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ETHICS ETHICS & & CONFLICTS OF CONFLICTS OF INTERESTINTEREST

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Florida’s ConstitutionFlorida’s Constitution

FLORIDA is a forerunner in protecting the FLORIDA is a forerunner in protecting the public trustpublic trust

Almost 40 years ago Florida Constitution was Almost 40 years ago Florida Constitution was revised to require a code of ethics for public revised to require a code of ethics for public employeesemployees

In 1976, the In 1976, the Sunshine AmendmentSunshine Amendment was was adopted, which created a Commission on adopted, which created a Commission on Ethics to investigate complaints of breaches of Ethics to investigate complaints of breaches of public trustpublic trust

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Chapter 112Chapter 112

Chapter 112, Florida Statutes, Chapter 112, Florida Statutes, establishes the Code of Ethics for Public establishes the Code of Ethics for Public Officers and EmployeesOfficers and Employees

The goal of the Code is to: The goal of the Code is to:

““promote the public interest and maintain promote the public interest and maintain the respect of the people for their the respect of the people for their government.” government.” 2005 Guide to the Sunshine Amendment2005 Guide to the Sunshine Amendment

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USF Regulations & USF Regulations & PoliciesPolicies

USF Regulation 6C4-10.206 for A&P, USPS, USF Regulation 6C4-10.206 for A&P, USPS, OPSOPS

USF Regulation 6C4-10.107 for FacultyUSF Regulation 6C4-10.107 for Faculty USF Policy 5-015 for PurchasingUSF Policy 5-015 for Purchasing USF Policy 0-309 for Conflicts of Interest in USF Policy 0-309 for Conflicts of Interest in

Sponsored ResearchSponsored Research

USF Regs & Policies are accessible at the USF Regs & Policies are accessible at the www.usf.edu main page main page

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Keywords & Phrases for Keywords & Phrases for Code ComplianceCode Compliance

Public Officials should act:Public Officials should act: IndependentlyIndependently ImpartiallyImpartially

Public Officials should Public Officials should notnot:: use their position for private gainuse their position for private gain ask for gifts for themselvesask for gifts for themselves

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Prohibited Actions & Prohibited Actions & Required DisclosuresRequired Disclosures

Ethics rules typically fall into two Ethics rules typically fall into two categories:categories: Rules that specify actions an employee is Rules that specify actions an employee is

prohibited from takingprohibited from taking Rules that require certain disclosuresRules that require certain disclosures

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Prohibited Actions - GiftsProhibited Actions - Gifts

Gifts: includes almost anything of value (e.g., Gifts: includes almost anything of value (e.g., real or personal property, preferential rates, real or personal property, preferential rates, forgiveness of debt, transportation, lodging, forgiveness of debt, transportation, lodging, food, beverage, dues, entrance or admission food, beverage, dues, entrance or admission fees)fees)

Solicitation & Acceptance of GiftsSolicitation & Acceptance of Gifts General RuleGeneral Rule: Cannot solicit or accept anything of : Cannot solicit or accept anything of

value in exchange for influencing official actionvalue in exchange for influencing official action If the gift is not intended to influence official action, If the gift is not intended to influence official action,

do not accept if it is valued over $100do not accept if it is valued over $100

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Prohibited Actions - GiftsProhibited Actions - Gifts

““Reporting” employees, including, but not Reporting” employees, including, but not limited to, procurement employees, are limited to, procurement employees, are subject to an extensive set of rules subject to an extensive set of rules governing acceptance of governing acceptance of anything of anything of valuevalue

If you receive a gift and are concerned If you receive a gift and are concerned about the propriety of accepting ask your about the propriety of accepting ask your supervisor or contact OGC supervisor or contact OGC

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Prohibited Actions - Prohibited Actions - OtherOther

Employees (including spouses and minor Employees (including spouses and minor children) children) cannotcannot: :

accept compensation given to influence accept compensation given to influence official actionofficial action

use office to obtain special benefits for use office to obtain special benefits for self or othersself or others

disclose or use information not provided disclose or use information not provided to public for their own or others benefit.to public for their own or others benefit.

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Prohibited Actions – Prohibited Actions – Employment & Business Employment & Business RelationshipsRelationships

Doing business with the UniversityDoing business with the University Holding a conflicting employment or Holding a conflicting employment or

contractual relationship – outside contractual relationship – outside activitiesactivities Special considerationsSpecial considerations

Acting as a private citizenActing as a private citizen Use of University spaceUse of University space ReportingReporting Copyrights & PatentsCopyrights & Patents

Voting if a conflict existsVoting if a conflict exists

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Prohibited Actions - Prohibited Actions - NepotismNepotism

Individual ResponsibilityIndividual Responsibility: Employees cannot : Employees cannot recommend or influence decisions regarding recommend or influence decisions regarding appointment, retention, work assignments, appointment, retention, work assignments, evaluation, promotion, demotion, or salary of a evaluation, promotion, demotion, or salary of a relativerelative

““Relative” defined very broadlyRelative” defined very broadly: includes : includes spouse, sibling, daughter/son-in-law, first spouse, sibling, daughter/son-in-law, first cousin, grandparent, those living as same cousin, grandparent, those living as same residence, and those engaged to marry USF residence, and those engaged to marry USF employeeemployee

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Prohibited Actions – Post-Prohibited Actions – Post-EmploymentEmployment

2 year restriction2 year restriction on post-employment on post-employment lobbying for certain individualslobbying for certain individuals

Restrictions affecting post-employment Restrictions affecting post-employment involvement with certain contracts if:involvement with certain contracts if: PersonalPersonal SubstantialSubstantial

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Required DisclosuresRequired Disclosures

Outside Activities - FormOutside Activities - Form Compensated, andCompensated, and UncompensatedUncompensated

Sponsored Research Sponsored Research GrantsGrants Projects et al.Projects et al.

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The Commission The Commission on Ethicson Ethics

Processes ethics complaintsProcesses ethics complaints Conducts investigations Conducts investigations Statute of LimitationsStatute of Limitations: 5 years from the : 5 years from the

alleged violationalleged violation Whistleblower’s ActWhistleblower’s Act: Protects employees : Protects employees

against retaliation for filing complaints. against retaliation for filing complaints.

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Examples of Commission Examples of Commission Recommendations:Recommendations:

2002 Case2002 Case: Commission recommended : Commission recommended Gov. “impose a public reprimand and civil Gov. “impose a public reprimand and civil penalty” of $5,000 on an allegation that a penalty” of $5,000 on an allegation that a Council member used official influence to Council member used official influence to void a parking ticket issued to his wifevoid a parking ticket issued to his wife

1999 Case1999 Case: Commission recommended : Commission recommended public reprimand and civil penalty of $5,000 public reprimand and civil penalty of $5,000 for acceptance of tickets and complimentary for acceptance of tickets and complimentary admissions.admissions.

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Hypothetical #1Hypothetical #1 Director John B. Good has an opening in Director John B. Good has an opening in

his office for a computer tech. Director his office for a computer tech. Director Good’s first cousin recently graduated with Good’s first cousin recently graduated with a 4.0 GPA in computer science and is a 4.0 GPA in computer science and is applying for the tech position. applying for the tech position.

Should Director Good recommend that the Should Director Good recommend that the hiring committee select his cousin? hiring committee select his cousin?

What if the prospective employee is the What if the prospective employee is the Director’s fiancee? Director’s fiancee? Should the Provost or Vice President be Should the Provost or Vice President be informed of the situation?informed of the situation?

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Hypothetical #2Hypothetical #2

USF employee Sam is privy to a USF employee Sam is privy to a conversation between the Athletic conversation between the Athletic Director and a sports apparel Director and a sports apparel company, company, XL AthleticsXL Athletics. During the . During the course of the conversation, the course of the conversation, the Director agrees to recommend that Director agrees to recommend that USFty enter into a contract with USFty enter into a contract with XL XL AthleticsAthletics for the next three seasons. for the next three seasons.

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Over the course of the next several days, Over the course of the next several days, Sam:Sam:

(1) tells his sister to buy as much of Super (1) tells his sister to buy as much of Super Shield’s stock as possible because they Shield’s stock as possible because they are about to “hit it big;” are about to “hit it big;”

(2) ensures the Super Shield rep that the (2) ensures the Super Shield rep that the contract will be extended to four seasons if contract will be extended to four seasons if Super Shield provides Assoc. A.D. Sports’ Super Shield provides Assoc. A.D. Sports’ charity softball team with new jerseys (a charity softball team with new jerseys (a total value of $95); and total value of $95); and

(3) tells his wife to return the $125 gift (3) tells his wife to return the $125 gift certificate she mysteriously received in the certificate she mysteriously received in the mail from mail from XL AthleticsXL Athletics. . Any problems?Any problems?

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Hypothetical #3Hypothetical #3

Professor Stunningly Smart is asked Professor Stunningly Smart is asked to serve as the chair of the board for to serve as the chair of the board for an organization that seeks cures to an organization that seeks cures to rare, childhood illnesses. As chair, rare, childhood illnesses. As chair, Professor Smart will be required to Professor Smart will be required to spend approximately 5 hours a spend approximately 5 hours a month handling board matters. month handling board matters. Is Professor Smart required to Is Professor Smart required to disclose this activity?disclose this activity?

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Points of ContactPoints of Contact

USF General Counsel’s OfficeUSF General Counsel’s Office: :

(813) 974-2131(813) 974-2131

http://www.usf.edu/OGC

Commission on EthicsCommission on Ethics: :

(850) 488-7864(850) 488-7864

http://www.ethics.state.fl.us/

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