknowledge with gratitude the support it has received from the Office of Management & Compliance Audits (Mr. Allen Vann, CPA, Chief Auditor, Mr. Jose F. Montes de Oca, CPA, Assistant Chief Auditor, Ms. Elsie Montijo, Recording Secretary) and the School Board Attorney s Office (Mr. Luis Garcia, Esq.). The EAC also harbors great gratitude for the historical support which the School Board members have afforded to it. Annual Report of the Ethics Advisory Committee Page 11 of 11 June 8, 2006

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52 MISSION STATEMENT The School Board of Miami-Dade County, Florida (the board), created The Ethics Advisory Committee to help ensure the integrity of the board s decision making processes and to restore public confidence in our public schools. The purpose of the Ethics Advisory Committee is to promote the public trust, by among other things, educating the public, candidates for election to the board, Members of the Board and employees of Miami-Dade County Public Schools as to the required standards of ethical conduct, clarifying those standards of conduct and recommending changes to the various rules and regulations which set forth the governing standards of ethical conduct.

53 ETHICS ADVISORY COMMITTEE A HISTORICAL PERSPECTIVE AND THREE YEAR PROGRESS REPORT MAY 2005 The Ethics Advisory Committee (EAC) was formed by School Board rule in March of 2002 in response to a gradual deterioration of public confidence in the M-DCPS system for a variety of reasons. The state had appointed an oversight committee and frozen much needed dollars until there was significant improvement in the M-DCPS. The EAC was created and established pursuant to the majority vote of the members of The School Board of Miami-Dade County, Florida. The EAC is to be an advisory body which may exercise powers specifically granted to it under the School Board enactment. Each member of the committee shall be a United States Citizen, a resident of Miami-Dade County and shall be of outstanding reputation for integrity, responsibility and commitment to serving the community. The charge to the EAC is to promote the public trust, by among other things, educating the public, candidates for election to the board, members of the board and employees of Miami- Dade County Schools as to the required standards of conduct and recommending changes to the various rules and regulations which set forth the governing standards of ethical conduct. The School Board policy provides that The Commission on Ethics shall be composed of seven volunteer members. The members of the Commission shall be appointed as follows: 1) One former federal judge, or former United States magistrate or former state court judge; 2) One former U.S Attorney or Assistant U.S. Attorney, former State Attorney or Assistant State Attorney, 3) The dean of the school of education of the University of Miami, St. Thomas University, Barry University, or Florida International University shall on a rotating basis be requested to appoint one faculty member who has taught a course in professional ethics or has performed services or published in the field of professional ethics for educators. 4) The presidents of the above mentioned universities shall on a rotating basis be requested to appoint one faculty member from either the school of law or the school of business administration or management who has taught a course in professional ethics or has published or performed services in the field of professional ethics. 5) The Dade County Council PTA/PTSA shall be requested to appoint one parent who has or has had a child in a Miami-Dade County Public Schools. 6) The chairperson from the Greater Miami Chamber of Commerce shall be requested to appoint one person from the business community. 7) The director of the Center for Labor Studies at Florida International University shall be requested to appoint one retired public school employee. Page 1 of 6 Rev. 5/23/05

54 The initial appointees were: Dr. Susan Mullane, March 2002, Mr. Frederick Thornburg, March 2002, Dr. Jean-Claude Garcia-Zamor, March 2002, Roger M. Carlton, March 2002, the Honorable Judge Seymour Gelber, March 2002, Jane W. Moscowitz, March 2002, and Daneen Regna, January Mr. Carlton and Dr.Garcia-Zamor left the board in the spring of 2004 and were replaced with Frank lrizarry, Jr. and Dr. Susan Angulo. Mr. Irizarry resigned from the Committee on November 12, 2004 due to conflicting business interests. He was replaced by Mr. James Howe, Executive Director, NCCJ. M-DCPS Superintendent Merrett Stierheirn appointed Paul Philip, Chief of Staff as liaison to the EAC. Mr. Stierheim resigned effective June 30, The M-DCPS hired Dr. Rudy Crew as the new Superintendent of M-DCPS effective July 1, Dr. Crew appointed Mr. Allen Vann as liaison to the EAC. The EAC meets monthly for 2 to 3 hours. The first order of business was for the EAC to develop a mission statement that mirrored the M- DCPS charge to the EAC. The mission statement developed by the members of the EAC reads: The School Board of Miami-Dade County, Florida (the Board), created the Ethics Advisory Committee to help ensure the integrity of the Board s decision making processes and to restore public confidence in our public schools. The purpose of the Ethics Advisory Committee is to promote the public trust, by among other things, educating the public, candidates for election to the Board, members of the Board and employees of Miami-Dade County Public Schools as to the required standards of ethical conduct, clarifying those standards of conduct and recommending changes to the various rules and regulations which set forth the governing standards of ethical conduct. (Emphasis added). The major goal set forth by the EAC was to develop a Code of Conduct, and a method to deliver that Code to the appropriate participants. It was decided the Code needed to address three major groups: I) Students; 2) Administrators, School Board members, teachers; and 3) Those who do business with the M-DCPS. A Student Code of Conduct, as well as a Code of Conduct for Administrators was already in existence. Recommendations were made for upgrades on the existing documents, and a method for the delivery of these documents to the affected parties. Teachers are being trained through a modular program. It was determined that the best method of delivery to the student population would be character development through the school curricula, as required by state law. The Final Report of the Miami-Dade County Grand Jury, Fall Term A.D was filed on August 7, The Grand Jury had arrived at some of the same conclusions, independently, as the EAC had. On Wednesday, October 1, 2003, a Workshop was conducted for the School Page 2 of 6 Rev. 5/23/05

55 Board. State Attorney Katherine Fernandez Rundle appeared before the Board and provided background information regarding the report. It should be noted that Mr. Frederick F. Thornburg testified on behalf of the EAC in front of the Grand Jury. The Grand Jury recommendations included: 1) We recommend that the School Board adopt a policy that precludes a supervisor or administrator (including principals and assistant principals) from exercising direct supervision over an employee who is a relative of the supervisor or administrator. (No nepotism rule). 2) We recommend that the onus be placed on both the employee and the supervisor. The employee should be required to disclose the names of all relatives working at his particular worksite. Similarly, supervisors and administrators should be required to disclose the names of any and all relatives who work at a work site controlled or supervised in any manner by the administrator or supervisor. Simply put, no administrator or supervisor should be conducting performance evaluations, reviewing and/or approving performance evaluations, making recommendations for salaries or salary increases (of a relative). Even a fair evaluation will be viewed as biased by those co-workers who cannot proclaim, I am the Boss son. 3) To assist in achieving the second recommendation, we also recommend that the School Board change its policy to allow all hiring to be centralized. In effect, all hiring would be done from the personnel office with selection being made at the school level from a pool of qualified candidates. The decision of where workers are assigned should be based on need and whether or not someone has the skills to do the job. This would go a long way to undoing what we heard was the present lament among workers at M-DCPS---where you go depends on who you know. 4) We recommend that a copy of each schools annual report be forwarded, as a matter of course, to the ESSAC group that operates for that particular school. In addition, the Grand Jury recommended the hiring of an Inspector General and creating a Code of Ethics for all M-DCPS administrators and employees. Additionally, the Grand Jury recommended that the Board adopt a new rule which requires each school system employee, on an annual basis, to sign a Certificate of Ethical Education, Compliance and Disclosure. As pertains to double-dipping the recommendation was that the School Board change its present policy related to professional leave to reflect that the M-DCPS employees will not be paid by M-DCPS, nor will any M-DCPS benefits accrue during the time that the employee is away on professional leave and performing the duties of their elected position. Since its inception the EAC has addressed the following issues, with the ensuing results: Double-Dipping - At the January 31, 2003 meeting a motion was made to recommend to the school board, that school board employees, when elected to public office, should take leave without pay; so as not to give the impression that they were being paid by the school board to be unofficial lobbyists. The Committee voted 6-1 in favor of the recommendation. The School Board did not accept the recommendation to change the present policy and asked staff to modify the recommendation. Page 3 of 6 Rev. 5/23/05