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HomeMy WebLinkAboutDraft Legislation..Title A RESOLUTION OF THE MIAMI CITY COMMISSION ESTABLISHING THE POLICY UNDER WHICH PUBLIC, COMMUNITY BENEFITS, OR COMPLIMENTARY TICKETS OBTAINED THROUGH CONTRACTUAL NEGOTIATION OR OTHER EXERCISE OF PUBLIC AUTHORITY MAY BE DISTRIBUTED FOR ANY PERMISSIBLE PUBLIC PURPOSE, CONSISTENT WITH THE GUIDELINES PROVIDED BY THE MIAMI-DADE COUNTY COMMISSION ON ETHICS AND PUBLIC TRUST. ..Body WHEREAS, the City of Miami ("City") may, from time totem: receive complimentary tickets or passes, through a contract or other exercise of publicbautharhty for use of City -owned venues, or some other similar purpose; and WHEREAS, the Miami -Dade County Commission3on Ethics and Public Trust ("Commission on Ethics") has adopted new guidelinesand recommendations and an addendum of suggested permissible public purposes for City offfkaIs, staff and employees concerning the receipt of tickets by public officials through the . public�benefit" clause . in ce ain government contracts; and WHEREAS, on March 22, 2012, the City Commission adopted Resolution No. R-12- 0124, directing the City Manager and tie City Atto Myto work with the directors and executive directors of all City -run venues to.4recornmend a�fairr and quitable ticket distribution policy consistent with the new guideline dopt,ed' by the Miamii-D deCounty Commission on Ethics for the City Commission's considerationtand approval; and' WHEREAS, on A it 24., 2012, tt e Commissioni'on Ethics issued a General Letter of Instruction to the City of,'Miami iindmg thatxthere wa rio violation of Section 2-613 of the City Code when the City receives, tickets from companiesdoing business with the City, as long as the tickets are giyen for the use; antl benefiteofNthe City; and WHEREAS sar General t:etter,of Instruction further instructed the City to develop and ' �#. ""sm,�, "�i;"� "�pi' revise its policy concerning the' use,4 �listdibt�tion and reporting of tickets and other benefits obtained' bythCitty thrQ g ontractuatagreements for the use of certain City -owned venues; WHEREAS, theACity des es to recognize its employees for their dedicated service and • commitmenkto the comm nity by establishing a policy that would permit employees to receive tickets obtained throug public benefit clauses; and WHEREAS; th City Commission wishes to formally adopt the ticket distribution policy set forth by thisResolution; NOW, THEREFORE, BE IT RESOLVED BY THE COMMISSION OF THE CITY OF MIAMI, FLORIDA: Section 1. The recitals contained in the Preamble to this Resolution are adopted by reference and incorporated as if fully set forth in this Section. Section 2. (a) City -run Venues. For any venue receiving less than forty (40) community benefits or complimentary tickets for a performance of a particular production, event, tour, etc., all tickets shall be designated for City residents, on a first -come, first -serve basis. Each person may receive no more than two (2) tickets, which shall be made available at the venue in which the performance or event will be held and/or at the nearest NET office or City park, when time permits. City residents will be required to provide valid government -issued identification verifying residence within the City, and sign an acknowledgement of receipt and waiver of any and all liability against the City and the particular trust or non-profit organization managing the venue. (b) For any venue receiving forty (40) or more community benefits or complimentary tickets for a particular production, event, tour, etc., the following persons may receive two (2) tickets for one performance of all productions, events, tours, etc. for which suchtckets are available to be used for any permissible public purpose: • Mayor and City Commissioners; e City Manager; In the event the Mayor, City Commissioners, or City Manager arse' unable to use their tickets, the City Manager may otherwise distribute the tickets for any perm issibtelpublic purpose. (1) Ten (10) tickets shall remain available for s}a performance of' -a, pa icular production, event, tour, etc. shall remain available#for all full time employees on a fi t-come, first - serve basis. Each employee may TeeeiVe �, o more,. than two (2) tickets for any performance of a particular production, event tour,. etc'; Tickets shall be made available at the venue in which the performance or event will be held and/or at the nearest NET office or City park, when me 'pe mits. Enployees\will be required to show their employer -issued identificafo or ppayst b and ssig an`'acknowledgement of receipt and waiver of any and all liability ag Inst tr e�City andthe,, particular trust or non-profit organization managing the venues (2) Six (6) tickets,foaone4perform incetoparticular production, event, tour, etc. shall remain with ,the executive directors of the Bayfront Park Management Trust, Gusman Center fo„rPerforming Arts, Vir mia Key Beach Trust, and the directors of the applicable ci "departments to be used .for promoting business/economic development or distribution by • the ,executive' directors to the respective board members of the Bayfr t Parke` anagemerat Tr st, Gusman Center for the Performing Arts, Virginia Key Beach Tr ona first-comerst-serve basis. Visitors for the purpose of usinessieconomics development 'and board members will be required to sign an acknowledgement of rece pfkand waiver of any and all liability against the City and the particular trust orgnon-profit organization managing the venue. (3) #llxremakning eta, available shall be designated for City residents, for a performance of ap rtcular production, event, tour, etc., on a first -come, first -serve basis. Each person may receive no more than two (2) tickets, which shall be made available at the venue in'whicf`the production or event will be held and/or at the nearest NET office or City park, as time may permit. City residents will be required to provide valid government -issued identification verifying residence within the City, and sign an acknowledgement of receipt and waiver of any and all liability against the City and the particular trust or non-profit organization managing the venue. (4) Upon receipt of the tickets from the Promoter/Event holder, a notice of all tickets designated for City residents shall be conspicuously posted in the venues in which such events are held, as well as any NET office or City park where tickets may be held, and specify the times and dates of the production, event, tour, etc., and that tickets will only be available at the venue on a first -come, first -serve basis. • Section 3. Notwithstanding anything provided by this Resolution, all City officials, board members and employees receiving public, community benefits, or complimentary tickets for productions, events, tours, etc. at City -run venues are required to comply with Sections 112.313(4) and 112.3148(4), Florida Statutes, as well as Section 2-11.1 of the Miami -Dade County Code and Sections 2-611 through 2-619 of the Miami City Code, as amended, in addition to the guidelines and addendum set forth by the Commission on Ethics and all other applicable federal, state and local laws. Section 4. This Resolution shall become effective imi diately upon its adoption and signature of the Mayor.{1} APPROVED AS TO FORM AND CORRECTNESS, JULIE 0. BRU CITY ATTORNEY ..Footnote {1} The herein authorization is fu be imposed by the City Attorney, including Charter and Code provisions pliance with all requirements that may to those prescribed by applicable City {2} If the Mayor does hot sign this Reso00, it shall become effective at the end of ten nk e. calendar days fr rdate it)was passed and adopted. If the Mayor vetoes this Resolution, it shall become effective,�nimediatelyfi upon overrde' of the veto by the City Commission. MIAMI-DADE COUNTY COMMISSION ON ETHICS & PUBLIC TRUST 1. Guidelines and recommendations regarding "Public Benefit" Clauses in certain government contracts 2. Addendum to Guidelines and recommendations regarding "Public Benefit" Clauses in certain government contracts MIAMI-DADE COUNTY COMMISSION ON ETHICS & PUBLIC TRUST Guidelines and recommendations regarding "public benefit" clauses in certain government contracts. Pursuant to the Ethics Commission's enabling ordinance) the purpose of the Ethics Commission is to serve as the guardian of the public trust by, among other things, educating the public...elected and appointed officials and other public servants as to the required standards of ethical conduct. The Ethics Commission is empowered to exercise all powers either specifically granted or necessary in the exercise of those enumerated powers. Accordingly, after the conclusion of a joint investigation by the Public Corruption Unit of the Miami -Dade State Attorney's Office (SAO) and the Commission on Ethics (COE); we felt it appropriate to follow up on concerns identified during the investigation and suggest recommendations and guidelines to address those concerns. The investigation involved a grant dispute between the City of Miami Beach (CMB) and the New World Symphony (NWS). The initial complaint was made by a prominent local attorney and former Miami Beach mayor who was also the Chairman of the Board of Trustees of the NWS. The allegation was that the CMB was refusing to pay the NWS monies due under a Grant -in -Aid Agreement (GIAA) unless the NWS provided the Mayor, Commissioners, and CMB Senior Administrative staff with complimentary tickets to NWS performances. The SAO Close -Out memo is attached hereto as Exhibit 1. Although the joint investigation did not uncover any violation of criminal laws, it did expose flawed policies that have resulted in unwarranted and inappropriate benefits for elected and appointed officials. Elected and appointed officials can exploit these policies which provide them with thousands of dollars worth of tickets to coveted events sponsored by private entities that have a contractual relationship with the local governments which these officials serve. Moreover, further investigation has shown that several other municipalities engage in similar Section 2-1066 of the Code of Miami -Dade County. ticket distribution plans. These distribution plans sometimes amount to no more than a thinly disguised form of political favoritism used by elected officials to curry favor with supporters and to build political support. The Commission on Ethics and Public Trust finds these practices troublesome and urges all local governments to consider the recommendations set forth in this report. The City of Miami Beach: The investigation found that the practice by the City of receiving complimentary tickets to City -owned venues was officially sanctioned with the passage of CMB Resolution 93- 20694, which reads as follows: A Resolution of the City Commission of the City of Miami Beach, Florida, providing that complimentary tickets for performances and events at TOPAZ and the Convention Center which would otherwise be received by the Mayor, City Commissioners, and City employees, shall hereafter be made available to disadvantaged youths, disabled persons, senior citizens and other individuals who do not have the financial ability to purchase tickets for cultural events... Now, therefore, be it resolved by the City Commission of the City of Miami Beach, Florida, that: 1) The following City officials shall receive a maximum of four (4) complimentary tickets for one performance of all new productions or events at TOPA and the Convention Center: (1) Mayor and members of the City Commission (2) City Manager (3) City Attorney The following City officials shall receive a maximum of two (2) complimentary tickets for one performance of all new productions or events at TOPA and the Convention Center for which such tickets are available: (1) Senior Assistant City Manager, Contract Administrator (2) Chief Deputy City Attorney 2) Any and all remaining tickets shall be donated to disadvantaged youths, disabled persons, senior citizens of Miami Beach and other individuals who do not have the financial ability to purchase tickets for cultural events. 3) The City administration shall develop guidelines and appropriate procedures with regard to the administration of this program and shall submit said guidelines and appropriate procedures to the City Commission for final 2 Theater of the Performing Arts. 2 approval... (emphasis added) While CMB Resolution 93-20694 allows for the receipt of complimentary tickets to events at only the TOPA and the Convention Center, both City -owned facilities, this resolution has been used by CMB Commissioners and employees to justify the receipt of complimentary tickets to many events at CMB venues including the NWS. In 1993, the then City Manager established a "Promotional Ticket Policy." The policy mirrored the resolution's eligibility requirements, stating that the complimentary tickets be first given to the Mayor, the Commission, the City Attorney, the Assistant City Managers, the Chief Deputy City Attorney, and the Contract Administrator, and that any remaining tickets be donated to disadvantaged youths, disabled persons, and senior citizens. The policy also established the following guidelines: 1) A committee appointed by the City Manager shall meet to establish a list of organizations and/or groups eligible to receive promotional tickets... the list shall be updated every quarter. 2) A current list of local organizations or civic groups shall be maintained from which a rotation of recipients shall exist. 3) Donated promotional tickets may be used by organizations solely to promote fundraisers... 4) No more than ten (10) promotional tickets shall be issued to any one organization for one showlevent. 5) When a representative from an organization receives the tickets he/she will sign a receipt. Organizations will be given a form to be completed and returned to the City Manager's office within two weeks of the show/event... If the organization does not return the completed form, then the City Manager will not issue any more tickets to that organization... It should be noted that virtually none of the CMB employees or elected officials (except for one Assistant City Manager) interviewed during the investigation, were aware of the City's own "Promotional Ticket Policy." Not even the current City Manager, who, according to the policy, is responsible for managing the "Promotional Ticket Program," was aware of its existence. Apparently, the only part of the policy implemented was the distribution of complimentary tickets to the Mayor, Commissioners, and CMB senior staff. No record of the appointment of a ticket distribution committee, nor the creation of a list of organizations authorized to receive tickets, was found. 3 The investigation found that the CMB City Manager acts as the distribution point for all complimentary tickets received by the City. Once tickets come to his office, they are then distributed among the Mayor and City Commissioners. A distribution log is maintained. Once the tickets get into the hands of the elected officials, however, they then have unfettered discretion to do with them what they please. The investigation revealed that many Commissioners kept certain tickets for their personal use. Often, however, Commissioners gave their allotted tickets away to friends, family, staff or other constituents. Certain anecdotal evidence gathered during the course of the investigation suggests that, quite often, the recipients are targeted groups of senior citizens who are made well aware of which Commissioner's beneficence is responsible for the free tickets. The political goodwill derived from these acts of taxpayer subsidized generosity can itself be perceived as a "gift" to the elected official. Utilized by elected officials, this practice is likely to lead to political pandering, including the currying of favor with blocks of potential voters and/or other influential individuals within the electorate. It is clear that the CMB is not adhering at all to the spirit of its own resolution (93 - 20694) in that few of the intended recipients i.e. disadvantaged youths, disabled persons, senior citizens of Miami Beach and other individuals who may not have the financial ability to purchase tickets for cultural events, end up benefiting from these free tickets. "Public Benefits" should, in our view, benefit the actual public at large. It is clear that the primary beneficiaries of these "public benefits" are the government officials; this needs to end. Moreover, this type of ticket distribution system appears tobe the same type of system, that the Florida State Ethics Commission (FSEC) opined, results in "gifts" being given to elected officials. Distribution of tickets obtained through "public benefit" clauses: We recommend that elected official be entirely removed from the process involving distribution of complimentary tickets. All local government entities that have contractual relationships wherein their municipality receives "public benefits," including, but not limited to, event tickets, should adopt a policy or procedure that insulates elected and appointed officials from involvement in the distribution process of the benefits, and limits their receipt of complimentary tickets to occasions when there is a public purpose served by their attendance. 4 We underscore that, when public power is executed through government contracts to extract a benefit, such as complimentary tickets, from a private party, there can be no permissible purpose for such a benefit other than a public one. Such publicly obtained assets do not differ in character from any other public property such as tax revenue or public buildings. Use of such assets for anything other than public purposes is ethically and legally problematic. In light of the City of Miami Beach investigation, the Ethics Commission surveyed the "public benefit" practices in several other municipalities. We learned that, in the City of Miami, tickets are routinely provided to elected officials and the City Manager for events at, among other locales, the James L. Knight Center, Bayfront Park and the Sony Ericsson Tennis Tournament (SETT), through a similar distribution procedure. An Assistant City Manager advised the COE that in 2011, Commissioners, the Mayor and the City Manager each received two (2) tickets per session for a total of twenty-two (22) sessions plus a parking space for the SETT. A City official advised the COE that the SETT tickets are provided as part of an agreement between the City's Department of Asset Management and Miami -Dade County for use of the Marine Stadium parking lot. One elected official in the City advised that he gives the tickets away to "friends...and other important. people." Thus, we see another example of elected officials using the so-called "public benefits," in a manner that inures to their personal or political benefit. In practice, the "public" derives little, if any, benefit, from such a self —interested mode of distribution. Inquiry into similar practices by the City. of Homestead (COH) revealed that COH has lease agreements for the Homestead Sports Complex and the Homestead Speedway (the "Lease Agreements"). For each event held at the complex (pursuant to the City's lease agreement with La Ley Sports at the City of Homestead, Inc.), COH receives: the use of a designated skybox, forty (40) skybox tickets, and twenty (20) parking passes. Pursuant to COH's agreement with Homestead Motorsports Joint Venture, COH has been granted: eighty (80) complimentary general admission tickets, the use of two (2) skyboxes, and complimentary tickets for each seat in the skyboxes for each event held at the speedway. In addition, employees of COH are granted a twenty-five percent (25%) discount off of the face value of a ticket to all motorsports events held at the speedway. Each eligible employee may purchase a maximum of two (2) discounted tickets. 5 One COH official advised the COE that such tickets are routinely Left in his office and that he then distributes those tickets to City officials. This individual said he would appreciate formal guidance from the Ethics Commission on this issue. As another example of the often times inappropriate use of these "public benefits," in 2008, a COH Councilperson was advised by the COE that it would be inappropriate for a Councilperson to offer a candidate running for State office the opportunity to hold a fundraiser at the designated City skybox and only be charged the discounted City rate. An inquiry into the policies of Miami -Dade County's related policies was also made. According to a representative of the Adrienne Arsht Center (AAC), there is no policy that requires the Performing Arts Center to provide a certain number of tickets to each performance to County officials. However, if the Arts Center/AAC has, what they term, "excess inventory," they do contact County Commissioners' offices to obtain the names of non-profit and/or other charity type organizations they can donate the excess inventory tickets to. The tickets themselves do not pass through the hands of County officials. Once again, however, we find that the practice of making the tickets available to a private, non-profit, group upon the mere designation by a single elected official, rather than a neutral, non -political person or entity, is similarly questionable and problematic. COE interviewed the County's Director of Cultural Affairs who advised that he "scrupulously avoids" having any type of "public benefit" clauses in any of the contracts between the County and any of the cultural artsgroups that perform at various County owned facilities. He further advised that many arts groups themselves often provide tickets directly to underprivileged groups on their own but his office does not engage in any distribution of tickets to elected officials nor requires that any number of tickets be provided contractually. The City of Coral Gables (CG) was asked about its policy concerning the issuance of tickets under similar agreements. The COE found that the Actors Playhouse (Miracle Theater) in CG manages to avoid interference from elected officials in their distribution of public benefit tickets. The Executive Director of the Miracle Theater advised that the Playhouse has a management agreement with CG. In the agreement, the Playhouse agrees to give 500 tickets to the community. According to the Executive Director, the Playhouse gives away thousands of tickets every year to not -for -profit agencies, schools, and other groups that represent individuals 6 who cannot afford to buy tickets. She advised that the Playhouse recently gave away 60 tickets to Northwestern High School students (value of more than $1,000.00). The decision as to which tickets to give away and to whom ultimately lies with the Executive Director. The Executive Director claimed that CG does not interfere with the Playhouse's distribution of the tickets. The City does not monitor the Playhouse's distribution of complimentary tickets. She advised that no tickets go to the City. When such benefits are provided wholly through the discretion of a non -governmental entity that is not performing a government function, there is no legal prohibition to consider pursuant to the Miami -Dade County Conflict of Interest and Code of Ethics ordinance, provided that there is no connection between the acceptance of the proffered tickets and any action to be taken by the recipients in his or her public role. The acceptance of such tickets by a public official does, of course, subject the official to the gift reporting requirements where the value of the tickets exceeds $100.00. Attendance as part of official city/county business: Investigation also determined that, in addition to the myriad number of tickets provided pursuant to "public benefit" clauses, elected and appointed officials are invited to attend numerous events as a matter of "official city business." Attendance at "official city business" events generally does not require gift disclosure as longasthe elected/appointed official is, in fact, performing some bona fide official function at the event (see generally, FSEC opinion 01-019). However, it should be noted that mere attendance at an event by an elected official does not magically transform the event into official city business. "Official functions" can include, but are not limited to: participating in a ribbon cutting, giving a speech, or leading the pledge of allegiance. There may also be occasions when, due to the presence of visiting dignitaries or other special invited guests, it will be appropriate for officials to attend an event to socialize with such persons as representatives of the local government. Such occasions, however, should be limited to special occasions rather than regularly scheduled events, and ought to include some official designation by the county/city government to those officials in attendance. 7 It is unlikely that mere, passive attendance by an elected official to such an event, without either some official role in the event, or, at a minimum, recognition as part of an official program of the event, can be considered attendance at an "official function." Ramifications under gift rules: Irrespective of the method of distribution employed by a government entity, elected officials must be cognizant of State and local gift rules when accepting tickets to an event. As previously discussed, if an elected official is attending a function as official city/county business, the value of the ticket or function is not considered a gift and therefore, the elected official is not required to disclose it as such. It is important to note, however, that in CEO-92-33, the FSEC held that City Commissioners have received a gift, not a benefit of office, when the city gives them a block of tickets to performances at a municipally -owned theater, which tickets the City receives as a condition of its lease agreement with the producers. Where a City, by contract, receives tickets to events at the City -owned theater, and where the tickets are divided among the members of the City Commission for either their personal use or to distribute to others at their discretion, the members of the City Commission receive gifts which are subject to gift acceptance and disclosure provisions. Also, a ticket received directly from a non -government entity outside of any previous agreement between the entityand the localgovernment, is subject to the disclosure requirements set out in Section 2-11.1(e) of the Miami -Dade County Conflict of Interest and Code of Ethics Ordinance (reproduced below in its entirety). Lastly, pursuant to Section 112.3148(4), Florida Statutes: "A reporting individual3...is prohibited from knowingly accepting, directly or indirectly, a gift...from a lobbyist who lobbies the reporting individual's...agency...if he or she knows or reasonably believes that the gift has a value in excess of $100..." 3 "Reporting individual" includes "(a) (1.) Every person who is elected to office in any political subdivision of the state, and every person who is appointed to fill a vacancy for an unexpired term in such an elective office." Section 112.3145(1), Florida Statutes. 8 Thus, it is important that elected officials exercise extreme caution in accepting tickets from an individual registered to lobby in their particular government as State law outright prohibits the acceptance of such, if the value is in excess of $100.00. Relevant Ordinances: Miami -Dade County Conflict of Interest and Code of Ethics Ordinance, Miami -Dade County Code Section 2-11.1 states in pertinent part: "(e) Gifts. (1) Definition. The term "gift" shall refer to the transfer of anything of economic value, whether in the form of money, service, loan, travel, entertainment, hospitality, item or promise or in any other form, without adequate and lawful consideration. Food and beverages consumed at a single sitting or meal shall be considered a single gift, and the value of the food and beverage provided at that sitting or meal shall be considered the value of the gift. (2) Exceptions. The provisions of Subsection (e) (1) shall not apply to: (a) Political contributions specifically authorized by state law; (b) Gifts from relatives or members of one's household; (c) Awards for professional or civic achievement; (d) Material such as books, reports, periodicals or pamphlets which are solely informational or of an advertising nature; (e) Gifts solicited by County employees or departmental personnel on behalf of the County in performance of their official duties for use solely by the County in conducting its official business; (f) Gifts solicited by Commissioners on behalf of the County in performance of their official duties for use solely by the County in conducting its official business; (g) Gifts solicited by Commissioners, or theirstaff members, on behalf of any nonprofit organization for use solely by that organization where neither the Commissioner nor his or her staff receives any compensation as a result of the solicitation. As used in this subsection, a "nonprofit organization" shall mean any entity described in section 501(c) (3) of the Internal Revenue Code (the "Code") that is tax exempt under section 501(a) of the Code. As used in this subsection, "compensation" means any money, gift, favor, political contribution, thing of value or other financial benefit. (3) Prohibitions. A person described in Subsection (b) (1) through (6) shall neither solicit nor demand any gift. It is also unlawful for any person or entity to offer, give, or agree to give to any person included in the term defined in Subsection (b) (1) through (6) or for any person included in the term defined in Subsection (b) (1) through (6) to accept or agree to accept from another person or entity, any gift for or because of: (a) An official public action taken or to be taken, or which could be taken; (b) A legal duty performed or to be performed, Or which could be performed; or (c) A legal duty violated or to be violated, or which could be violated by any person included in the term defined in Subsection (b) (1). 9 (4) Disclosure. Any person included in the term defined in Subsection (b) (1) through (6) shall disclose as provided herein any gift, or series of gifts from any one person or entity, having a value in excess of one hundred dollars ($100.00). Said disclosure shall be made by filing a copy of the disclosure form required by Chapter 112, Florida Statutes, for "local officers" with the Clerk of the Board of County Commissioners simultaneously with the filing of the form with the Secretary of State." City of Miami Code, Section 2-613 states in pertinent part: "Every officer, official or employee of the city, including every member of any Board, commission or agency of the city, is expressly prohibited from accepting, directly or indirectly, from any person, company, firm or corporation to which any purchase order or contract is or might be awarded, any rebate, gift, money or anything of value whatsoever, except where given for the use and benefit of the city." Conclusion: It is important to note that the problem we perceive i.e. the unfair advantage provided to elected officials utilizing these tickets as an extension of their self -promotional or campaign activities, is not an issue the Ethics Commission has ever addressed in the past. It appears though that there is simply no good reason why event tickets received by a municipality through a contractual "public benefits" clause or through any other understanding between the municipality and a private entity, should pass through the hands of elected officials. It is recommended that these tickets be distributed to the public by an objective, non -political mechanism. Such a neutral process would remove any suggestion of political or other non-public benefit to the officials. This recommendation is not intended to suggest that distribution of complimentary tickets by public officials is an automatic or per se violation of the ethics ordinance or other applicable ethics rules. It is conceivable that some public officials distribute such benefits in a manner that is non -political and otherwise appropriate. However, the temptations that are inherently likely to cause ethical problems are heightened by any policy that allows such discretionary distribution without oversight or accountability. The difficulty in fashioning an ethically unassailable policy under those circumstances has led to the recommendations contained in this report. 10 One of the ways we suggest that tickets be made available to the public is to post an announcement on the city/county's website or other publicly advertised medium, notifying the public of when tickets are available and allowing individuals interested in obtaining them to seek them from a non -political source, for example, the City/County Clerk's office. The tickets could be either given away or sold at a discounted rate. Another method might be to follow the Promotional Ticket Policy that the City of Miami Beach adopted but never implemented. This method would seem to ensure that youth organizations, seniors or low income groups get to reap the majority of the public benefit, consistent with the true intention of such contract provisions. It would deny elected officials the undeserved opportunity to grandstand or otherwise use the giveaway of tickets to further their personal or political agendas. Yet another suggested process is to follow CG's example and remove the government entity from the process entirely. Again, we reiterate that "public benefits" should not inure to the personal, private benefit of elected and appointed officials. These "public benefit" clauses should not be interpreted as another opportunity for elected and appointed officials to reap "perks of office or be utilized by them for political or other self- aggrandizing purposes. Public benefits should truly benefit the public -at —large, not just certain influential or well-connected individuals. We understand that the SEC has opined that officials may receive tickets pursuant to "public benefit" clauses, as long as they report them pursuant to the gift reporting requirements. We want to underscore, by this policy statement, that we believe that elected and appointed officialsshould have no need .to.report benefits received under "public' benefit" clauses because they should not be the recipients of these benefits in the first place, unless they are being used by them in their official roles, as previously described. Public benefits should benefit the public; they should not be used by elected officials to ingratiate themselves with supporters. It is unethical, in our view, for officials to dole out benefits meant for the public -at -large in a manner that serves the officials personal interests rather than the public's interest. We hope that local governments will take these recommendations seriously and expeditiously implement changes in accordance with this report. The frequency with which the issue of distribution of "public benefits" has arisen in the past and continues to arise, including inquires to this agency, has led to this attempt to clarify and explain the ethical issues involved. 11 To that end, we hereby resolve to adopt as a set of "best practices" the recommendations set forth in this report. Moreover, we will continue to examine the ticket distribution policies of local governments to ensure that they are in conformance with applicable ethics rules. While such policies need not be identical, we believe that adherence to the guidelines and recommendations herein would insure such conformance. Further, we will investigate any instance brought before us, where it appears that "public benefits" are being exploited for the benefit of elected or appointed officials for possible violations of the Miami -Dade County Conflict of Interest and Code of Ethics ordinance. In sum, we recommend as follows: 1. Municipalities and local governments may have "public benefit" clauses in contracts between certain entities and the respective cities. The "public benefits" however, should benefit the public -at -large. 2. Tickets or other "public benefits" should be distributed in a non -political, neutral manner with no interference from local officials. 3. If local officials are the recipient of tickets or other benefits, and the value of the benefits exceed $100.00, the official must comply with gift disclosure rules. 4. Local officials may not accept tickets with a value in excess of $100.00 from any person registered to lobby the government which they serve. This is prohibited pursuant to Section 112.3148(4), Florida Statutes: A reporting individual4...is prohibited from knowingly accepting, directly or indirectly, a gift...from a lobbyist who lobbies the reporting individual's...agency...if he or she knows or reasonably believes that the gift has a value in excess of $100..." 5. If an official is appearing at an event in his or her official capacity, for a public purpose, the official need not report the attendance at the event as a gift. However, mere passive, spectator attendance at an event will not be regarded as attendance in one's official capacity for a public purpose. Attending an event merely to "be seen" by your constituency is not, in our view, a "public. "Reporting individual" includes "(a) (1.) Every person who is elected to office in any political subdivision of the state, and every person who is appointed to fill a vacancy for an unexpired term in such an elective office." Section 112.3145(1), Florida Statutes. 12 purpose". Attendance at "official city business" events generally does not require gift disclosure as long as the elected/appointed official is, in fact, performing some bona fide official function at the event. Although the Miami - Dade County Ethics Commission may not have specifically opined in this area in a formal way, we agree with the rationale of the State Ethics Commission's opinions in FSEC opinions 91-46 and 01-019. Those opinions hold that a public or local officer who claims that [a] trip is not a gift is not relieved of the responsibility of determining that he is in fact giving quid pro quo, that is, that the value of his time and services are equal to or greater than the,value of the trip. 13 ADDENDLT\4 TO GUIDELINES AND RI:C.OIMMENDATIONS REGARDING' ``P.UBLIC BENEFIT CLAUSESIN CERTAIN GOVERNMENT CONTRACTS:. PUBLIC PURPOSE: fit; s the, intent of these guidelines and recoi imendations eoricernini thef distribution of tickets and other pubhc:benefits;,obtained by,gouernmental'entities through contractual negotiation, or other exercise of public authority; to assure that thesebenefits; which are public .property; shall be used- and distributed for a public purpose, The ov.erridingprincipl'ebehind these suggestions_ is to; curtail; the private use. .ofthesepublic benefits by government,.offcials. aiid employees for their o'vn personal ;benefit, directly -or indirectly. In :addition, these ;guidelines,arc established to provide ;guidanec to" such; offcials and their employees, :as well as then advisors, in order to: avoid'p ossible.'futuremisuse of such public resources: It is hoped: that this will, also increase:public confidence-inthe integrity o%government in its use .of such resources, as well as help to remove:the perception thatelected: and; other government officials, distribute these pubhc:beriOtitY.WithiMfetteteddiSeretiOn: and. for •purposes inconsistent with. the proper disposition of public;praperty. Further, it is; the_ intent oftliese guidelines! and. recommendations to make clear that public benefits maybe utilized under certain permissible circumstances by elected and .other govenunentofficials and: employees -where=there genuine,'legitimate and articulable public purpose involved. To; that :end, we `have set forth, below,a',list ofsuggested permissible public purposes tot government officials;. staff aril .employees to,conslder`when it is appropriate to use, for themselves'or, others, public :benefits contemplated by theseguidelines The '.foregoiig:list is:not,exhaustive; The Gommissiomon Ethics is4always;availableto:;provideansopinionto,aninquiringpublic'offcial or employee regarding,: whether any particularuse er method:of distribution is etliicallyac eptable. PERMISSIBLE PUBLIC PURPOSES: FOR OFFICIALS,:;STAF,F AND. SINIPLOYEES 1 'Host.business• leaders to promote .COflOI11iL. development 2. ,Host.leaders of`Gonin,u lity servi'c:e organizations (e g organizations' that. Serve. the disadvantaged, senior., citizens; disabled, ill, children„etc ); 3 Host„dignitaries from municipal, state and federal governmental entities; 4 Host dignitaries: and business leaders front other.countries; 5 .Host youth groups, student leaders and: recipients=of awards 6 Bost elderly Miami Dade County residents; 7 .Host disabled, residents; 8, Host low-income residents; 9 Vest constituents as: (a); a designated: offial:by-the:Comniission, Chairperson,. 1v1ayonor some. other^per:son,:delegated that;r:esponsibility, or (II) .upon invitation :of the 'event Organi er(S) .or a'person' or entity authoriied,to; extend such invitation; 10 Host group(s) of governr i nta1 employees being specially reeognized;for joli- ri.±tt d aehiev.eiii sits, 11:,;Being officially':r"eeognized by .the sponsors of. event in a printed program or: other, public announcement. 12 _ :Perfonrung one of the following'functions in 'one's Official capacity a:; (a) a, ,designated official by the Commission„ Chairperson, Mayor>or other;person delegated':that respolistliilty, or (b) an individual invitedsby.the''.venue; �1 bitroducing organizersaarticipaptsi digraaries;-, b.. -Recognizing the contributions of the organizers .orstaff; ,.c. Receiving or giving an award or other special recognition, e Oreting and WOOlOrrlifIg 401100% f Ribbon cutting , g:. Leading the .pledge of allegianceor national anthem,, Acting as a goodwill ambassador designated by,the.cointhisidni . Council (haitfietsbii, Mayor or other person toalife.d.to delegate that responsibility, Assess facility needs proposed changes Anit constituent concerns:,in response a documented complaint specifically addressed4o.the attendee, Attoo4hIgihd.,opoiq7aaytartip'Orfp.orfOtt11400 Ofa:004t1W0V _ owned H. OTHER PERMISSIBLE :USES OFI:PUBLIC BENEFITS :biStribtitidit.AO-ItSidehtS.,,dii a'publiciy,4dvertised first.-tbiffe,lentt-VorVedliaSiS: or by lottery; 'Sell i0 members ofthe public ifpermissible, with the proceeds &QiPgt9-11P general fund or a SpeOlAi-clOgrlgect:1?..04i.97Y1P9§ 3. 'ReturnAo donor in exchange for monetary value with the approval ofithe. govermng body -of the:(otiitytity4 4: Allo,c,:atiOtiSlof Non-profit agencies for distribution toindividuals served by the organizations; b. Schodlststudents or youth athletic. leagues; •;c Bona. fide organizations that represent needy individuals which organizations have no affihiation with the public official proiditigithc: benefits or the official s immediate Community' based sorganizations for distribution taindividuals served by the organizations :5—Aild-CatiOnS.16 the following::based'Upoh their contributions to the commumty or local.government: • a..„ Employees, as part, of an employee rppggpti.on prpgrArri. vqilh defined ciiteria;. Residents who fraVC, made special .CotitribtdOnSto the community, as established by defined criteria. c 1-ThOleO:iOd members who serve without pay on County/City boards; 'County ; State and/or federal officials or local officials from other cities in recognition of significant asiistanceloithe, local -government.,, L. BilSifiCSSCSLd titutibns hhavetofitsitedt6;thlfee of the COtinty7,(ity.,; • .:f viOtirtg*gh.itari0 pr ;foreign officia,s,: CITY OF MIAMI RESOLUTION NO. R-12-0124 City of Miami Legislation • Resolution: R-12-0124 City Hall 3500 Pan American Drive Miami, FL 33133 www.miamigov.com File Number: 12-00315 Final Action Date: 3/22/2012 A RESOLUTION OF THE MIAMI CITY COMMISSION ESTABLISHING A POLICY FOR THE DISTRIBUTION OF PUBLIC OR COMMUNITY BENEFITS TICKETS AS STATED HEREIN. WHEREAS, the City of Miami ("City") may, from time to time, receive complimentary tickets or passes through a contractual "public benefit or community benefits" clause; and WHEREAS, as a matter of past practice these tickets or passes were provided to the Mayor, City Commission, City Manager, other appointed officials or employees; and WHEREAS, the Miami -Dade County Commission on Ethics has adopted new guidelines and recommendations regarding the receipt of tickets by public officials under "public benefit" clauses in certain government contracts; and WHEREAS, consistent with such guidelines and recommendations, the City Commission hereby expresses its intent to adopt policies that ensure that the distribution of tickets or passes serves a legitimate public purpose; and WHEREAS, the City Commission acknowledges that elected and appointed officials are required from time to time to attend numerous events as a matter of "official City business", including but, not limited to, opening ceremonies, ribbon cutting, accompanying dignitaries, marketing and promotion of the City and City venues; and WHEREAS, the City Commission acknowledges that performing such bona fide official functions at an event is appropriate and serves a valid public purpose; and WHEREAS, the City Commission has determined that such free tickets or passes are public resources; NOW THEREFORE, BE IT RESOLVED, BY THE CITY COMMISSION OF THE CITY OF MIAMI, FLORIDA: Section 1. The recitals and findings contained in the Preamble to this Resolution are adopted by reference and incorporated as fully set forth in this Section. Section 2. The City Manager is hereby directed to undertake all necessary action to obtain for the City the monetary value associated with the City's entitlement to the use of the suite at the Marlins Ballpark and any and all tickets associated with the Sony Ericsson Open tennis tournament, with all revenues generated thereby, to be set aside in the City's general fund and subject to future allocation by the City Commission. , Section 3. The City Manager and the City Attorney are hereby directed to work with the directors Ciry of Miami Page 1 of 2 • File Id: 12-00313 (Version: 1) Printed On: 3/23/2012 File Number. 12-00315 Enactment Number: R-12-0124 or executive directors of all the various City -run venues including but not limited to Bayfront Park, James L. Knight Center, and the Olympia Theater at the Gusman Center for the Performing Arts, to establish best practices for the fair and equitable distribution of complimentary tickets obtained under City contracts, and to bring back to the City Commission recommendations for a City policy consistent with the new guidelines adopted by the Miami -Dade County Commission on Ethics to be adopted by the City Commission. Section 4. This Resolution shall become effective immediately upon its adoption and signature of the Mayor.{1} Footnotes: {1} If the Mayor does not sign this Resolution, it shall become effective at the end of ten calendar days from the date it was passed and adopted. If the Mayor vetoes this Resolution, it shall become effective immediately upon override of the veto by the City Commission. City of Miami Page 2 of 2 File Id: 12-00315 (Version: 1) Printed On: 3/23/2012 MIAMI DADE COUNTY COMMISSION ON ETHICS & PUBLIC TRUST General Letter of Instruction to the City of Miami MIAMI-DADE COUNTY COMMISSION ON ETHICS AND PUBLIC TRUST GENERAL LETTER OF INSTRUCTION To: The City of Miami From: The Miami -Dade County Commission on Ethics and Public Trust Re: C12-07 (Crespo v. City of Miami officials et al.) Date: April2012 On March 27, 2012, the Commission on Ethics (COE) dismissed Ethics Complaint C12-07, which alleged that various City of Miami officials violated Section 2-613 of the City of Miami Code and Section 2-11.1(e) of the Miami -Dade County Conflict of Interest and Code of Ethics. In dismissing the complaint, this Commission ordered, and the City agreed to accept, a , General Letter of Instruction to be issued to the City. The letter is to be used and adhered to, by the City, in developing and revising their policy concerning the use, distribution and reporting of tickets and other benefits obtained by the City through contractual agreements with certain City owned venues. Wherefore, the Miami -Dade County Commission on Ethics and Public Trust issues this General Letter of Instruction. The COE found that there was no violation of Section 2-613 of the City Code. That ordinance specifically provides for exclusion from the general prohibition on accepting gifts from companies doing business with the City, if the items are "given for use and benefit of the City." We found fault however, with the City's view that, because the tickets were obtained through a contractually negotiated process, the use of the tickets was "per se" considered "for the benefit of the City," regardless of who ultimately received and/or used the tickets or in what capacity they were used. The City expanded on this erroneous concept to justify its position that, even after the tickets were distributed to officials or other government employees, they were not reportable gifts because they were considered to be "used for City purposes," not because they were actually used for a City purpose, but because they were obtained through a City negotiated agreement. This Commission recently adopted a set of suggested guidelines regarding the issue of public benefit tickets. A copy of those guidelines is attached hereto and hereby incorporated and made a part of this General Letter of Instruction. Further guidance can be found in opinions issued by the Florida State Commission on Ethics (FSEC); specifically, CEO 91-46, 92-33, 01- 19 and 05-5. Those opinions express that mere passive attendance at an event for which an official has received a ticket through a "public benefits" clause does not automatically transform the event into a "public purpose." In short, if an elected official or City employee attends an event for which he/she received a ticket through a "public benefit" contract, that does not automatically mean that their attendance at the event is "for a public purpose/business" or that he/she is using the ticket for the benefit of the City. Under our guidelines, elected officials should not be receiving any such tickets unless they are attending an event in the performance of a public function, i.e., their receipt of tickets given for a public purpose must, by definition, fit within the parameters of "public purpose." For further guidance on what qualifies as a "public purpose" the addendum to our guidelines is also attached hereto, incorporated herein and made a part of this General Letter of instruction. To be clear, we are instructing the City that merely because an individual official or employee receives a ticket obtained ostensibly for the "use and benefit of the City," does not automatically or per se make the use of that ticket by the individual "for a public purpose" or "for City business," thereby, exempting the ticket recipient from gift reporting compliance. In other words, accepting tickets obtained through contractual negotiated arrangement by the City will not violate 2-613, but may still require gift reporting pursuant to 2-11.1 (e)(4) and, where applicable, State of Florida reporting requirements. Disclosure is only not required when the ticket(s) is utilized for a legitimate public purpose, for example, when the official is present in their official capacity, on behalf of the City. I However, we strongly caution officials and employees that "public benefits" i.e. those tickets or other benefits obtained by the government through the exercise of its contractual power and authority should not be used for the private enjoyment of officials and employees. This is especially so where the official is involved in making the decision to distribute the public benefits. Moreover, we instruct the City that, where the government official or employee is given two (2) or more tickets (one for themselves and one for their spouse, for example) the receipt of both tickets should be disclosed as a gift by the government official. This logic is not only consistent with FSEC opinion 92-33, but also with this Commission's holding in ethics CEO 01-19 spells out other usage criteria to include: attendance to promote economic development, recognize the contribution of city boards, neighborhood associations, youth groups and other community service organizations. 3 complaint C11-14. C11-14 involved a municipal City Manager who failed to disclose as a "gift" the cost of his spouse's travel expenses which were paid for by the municipality. In making its determination, this Commission relied on FSEC opinion 06-27, which specifically held that a city official has received a gift when the city pays travel expenses for the official's spouse to accompany the city official on a city -sponsored trip. It seems a natural extension that an invitation (or ticket) given to one spouse (who happens to be required to report gifts) that includes the offer to bring the other (non -reporting) spouse, is a gift to the reporting spouse, not a separate, non -reportable gift to the non- reporting spouse.2 We remind the City that it is often the mere appearance of impropriety that shakes the public's trust and confidence in its officials; thus, every care should be taken to avoid such appearances. This Commission is aware and appreciative of the fact that the City has already begun to draft policies that bring its practices,in line with the recommendations and guidelines that we have promulgated. The City is encouraged to seek an ethics opinion from this Commission in any future circumstance or whenever there is a question or doubt about the ethical implications of any matter. 2 In INQ 09-86, the former Executive Director of the COE advised Commissioner Rebecca Sosa that she must disclose as gifts all expenses associated with airfare and lodgings to the Canary Islands provided to her and her husband by an airline company in recognition of the Commissioner's efforts in getting nonstop flights from MIA to the Canary Islands. 4 References 1. Sections 112.313 & 112.3148, Florida Statutes 2. Section 2-11.1, Miami -Dade County Code 3. Sections 2-611 through 2-619, Miami City Code Statutes & Constitution :View Statutes : Online Sunshine Page 1 of 1 Select Year: 2011 gekg .Gg; The 2011 Florida Statutes Title X PUBLIC OFFICERS, EMPLOYEES, AND RECORDS Chapter 112 PUBLIC OFFICERS AND EMPLOYEES: GENERAL PROVISIONS View Entire Chapter 112.313 Standards of conduct for public officers, employees of agencies, and local government attorneys.— (1) DEFINITION. —As used in this section, unless the context otherwise requires, the term "public officer" includes any person elected or appointed to hold office in any agency, including any person serving on an advisory body. (2) SOLICITATION OR ACCEPTANCE OF GIFTS. —No public officer, employee of an agency, local government attorney, or candidate for nomination or election shall solicit or accept anything of value to the recipient, including a gift, loan, reward, promise of future employment, favor, or service, based upon any understanding that the vote, official action, or judgment of the public officer, employee, local government attorney, or candidate would be influenced thereby. (3) DOING BUSINESS WITH ONE'S AGENCY. —No employee of an agency acting in his or her official capacity as a purchasing agent, or public officer acting in his or her official capacity, shall either directly or indirectly purchase, rent, or lease any realty, goods, or services for his or her own agency from any business entity of which the officer or employee or the officer's or employee's spouse or child is an officer, partner, director, or proprietor or in which such officer or employee or the officer's or employee's spouse or child, or any combination of them, has a material interest. Nor shall a public officer or employee, acting in a private capacity, rent, lease, or sell any realty, goods, or services to the officer's or employee's own agency, if he or she is a state officer or employee, or to any political subdivision or any agency thereof, if he or she is serving as an officer or employee of that political subdivision. The foregoing shall not apply to district offices maintained by legislators when such offices are located in the legislator's place of business or when such offices are on property wholly or partially owned by the legislator. This subsection shall not affect or be construed to prohibit contracts entered into prior to: (a) October 1, 1975. (b) Qualification for elective office. (c) Appointment to public office. (d) Beginning public employment. (4) UNAUTHORIZED COMPENSATION. —No public officer, employee of an agency, or local government attorney or his or her spouse or minor child shalt, at any time, accept any compensation, payment, or thing of value when such public officer, employee, or local government attorney knows, or, with the exercise of reasonable care, should know, that it was given to influence a vote or other action in which the officer, employee, or local government attorney was expected to participate in his or her official capacity. http://www.leg. state.fl.us/Statutes/index.cfm?App_mode=Display_Statute&Search_String=... 6/4/2012 Statutes & Constitution :View Statutes : Online Sunshine Page 1 of 5 Select Year: 2011 The 2011 Florida Statutes Title X Chapter 112 View Entire PUBLIC OFFICERS, EMPLOYEES, PUBLIC OFFICERS AND EMPLOYEES: Chapter AND RECORDS GENERAL PROVISIONS 112.3148 Reporting and prohibited receipt of gifts by individuals filing full or limited public disclosure of financial interests and by procurement employees.— (1) The provisions of this section do not apply to gifts solicited or accepted by a reporting individual or procurement employee from a relative. (2) As used in this section: (a) "Immediate family" means any parent, spouse, child, or sibling. (b)1. "Lobbyist" means any natural person who, for compensation, seeks, or sought during the preceding 12 months, to influence the governmental decisionmaking 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. 2. With respect to an agency that has established by rule, ordinance, or law a registration process for persons seeking to influence decisionmaking or to encourage the passage, defeat, or modification of any proposal or recommendation by such agency or an employee or official of the agency, the term "lobbyist" includes only a person who is required to be registered as a lobbyist in accordance with such rule, ordinance, or law or who was during the preceding 12 months required to be registered as a lobbyist in accordance with such rule, ordinance, or law. At a minimum, such a registration system must require the registration of, or must designate, persons as "lobbyists" who engage in the same activities as require registration to lobby the Legislature pursuant td s. 11.045. (c) "Person" includes individuals, firms, associations, joint ventures, partnerships, estates, trusts, business trusts, syndicates, fiduciaries, corporations, and all other groups or combinations. (d) "Reporting individual" means any individual, including a candidate upon qualifying, who is required by law, pursuant to s. 8, Art. II of the State Constitution or s. 112.3145, to file full or limited public disclosure of his or her financial interests or any individual who has been elected to, but has yet to officially assume the responsibilities of, public office. For purposes of implementing this section, the "agency" of a reporting individual who is not an officer or employee in public service is the agency to which the candidate seeks election, or in the case of an individual elected to but yet to formally take office, the agency in which the individual has been elected to serve. (e) "Procurement employee" means any employee of an officer, department, board, commission, or council of the executive branch or judicial branch of state government who participates through decision, approval, disapproval, recommendation, preparation of any part of a purchase request, influencing the content of any specification or procurement standard, rendering of advice, investigation, or auditing or in any other advisory capacity in the procurement of contractual services or commodities as defined in s. 287.012, if the cost of such services or commodities exceeds $1,000 in any year. http://www.leg.state.fl.us/Statutes/index.cfm?App_mode=Display_Statute&Search_String=... 6/4/2012 Statutes & Constitution :View Statutes : Online Sunshine Page 2 of 5 (3) A reporting individual or procurement employee is prohibited from soliciting any gift from a political committee or committee of continuous existence, as defined in s. 106.011, or from a lobbyist who lobbies the reporting individual's or procurement employee's agency, or the partner, firm, employer, or principal of such lobbyist, where such gift is for the personal benefit of the reporting individual or procurement employee, another reporting individual or procurement employee, or any member of the immediate family of a reporting individual or procurement employee. (4) A reporting individual or procurement employee or any other person on his or her behalf is prohibited from knowingly accepting, directly or indirectly, a gift from a political committee or committee of continuous existence, as defined in s. 106.011, or from a lobbyist who lobbies the reporting individual's or procurement employee's agency, or directly or indirectly on behalf of the partner, firm, employer, or principal of a lobbyist, if he or she knows or reasonably believes that the gift has a value in excess of $100; however, such a gift may be accepted by such person on behalf of a governmental entity or a charitable organization. If the gift is accepted on behalf of a governmental entity or charitable organization, the person receiving the gift shall not maintain custody of the gift for any period of time beyond that reasonably necessary to arrange for the transfer of custody and ownership of the gift. (5)(a) A political committee or a committee of continuous existence, as defined in s. 106.011; a lobbyist who lobbies a reporting individual's or procurement employee's agency; the partner, firm, employer, or principal of a lobbyist; or another on behalf of the lobbyist or partner, firm, principal, or. employer of the lobbyist is prohibited from giving, either directly or indirectly, a gift that has a value in excess of $100 to the reporting individual or procurement employee or any other person on his or her behalf; however, such person may give a gift having a value in excess of $100 toa reporting individual or procurement employee if the gift is intended to be transferred to a governmental entity or a charitable organization. (b) However, a person who is regulated by this subsection, who is not regulated by subsection (6), and who makes, or directs another to make, an individual gift having a value in excess of $25, but not in excess of $100, other than a gift which the donor knows will be accepted on behalf of a governmental entity or charitable organization, must file a report on the last day of each calendar quarter, for the previous calendar quarter in which a reportable gift is made. The report shall be filed with the Commission on Ethics, except with respect to gifts to reporting individuals of the legislative branch, in which case the report shall be filed with the Division of Legislative Information Services in the Office of Legislative Services. The report must contain a description of each gift, the monetary value thereof, the name and address of the person making such gift, the name and address of the recipient of the gift, and the date such gift is given. In addition, when a gift is made which requires the filing of a report under this subsection, the donor must notify the intended recipient at the time the gift is made that the donor, or another on his or her behalf, will report the gift under this subsection. Under this paragraph, a gift need not be reported by more than one person or entity. (6)(a) Notwithstanding the provisions of subsection (5), an entity of the legislative or judicial branch, a department or commission of the executive branch, a water management district created pursuant to s. 373.069, South Florida Regional Transportation Authority, the Technological Research and Development Authority, a county, a municipality, an airport authority, or a school board may give, either directly or indirectly, a gift having a value in excess of $100 to any reporting individual or procurement employee if a public purpose can be shown for the gift; and a direct -support organization specifically authorized by law to support a governmental entity may give such a gift to a reporting individual or procurement employee who is an officer or employee of such governmental entity. http://www.leg.state.fl.us/Statutes/index.cfm?App_mode=Display_Statute&Search_String=... 6/4/2012 Statutes & Constitution :View Statutes : Online Sunshine Page 3 of 5 (b) Notwithstanding the provisions of subsection (4), a reporting individual or procurement employee may accept a gift having a value in excess of $100 from an entity of the legislative or judicial branch, a department or commission of the executive branch, a water management district created pursuant to s. 373.069, South Florida Regional Transportation Authority, the Technological Research and Development Authority, a county, a municipality, an airport authority, or a school board if a public purpose can be shown for the gift; and a reporting individual or procurement employee who is an officer or employee of a governmental entity supported by a direct -support organization specifically authorized by law to support such governmental entity may accept such a gift from such direct -support organization. (c) No later than March 1 of each year, each governmental entity or direct -support organization specifically authorized by law to supporta governmental entity which has given a gift to a reporting individual or procurement employee under paragraph (a) shall provide the reporting individual or procurement employee with a statement of each gift having a value in excess of $100 given to such reporting individual or procurement employee by the governmental entity or direct -support organization during the preceding calendar year. Such report shall contain a description of each gift, the date on which the gift was given, and the value of the total gifts given by the governmental entity or direct - support organization to the reporting individual or procurement employee during the calendar year for which the report is made. A governmental entity may provide a single report to the reporting individual or procurement employee of gifts provided by the governmental entity and any direct -support organization specifically authorized by law to support such governmental entity. (d) No later than July 1 of each year, each reporting individual or procurement employee shall file a statement listing each gift having a value in excess of 5100 received by the reporting individual or procurement employee, either directly or indirectly, from a governmental entity or a direct -support organization specifically authorized by law to support a governmental entity. The statement shall list the name of the person providing the gift, a description of the gift, the date or dates on which the gift was given, and the value of the total gifts given during the calendar year for which the report is made. The reporting individual or procurement employee shall attach to the statement any report received by him or her in accordance with paragraph (c), which report shall become a public record when filed with the statement of the reporting individual or procurement employee. The reporting individual or procurement employee may explain any differences between the report of the reporting individual or procurement employee and the attached reports. The annual report filed by a reporting individual shall be filed with the financial disclosure statement required by either s. 8, Art. Il of the State Constitution or s. 112.3145, as applicable to the reporting individual. The annual report filed by a procurement employee shall be filed with the Commission on Ethics. The report filed by a reporting individual or procurement employee who left office or employment during the calendar year covered by the report shall be filed by July 1 of the year after leaving office or employment at the same location as his or her final financial disclosure statement or, in the case of a former procurement employee, with the Commission on Ethics. (7)(a) The value of a gift provided to a reporting individual or procurement employee shalt be determined using actual cost to the donor, less taxes and gratuities, except as otherwise provided in this subsection, and, with respect to personal services provided by the donor, the reasonable and customary charge regularly charged for such service in the community in which the service is provided shall be used. If additional expenses are required as a condition precedent to eligibility of the donor to purchase or provide a gift and such expenses are primarily for the benefit of the donor or are of a charitable nature, such expenses shall not be included in determining the value of the gift. http://www.l eg.state.fl.us/Statutes/index.cfm?App_mode=Display_Statute&Search_String=... 6/4/2012 Statutes & Constitution :View Statutes : Online Sunshine Page 4 of 5 (b) Compensation provided by the donee to the donor, if provided within 90 days after receipt of the gift, shall be deducted from the value of the gift in determining the value of the gift. (c) If the actual gift value attributable to individual participants at an event cannot be determined, the total costs shall be prorated among all invited persons, whether or not they are reporting individuals or procurement employees. (d) Transportation shall be valued on a round-trip basis unless only one-way transportation is provided. Round-trip transportation expenses shall be.considered a single gift. Transportation provided in a private conveyance shall be given the same value as transportation provided in a comparable commercial conveyance. (e) Lodging provided on consecutive days shall be considered a single gift. Lodging in a private residence shall be valued at the per diem rate provided in s. 112.061(6)(a)1. less the meal allowance rate provided in s. 112.061(6)(b). (f) Food and beverages which are not consumed at a single sitting or meal and which are provided on the same calendar day shall be considered a single gift, and the total value of all food and beverages provided on that date shall be considered the value of the gift. Food and beverage consumed at a single sitting or meal shall be considered a single gift, and the value of the food and beverage provided at that sitting or meal shall be considered the value of the gift. (g) Membership dues paid to the same organization during any 12-month period shall be considered a single gift. (h) Entrance fees, admission fees, or tickets shall be valued on the face value of the ticket or fee, or on a daily or per event basis, whichever is greater. (i) Except as otherwise specified in this section, a gift shall be valued on a per occurrence basis. (j) The value of a gift provided to several individuals may be attributed on a pro rata basis among all of the individuals. If the gift is food, beverage, entertainment, or similar items, provided at a function for more than 10 people, the value of the gift to each individual shall be the total value of the items provided divided by the number of persons invited to the function, unless the items are purchased on a per person basis, in which case the value of the gift to each person is the per person cost. (k) The value of a gift of an admission ticket shall not include that portion of the cost which represents a charitable contribution, if the gift is provided by the charitable organization. (8)(a) Each reporting individual or procurement employee shall file a statement with the Commission on Ethics not later than the last day of each calendar quarter, for the previous calendar quarter, containing a list of gifts which he or she believes to be in excess of $100 in value, if any, accepted by him or her, for which compensation was not provided by the donee to the donor within 90 days of receipt of the gift to reduce the value to $100 or less, except the following: Gifts from relatives. 2. Gifts prohibited by subsection (4) or s. 112.313(4). 3. Gifts otherwise required to be disclosed by this section. (b) The statement shall include: 1. A description of the gift, the monetary value of the gift, the name and address of the person making the gift, and the dates thereof. If any of these facts, other than the gift description, are unknown or not applicable, the report shall so state. 2. A copy of any receipt for such gift provided to the reporting individual or procurement employee by the donor. (c) The statement may include an explanation of any differences between the reporting individual's or procurement employee's statement and the receipt provided by the donor. 1. http://www.leg. state.fl.us/Statutes/index.cfm?App_mode=Display_Statute&Search_String=... 6/4/2012 Statutes & Constitution :View Statutes : Online Sunshine Page 5 of 5 (d) The reporting individual's or procurement employee's statement shall be sworn to by such person as being a true, accurate, and total fisting of all such gifts. (e) Statements must be filed not later than 5 p.m. of the due date. However, any statement that is postmarked by the United States Postal Service by midnight of the due date is deemed to have been filed in a timely manner, and a certificate of mailing obtained from and dated by the United States Postal Service at the time of the mailing, or a receipt from an established courier company, which bears a date on or before the due date constitutes proof of mailing in a timely manner. (f) If a reporting individual or procurement employee has not received any gifts described in paragraph (a) during a calendar quarter, he or she is not required to file a statement under this subsection for that calendar quarter. (9) A person, other than a lobbyist regulated under s. 11.045, who violates the provisions of subsection (5) commits a noncriminal infraction, punishable by a fine of not more than $5,000 and by a prohibition on lobbying, or employing a lobbyist to lobby, before the agency of the reporting individual or procurement employee to which the gift was given in violation of subsection (5), for a period of not more than 24 months. The state attorney, or an agency, if otherwise authorized, may initiate an action to impose or recover a fine authorized under this section or to impose or enforce a limitation on lobbying provided in this section. (10) A member of the Legislature may request an advisory opinion from the general counsel of the house of which he or she is a member as to the application of this section to a specific situation. The general counsel shall issue the opinion within 10 days after receiving the request. The member of the Legislature may reasonably rely on such opinion. History.—s. 2, ch. 89-380; s. 8, ch. 90-502; s. 9, ch. 91-85; s. 7, ch. 91-292; s. 6, ch. 94-277; s. 1411, ch. 95-147; s, 2, ch. 96-328; s. 8, ch. 98-136; s. 4, ch. 2000-243; s. 32, ch. 2000-258; s. 8, ch. 2003-159; s. 6, ch. 2006-275. Copyright © 1995-2012 The Florida Legislature • Privacy Statement • Contact Us http://www.leg.state. fl.us/Statutes/index.cfm?App_mode=Display_Statute&Search_String=... 6/4/2012 Municode Page 1 of 22 Sec. 2-11.1. - Conflict of Interest and Code of Ethics Ordinance. (a) Designation. This section shall be designated and known as the "Miami -Dade County Conflict of Interest and Code of Ethics Ordinance." This section shall be applicable to all County personnel as defined herein, and shall also constitute a minimum standard of ethical conduct and behavior for all municipal officials and officers, autonomous personnel, quasi- judicial personnel, advisory personnel, departmental personnel and employees of municipalities in the County insofar as their individual relationships with their own municipal governments are concerned. References in the section to County personnel shall therefor be applicable to municipal personnel who serve in comparable capacities to the County personnel referred to. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 73-27, § 1, 3-20-73) (b) Definitions. For the purposes of this section the following definitions shall be effective: (1) The term "Commissioners" shall refer to the Mayor and the members of the Board of County Commissioners as duly constituted from time to time. (2) The term "autonomous personnel" shall refer to the members of semi -autonomous authorities, boards, and agencies as are entrusted with the day to day policy setting, operation and management of certain defined County functions or areas of responsibility, even though the ultimate responsibility for such functions or areas rests with the Board of County Commissioners. (3) The term "quasi-judicial personnel" shall refer to the members of the Community Zoning Appeals Board and such other boards and agencies of the County as perform quasi-judicial functions. (4) The term "advisory personnel" shall refer to the members of those County advisory boards and agencies whose sole or primary responsibility is to recommend legislation or give advice to the Board of County Commissioners. (5) The term "departmental personnel" shall refer to the Manager, his or her department heads, the County Attorney and all Assistant County Attorneys. (6) The term "employees" shall refer to all other personnel employed by the County. (7) The term "compensation" shall refer to any money, gift, favor, thing or value or financial benefit conferred in return for services rendered or to be rendered. (8) The term "controlling financial interest" shall refer to ownership, directly or indirectly, to ten (10) percent or more of the outstanding capital stock in any corporation or a direct or indirect interest of ten (10) percent or more in a firm, partnership, or other business entity. (9) The term "immediate family" shall refer to the spouse, domestic partner, parents, stepparents, children and stepchildren of the person involved. (10) The term "transact any business" shall refer to the purchase or sale by the County of specific goods or services for a consideration. (11) The term "Ethics Commission" shall refer to the Miami -Dade County Commission on Ethics and Public Trust. (12) The term "domestic partner" shall mean a person who is a party to a valid domestic partnership relationship as described in section 11A-72(b)(1),(2), (3), (4) and (6) of the Code. (13) The term "contract staff shall mean any employee and/or principal of an independent contractor, subcontractor (of any tier), consultant or sub -consultant (of any tier), http://library .municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3 a%2f%... 6/4/2012 Municode Page 2 of 22 designated in a contract with the County as a person who shall be required to comply with the provisions of Subsections 2-11.1(g), (h), (j), (I), (m), (n) and (o) of the Conflict of Interest and Code of Ethics Ordinance. Prior to determining whether to designate a person as contract staff in a RFP, RFQ, bid or contract, the Mayor or his or her designee shall seek a recommendation from the Executive Director of the Ethics Commission. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 73-23, § 1, 3-20-73; Ord. No 86-24, § 3. 4-1-86; Ord. No. 10-48. § 1, 7-8- 10) (c) Prohibition on transacting business within the County. (1) No person included in the terms defined in subsection (b)(1) through (6) and in subsection (b)(9) shall enter into any contract or transact any business, except as provided in subsections (c)(2) through (c)(6) in which he or she or a member of his or her immediate family has a financial interest, direct or indirect, with Miami -Dade County or any person or agency acting for Miami -Dade County, and any such contract, agreement or business engagement entered in violation of this subsection shall render the transaction voidable. Willful violation of this subsection shall constitute malfeasance in office and shall effect forfeiture of office or position. (2) County employees' limited exclusion from prohibition on contracting with the county. Notwithstanding any provision to the contrary herein, subsections (c) and (d) shall not be construed to prevent any employee as defined by subsection (b)(6) [excluding departmental personnel as defined by subsection (b)(5)] or his or her immediate family as defined by subsection (b)(9) from entering into any contract, individually or through a firm, corporation, partnership or business entity in which the employee or any member of his or her immediate family has a controlling financial interest, with Miami -Dade County or any person or agency acting for Miami -Dade County, as long as (1) entering into the contract would not interfere with the full and faithful discharge by the employee of his or her duties to the County, (2) the employee has not participated in determining the subject contract requirements or awarding the contract, and (3) the employee's job responsibilities and job description will not require him or her to be involved with the contract in any way, including, but not limited to, its enforcement, oversight, administration, amendment, extension, termination or forbearance. However, this limited exclusion shall not be construed to authorize an employee or his or her immediate family member to enter into a contract with Miami - Dade County or any person or agency acting for Miami -Dade County, if the employee works in the county department which will enforce, oversee or administer the subject contract. (3) Limited exclusion from prohibition on autonomous personnel, advisory personnel and quasi-judicial personnel contracting with county. Notwithstanding any provision to the contrary herein, subsections (c) and (d) shall not be construed to prohibit any person defined in subsection (b)(2), (b)(3) and (b)(4) from entering into any contract, individually or through a firm, corporation, partnership or business entity in which the board member or any member of his or her immediate family has a controlling financial interest, with Miami -Dade County or any person or agency acting for Miami - Dade County. However, any person defined in subsection (b)(2), (b)(3) and (b)(4) is prohibited from contracting with any agency or department of Miami -Dade County subject to the regulation, oversight, management, policy -setting or quasi-judicial authority of the board of which the person is a member. (4) Any person defined in subsections (b)(2) through (b)(4) and subsection (b)(6) shall seek a conflict of interest opinion from the Miami -Dade County Commission on Ethics http://library.municode.com/print.aspx?h=&cl ientlD=10620&HTMRequest=http%3a%2f%... 6/4/2012 Municode Page 3 of 22 and Public Trust ("the Ethics Commission") prior to submittal of a bid, response, or application of any type to contract with the County by the person or his or her immediate family. A request for a conflict of interest opinion shall be made in writing and shall set forth and include all pertinent facts and relevant documents. If the Ethics Commission finds that the requirements of this section pertaining to exclusions for persons defined in subsections (b)(2) through (b)(4) and subsection (b)(6) are not met and that the proposed transaction would create a conflict of interest, the person defined in subsections (b)(2), (b)(3), (b)(4) or (b)(6) may request a waiver from the Board of County Commissioners within ten (10) days of the Ethics Commission opinion by filing a notice of appeal to the Ethics Commission. The Ethics Commission shall forward the notice of appeal and its opinion and any pertinent documents to the Clerk of the Board of County Commissioners (the "Clerk") forthwith. The Clerk shall place the request on the commission agenda for consideration by the Board. The Board of County Commissioners may grant a waiver upon an affirmative vote of two- thirds (2/3) of the entire Board of County Commissioners, after public hearing, if it finds that the requirements of this ordinance pertaining to the exclusion for a County employee from the Code have been met and that the proposed transaction will be in the best interest of the County. The Board of County Commissioners may, as provided in subsection (c)(6), grant a waiver to any person defined in subsection (b) (2) through (b)(4) regarding a proposed transaction. Such findings shall be included in the minutes of the board. This subsection shall be applicable only to proposed transactions, and the Board may in no case ratify a transaction entered into in violation of this subsection. If the affected person or his or her immediate family member chooses to respond to a solicitation to contract with the County, such person shall file with the Clerk a statement in a form satisfactory to the Clerk disclosing the person's interest or the interest of his or her immediate family in the proposed contract and the nature of the intended contract at the same time as or before submitting a bid, response, or application of any type to contract with the County. Along with the disclosure form, the affected person shall file with the Clerk a copy of his or her request for an Ethics Commission opinion and any opinion or waiver from the Board. Also, a copy of the request for a conflict of interest opinion from the Ethics Commission and any opinion or waiver must be submitted with the response to the solicitation to contract with the County. Notwithstanding any provision herein to the contrary, the County and any person or agency acting for Miami -Dade County shall not award a contract to any person defined in subsections (b)(2) through (b)(4) and subsection (b)(6) or his or her immediate family individually or through a firm, corporation, partnership or business entity in which the person or any member of his or her immediate family has a controlling financial interest, unless the Ethics Commission has rendered an opinion that entering the contract would not be a conflict of interest or the Board waives the conflict in accordance with the provisions of this ordinance. The County Manager is directed to include language in all solicitations for county contracts advising persons defined in subsections (b)(2) through (b)(4) and subsection (b)(6) of the applicable conflict of interest code provisions, the provisions of this ordinance, including the requirement to obtain an Ethics Commission opinion and make disclosure, and the right to seek a legal opinion from the State of Florida Ethics Commission regarding the applicability of state law conflict of interest provisions. (5) http://library.municode.com/print. aspx?h=&cl ientlD=10620&HTMRequest=http%3 a%2P/o... 6/4/2012 Municode Page 4 of 22 (6) Nothing herein shall prohibitor make illegal (1) the payment of taxes, special assessments or fees for services provided by County government; (2) the purchase of bonds, anticipation notes or other securities that may be issued by the County through underwriters or directly from time to time; (3) the participation of the persons included in the terms defined in subsection (b)(1) through (6), except for employees of the general services administration and their "immediate family" as defined in (b)(9), in the public auction process utilized by the County for the disposal of surplus motor vehicles; (4) the purchase of surplus personal property, pursuant to administrative order, by persons defined in subsection (b)(1) through (6) and (9); (5) an application for direct assistance from the Miami -Dade County Department of Housing and Urban Development or an application to participate in a program administered by the Department of Special Housing has been submitted by an applicant who is a County person as defined in subsection (b) and who would but for this section be eligible for such assistance from said department; provided, however, that the exception provided in this paragraph shall not extend to an employee of the Miami -Dade County Department of Housing and Urban Development or the Department of Special Housing who participates in the administration of said programs; or (6) and application to participate in a single-family mortgage loan program sponsored by the Housing Finance Authority of Miami -Dade County, has been submitted by a County person as defined in subsection (b), and would but for this section be eligible for participation in said program; provided, however, that the exception provided in this paragraph shall not extend to an employee of the Miami -Dade County Finance Department who participates in the administration of said single-family mortgage loan program. Extension of waiver to county commissioners, autonomous personnel, quasi-judicial personnel, and advisory personnel. The requirements of this subsection may be waived for a particular transaction only by affirmative vote of two-thirds of the entire Board of County Commissioners, after public hearing. Such waiver may be affected only after findings by two-thirds of the entire Board that: (1) An open -to -all sealed competitive bid has been submitted by a County person as defined in subsection (b)(2), (3) and (4), or (2) The bid has been submitted by a person or firm offering services within the scope of practice of architecture, professional engineering, or registered land surveying as defined by the laws of the State of Florida and pursuant to the provisions of the Consultants' Competitive Negotiation Act, and when the bid has been submitted by a County person defined in subsection (b)(2), (3) and (4), or (3) The property or services to be involved in the proposed transaction are unique and the County cannot avail itself of such property or services without entering a transaction which would violate this subsection but for waiver of its requirements, or (4) That the property or services to be involved in the proposed transaction are being offered to the County at a cost of no more than 80 percent of fair market value based on a certified appraisal paid for by the provider, and (5) That the proposed transaction will be to the best interest of the County. Such findings shall be spread on the minutes of the Board. This subsection shall be applicable only to prospective transactions, and the Board may in no case ratify a transaction entered in violation of this subsection. http://library.municode.com/print.aspx?h=&clientlD= 10620&HTMRequest=http%3 a%2P1o... 6/4/2012 Municode Page 5 of 22 Provisions cumulative. This subsection shall be taken to be cumulative and shall not be construed to amend or repeal any other law pertaining to the same subject matter. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 73-24, § 1, 3-20-73; Ord. No. 73-45, § 1, 5-1-73; Ord. No. 75-91, § 1, 11-4- 75; Ord. No. 75-119, § 1, 12-16-75; Ord. No. 79-85, § 1, 10-16-79; Ord. No. 80-33, § 1, 5-6-80; Ord. No. 85-84, § 1, 10-1-85; Ord. No. 85-98, § 1, 11-5-85; Ord. No. 87-58, § 1, 9-1-87; Ord. No. 88-102, § 1, 10-18-88; Ord. No. 91-113, ,§ 1, 10-1-91; Ord. No. 00-1, § 1, 1-13-00; Ord. No. 00-151, § 1, 11- 28-00) (d) Further prohibition on transacting business with the County. No person included in the terms defined in subsections (b)(1) through (6) and in subsection (b)(9) shall enter into any contract or transact any business through a firm, corporation, partnership or business entity in which he or any member of his immediate family has a controlling financial interest, direct or indirect, with Miami -Dade County or any person or agency acting for Miami -Dade County, and any such contract, agreement or business engagement entered in violation of this subsection shall render the transaction voidable. The remaining provisions of subsection (c) will also be applicable to this subsection as though incorporated herein by recitation. Additionally, no person included in the term defined in subsection (b)(1) shall vote on or participate in any way in any matter presented to the Board of County Commissioners if said person has any of the following relationships with any of the persons or entities which would be or might be directly or indirectly affected by any action of the Board of County Commissioners: (i) officer, director, partner, of counsel, consultant, employee, fiduciary or beneficiary; or (ii) stockholder, bondholder, debtor, or creditor, if in any instance the transaction or matter would affect the person defined in subsection (b)(1) in a manner distinct from the manner in which it would affect the public generally. Any person included in the term defined in subsection (b)(1) who has any of the above relationships or who would or might, directly or indirectly, profit or be enhanced by the action of the Board of County Commissioners shall absent himself or herself from the Commission meeting during the discussion of the subject item and shall not vote on or participate in any way in said matter. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 73-45, § 2, 5-1-73; Ord. No. 86-11, § 1, 2-18-86; Ord. No. 86-24, § 1, 4-1-86) (e) Gifts. (1) (2) Definition. The term "gift" shall refer to the transfer of anything of economic value, whether in the form of money, service, loan, travel, entertainment, hospitality, item or promise, or in any other form, without adequate and lawful consideration. Food and beverages consumed at a single sitting or meal shall be considered a single gift, and the value of the food and beverage provided at that sitting or meal shall be considered the value of the gift. Exceptions. The provisions of subsection (e)(1) shall not apply to: a. Political contributions specifically authorized by State law; b• Gifts from relatives or members of one's household; C. Awards for professional or civic achievement; d. Material such as books, reports, periodicals or pamphlets which are solely informational or of an advertising nature; e• Gifts solicited by County employees or departmental personnel on behalf of the County in the performance of their official duties for use solely by the County in conducting its official business; f. Gifts solicited by Commissioners on behalf of the County in the performance of their official duties for use solely by the County in conducting its official business; http://library.municode. com/print. aspx?h=&clientl D=10620&HTMRequest=http%3 a%2f%... 6/4/2012 Municode Page 6 of 22 g. Gifts solicited by Commissioners, or their staff members, on behalf of any nonprofit organization for use solely by that organization where neither the Commissioner, nor his or her staff receives any compensation as a result of the solicitation. As used in this subsection, a "nonprofit organization" shall mean any entity described in section 501(c)(3) of the Internal Revenue Code (the "Code") that is tax exempt under section 501(a) of the Code. As used in this subsection, "compensation" means any money, gift, favor, political contribution, thing of value or other financial benefit. (3) Prohibitions. A person described in subsection (b)(1) through (6) shall neither solicit nor demand any gift. It is also unlawful for any person or entity to offer, give or agree to give to any person included in the term defined in subsection (b)(1) through (6) or for any person included in the term defined in subsection (b)(1) through (6) to accept or agree to accept from another person or entity, any gift for or because of: a. An official public action taken, or to be taken, or which could be taken; b. A legal duty performed or to be performed, or which could be performed; or c. A legal duty violated or to be violated, or which could be violated by any person included in the term defined in subsection (b)(1). (4) Disclosure. Any person included in the term defined in subsection (b)(1) through (6) shall disclose as provided herein any gift, or series of gifts from any one person or entity, having a value in excess of one hundred dollars ($100.00). Said disclosure shall be made by filing a copy of the disclosure form required by Chapter 112, Florida Statutes, for "local officers" with the Clerk of the Board of County Commissioner simultaneously with the filing of the form with the Secretary of State. (Ord. No. 78-82, § 1, 11-21-72: Ord. No. 86-25. § 1, 4-1-86; Ord. No. 87-70. § 1, 10-20-87; Ord. No. 91-62; § 1, 6-4- 91; Ord. No. 99-124. § 1, 2-11.1: Ord. No. 99-145, § 1, 10-19-99: Ord. No. 10-48, § 1, 7-8-10) (f) Compulsory disclosure by employees of firms doing business with the County. Should any person included in the terms defined in subsections (b)(1) through (6) be employed, either himself or herself or through a member of his or her immediate family, by a corporation, firm, partnership or business entity in which he or she does not have a controlling financial interest, and should the said corporation, firm, partnership or business entity have substantial business commitments to or from the County or any County agency, or be subject to direct regulation by the County or a County agency, then said person shall file a sworn statement disclosing such employment and interest with the Clerk of the Circuit Court in and for Miami - Dade County. (Ord. No. 72-82. § 1. 11=21-72: Ord. No. 10-48, § 1. 7-8-10) (g) Exploitation of official position prohibited. No person included in the terms defined in subsection (b)(1) through (6) and (b)(13) shall use or attempt to use his or her official position to secure special privileges or exemptions for himself or herself or others except as may be specifically permitted by other ordinances and resolutions previously ordained or adopted or hereafter to be ordained or adopted by the Board of County Commissioners. (Ord. No, 72-82, § 1, 11-21-72; Ord. No. 10-48, § 1, 7-8-10) (h) Prohibition on use of confidential information. No person included in the terms defined in subsection (b)(1) through (6) and (b)(13) shall accept employment or engage in any business or professional activity which he or she might reasonably expect would require or induce him or her to disclose confidential information acquired by him or her by reason of his or her official position, nor shall he or she in fact ever disclose confidential information garnered or gained through his or her official position with the County, nor shall he or she ever use such information, directly or indirectly, for his or her personal gain or benefit. (Ord, No. 72-82. § 1, 11-21-72; Oid. No. 10-48, § 1, 7-8-10) http://library.municode.com/print.aspx?h=&clientID=1 0620&HTMRequest=http%3a%2P/0... 6/4/2012 Municode Page 7 of 22 (i) Financial disclosure. (1) All persons and firms included within subsections (a) and (b)(2), (3) and (4) of this section shall file, no later than 12:00 noon of July 1st of each year including the July 1st following the last year that person is in office or held such employment, one (1) of the following: a. A copy of that person's or firm's current federal income taxreturn; or b. A current certified financial statement on a form of the type approved for use by State or national banks in Florida listing all assets and liabilities having a value in excess of one thousand dollars ($1,000.00) and a short description of each; or c• An itemized source of income statement, under oath and on a form approved by the County for said purpose. Compliance with the financial disclosure provisions of Chapter 112 (Part III), Florida Statutes, as amended, or with the provisions of Article II, Section 8 of the Florida Constitution, as amended by the voters on November 2, 1976, and any general laws promulgated thereunder, shall constitute compliance with this section. (2) County and municipal personnel. The following County personnel shall comply with the filing requirements of subsection (i)(1) above: The Mayor and members of the Board of County. Commissioners; County Attorney and Assistant County Attomeys; County Manager; Assistant County Manager(s); Special Assistant(s) to the County Manager; heads or directors of County departments and their assistant or deputy department heads; employees of the Miami -Dade Police with the rank of captain, major and chief; Building and Zoning Inspectors. References herein to specified County personnel and Boards shall be applicable to municipal personnel and Boards that serve in comparable capacities to the County personnel and Boards referred to. (3) Candidates for County and municipal office. All candidates for County and municipal elective office shall comply with the filing requirements of subsection (i)(1) above at the same time that candidate files qualifying papers. (4) Consultants. All persons or firms providing professional services as defined by Section 2-10.4(1)(a) and (b) of the Code of Miami -Dade County, to Miami -Dade County or any municipalities, their agencies, or instrumentalities, shall comply with the filing requirements of subsection (i)(1) above within ninety (90) days of the effective date hereof. All persons or firms subsequent to the effective date of this section, which engage in competitive negotiation with Miami -Dade County or any of its municipalities, their agencies or instrumentalities under and pursuant to Section 2-10.4 of the Code of Miami -Dade County shall comply with the reporting requirements of subsection (i) (1) of this section within thirty (30) days of execution of a contract arising out of said competitive negotiations and prior to any payments from said County, municipalities or other agencies or instrumentalities. Failure to comply with the terms hereof by such persons or firms shall render existing contracts voidable and shall automatically void any contracts negotiated and executed subsequent to the effective date of this section where the required information is not furnished within thirty (30) days of the execution of said contract as noted herein. (5) Reports; filing. All documents required to be filed hereunder by County persons or consultants shall be filed with the supervisor of elections. Documents required to be filed hereunder by municipal persons or consultants shall be filed with the municipal Clerk of that entity. (6) http://library.municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3a%2 f%/u... 6/4/2012 Municode Page 8 of 22 Public disclosure. All documents filed pursuant to this subsection shall constitute public records within the meaning of Chapter 119, Florida Statutes. (7) Construction. The construction of this subsection shall be considered as supplemental to and not in substitution of any requirements of Chapter 112, Florida Statutes, or any rules and regulations promulgated thereunder. (Ord. No. 77-13, § 1, 3-1-77: Ord. No, 83-18, § 1. 4-19-83; Ord. No. 84-39, § 1. 5-15-84) (j) Conflicting employment prohibited. No person included in the terms defined in subsections (b)(1) through (6) and (b)(13) shall accept other employment which would impair his or her independence of judgment in the performance of his or her public duties. (Ord. No. 72-82. § 1, 11-21-72; Ord. No. 77-13. § 2, 3-1-77; Ord. No 10-48, § 1. 7-8-10) (k) Prohibition on outside employment. (1) No person included in the terms defined in subsections (b)(5) [departmental personnel] and (6) [employees] shall receive any compensation for his or her services as an officer or employee of the County, from any source other than the County, except as may be permitted by Section 2-11 of this Code of Ordinances. (2) All full-time County and municipal employees engaged in any outside employment for any person, firm, corporation or entity other than Miami -Dade County, or the respective municipality, or any of their agencies or instrumentalities, shall file, under oath, an annual report indicating the source of the outside employment, the nature of the work being done pursuant to same and any amount or types of money or other consideration received by the employee from said outside employment. Said County employee's reports shall be filed with the supervisor of elections no later than 12:00 noon on July 1st of each year, including the July 1st following the last year that person held such employment. Municipal employee reports shall be filed with the Clerk of their respective municipalities. Said reports shall be available at a reasonable time and place for inspection by the public. The County Manager or any city manager may require monthly reports from individual employees or groups of employees for good cause. (Ord. No. 72-82. § 1. 11-21-72; Ord. No. 77-13, § 3, 3-1-77: Ord. No. 77-79, § 1, 1-11-77: Ord. No. 77-87, § 1, 12-6- 77; Ord. No. 83-18, § 2. 4-19-83: Ord. No. 84-39, § 2. 5-15-84: Ord. No. 10-48, § 1. 7-8-10) (I) Prohibited investments. No person included in the terms defined in subsections (b)(1) through (6) and (b)(13) shall have personal investments in any enterprise, either himself, herself, or through a member of his or her immediately family, which will create a substantial conflict between his or her private interests and the public interest. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 77-13. § 4, 3-1-77: Ord. No. 10-48, § 1, 7-8-10) (rn) Certain appearances and payment prohibited. (1) No person included in the terms defined in subsections (b)(1), (5), (6) and (13) [commissioners, the Mayor, departmental personnel, employees and contract staff] shall appear before any County Board or agency and make a presentation on behalf of a third person with respect to any license, contract, certificate, ruling, decision, opinion, rate schedule, franchise, or other benefit sought by the third person. Nor shall such person receive compensation, directly or indirectly or in any form, for services rendered to a third person, who has applied for or is seeking some benefit from the County or a County agency, in connection with the particular benefit sought by the third person. Nor shall such person appear in any court or before any administrative tribunal as counsel or legal advisor to a party who seeks legal relief from the County or a County agency through the suit in question. (2) http://library.municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3 a%2f"/o... 6/4/2012 Municode Page 9 of 22 No person included in the terms defined in subsections (b)(2), (3) and (4) [autonomous personnel, quasi-judicial personnel, and advisory personnel] shall appear before the County board or agency on which he or she serves, either directly or through an associate, and make a presentation on behalf of a third person with respect to any license, contract, certificate, ruling, decision, opinion, rate schedule, franchise, or other benefit sought by the third person. Nor shall such person receive compensation, directly or indirectly or in any form, for services rendered to a third party, who has applied for or is seeking some benefit from the County board or agency on which such person serves, in connection with the particular benefit by the third party. Nor shall such person appear in any court or before any administrative tribunal as counsel or legal advisor to a third party who seeks legal relief from the County board or agency on which such person serves through the suit in question. However, this section shall not prohibit an architect serving without compensation on the Miami -Dade County Board of Energy Regulation or on any architectural Board, whose sole function is to pass on the aesthetics of plans submitted, from submitting plans on behalf of a client so long as such member makes known his or her representation of the applicant and disqualifies himself or herself from speaking or voting or otherwise participating on such application. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 73-25. § 1. 3-20-73: Ord. No. 73-51. § 1, 5-15-73: Ord. No. 77-13. § 4. 3-1- 77; Ord. No. 79-39, § 1, 6-19-79; Ord. No. 10-48. § 1, 7-8-10) (n) Actions prohibited when financial interests involved. No person included in the terms defined in subsections (b)(1) through (6) and (b)(13) shall participate in any official action directly or indirectly affecting a business in which he or any member of his immediate family has a financial interest. A financial interest is defined as a special financial interest, direct or indirect, as that term is used, in Section 4.03 of the County's Charter; or as a financial interest as defined in Section 769 of the Restatement of the Law of Torts as an investment or something in the nature of an investment. This section shall not prohibit any official, officer, employee or person from taking official action (1) to promote tourism or downtown development or redevelopment within the County or any portion thereof, or (2) to authorize the expenditure of public funds for promoting tourism or downtown development or redevelopment, so long as no such authorized public funds are to be paid to such person or a member of his or her immediate family or any business in which he or she or any member of his or her immediate family has a financial interest. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 73-50. § 1, 5-15-73; Ord. No. 75-76, § 1, 9-17-75; Ord. No. 77-13. § 4, 3-1- 77; Ord. No. 10-48, § 1, 7-8-10) (0) Acquiring financial interests. No person included in the terms defined in subsections (b)(1) through (6) and (b)(13) shall acquire a financial interest in a project, business entity or property at a time when he or she believes or has reason to believe that the said financial interest will be directly affected by his or her official actions or by official actions by the County or County agency of which he or she is an official, officer, employee or contract staff. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 77-13.. § 4. 3-1-77; Ord. No. 10-48, § 1. 7-8-10) (p) Recommending professional services. No person included in the terms defined in subsections (b)(1) through (6) may recommend the services of any lawyer or law firm, architect or architectural firm, public relations firm, or any other person or firm, professional or otherwise, to assist in any transaction involving the County or any of its agencies, provided that such recommendation may properly be made when required to be made by the duties of office and in advance at a public meeting attended by other County officials, officers or employees. (Ord. No. 72-82, § 1, 11-21-72; Ord. No. 77-13, § 4, 3-1-77) http://1 ibrary.municode.com/print.aspx?h=&clientID=10620&HTMRequest=http%3 a%2f%... 6/4/2012 Muni code Page 10 of 22 (q) Continuing application after county service. (1) No person who has served as an elected county official, i.e., mayor, county commissioner, or a member of the staff of an elected county official, or as county manager, senior assistant to the county manager, department director, departmental personnel or employee shall, for a period of two (2) years after his or her county service or employment has ceased, lobby any county officer, departmental personnel or employee in connection with any judicial or other proceeding, application, RFP, RFQ, bid, request for ruling, or other determination, contract, claim, controversy, charge, accusation, arrest or other particular subject matter in which Miami -Dade County or one (1) of its agencies or instrumentalities is a party or has any interest whatever, whether direct or indirect. Additionally, no person who has served as a community council member shall, for a period of two (2) years after his or her county service or employment has ceased, lobby, with regard to any zoning or land use issue, any county officer, departmental personnel or employee in connection with any judicial or other proceeding, application, request for ruling, or other determination, contract, claim, controversy, charge, accusation, arrest or other particular subject matter in which Miami -Dade County or one (1) of its agencies or instrumentalities is a party or has any interest whatever, whether direct or indirect. Nothing contained in this Subsection (q)(1) shall prohibit any individual included within the provisions of this subsection from submitting a routine administrative request or application to a county department or agency during the two-year period after his or her county service has ceased. (2) The provisions of this Subsection (q) shall not apply to officials, departmental personnel or employees who become employed by governmental entities, 501(c)(3) non-profit entities or educational institutions or entities, and who lobby on behalf of such entities in their official capacities. (3) The provisions of this section shall apply to all individuals as described in Subsection (q)(1) who leave the county after the effective date of the ordinance from which this section derives. (4) Any former county officer, departmental personnel or employee who has left the county within two (2) years prior to the effective date of this ordinance and has entered into a lobbying contract prior to the effective date of this ordinance shall, for a period of two (2) years after his or her county service or employment has ceased, comply with Subsection (q) as it existed prior to the effective date of the ordinance from which this section derives and as modified by this Subsection (q)(4) when lobbying pursuant to said contract. No former county officer, departmental personnel or employee who has left the county within two (2) years prior to the effective date of the ordinance from which this section derives shall for a period of two (2) years after his or her county service or employment has ceased enter into a lobbying contract to lobby any county officer, departmental personnel or employee in connection with any judicial or other proceeding, application, RFP, RFQ, bid, request for ruling, or other determination, contract, claim, controversy, charge, accusation, arrest or other particular subject matter in which Miami -Dade County or one (1) of its agencies or instrumentalities is a party or has a direct and substantial interest; and in which he or she participated directly or indirectly as an ,officer, departmental personnel or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, during his or her county service or employment. As used herein, a person participated "directly" where he or she was substantially involved in the particular subject matter through decision, approval, disapproval, http://library.municode.com/print. aspx?h=&clientID= 1 0620&HTMRequest=http%3a%2f%... 6/4/2012 Municode Page 11 of 22 recommendation, the rendering of advice, investigation or otherwise, during his or her county service or employment. As used herein, a person participated "indirectly" where he or she knowingly participated in any way in the particular subject matter through decision, approval, disapproval, recommendation, the rendering of legal advice, investigation or otherwise, during his or her county service or employment. Former county officers, departmental personnel and employees who have left the county within two (2) years prior to the effective date of the ordinance from which this section derives shall execute an affidavit on a form prepared by the Office of the Inspector General prior to lobbying any county officer, departmental personnel or employee stating that the requirements of this section do not preclude said person from lobbying any officer, departmental personnel or employee of the county. The Inspector General shall verify the accuracy of each affidavit executed by former county officers, departmental personnel or employees. (5) Any individual who is found to be in violation of this Subsection (q) shall be subject to the penalties provided in either Subsection (u)(1) or Subsection (u)(2). (Ord. No. 72-82, § 1. 11-21-72:: Ord. No. 77-13, § 4. 3-1-77; Ord. No. 99-2, § 1. 1-21-99) (r) Ethics Commission to render opinions on request. Whenever any person included in the terms defined in subsection (b)(1) through (6), (b)(9) and (b)(13) is in doubt as to the proper interpretation or application of this Conflict of Interest and Code of Ethics Ordinance as to himself or herself, or whenever any person who renders services to the County is in doubt as to the applicability of the said ordinance as to himself or herself, he or she may submit to the Ethics Commission a full written statement of the facts and questions he or she has. The Ethics Commission shall then render an opinion to such person and shall publish these opinions without use of the name of the person advised unless such person requests the use of his or her name. (Ord. No. 73-26. § 1, 3-20-73: Ord. No. 77-13. § 4, 3-1-77: Ord. No. 97-105, § 2, 7-8-97: Ord. No. 10-48, § 1, 7-8- 10). (s) Lobbying. (1) (a) As used in this section, "County personnel" means those County officers and employees specified in Section 2-11.1(i)(2) of the Miami -Dade County Conflict of Interest and Code of Ethics Ordinance. (b) As used in this section, "Lobbyist" means all persons, firms, or corporations employed or retained by a principal who seeks to encourage the passage, defeat, or modifications of (1) ordinance, resolution, action or decision of the County Commission; (2) any action, decision, recommendation of the County Manager or any County board or committee; or (3) any action, decision or recommendation of County personnel during the time period of the entire decision -making process on such action, decision or recommendation which foreseeabiy will be heard or reviewed by the County Commission, or a County board or committee. "Lobbyist" specifically includes the principal as well as any employee whose normal scope of employment includes lobbying activities. The term "Lobbyist" specifically excludes the following persons: attorneys or other representatives retained or employed solely for the purpose of representing individuals, corporations or other entities during publicly noticed quasi-judicial proceedings where the law prohibits ex-parte communications; expert witnesses who provide only scientific, technical or other specialized information or testimony in public meetings; any person who only appears as a representative of a neighborhood association without compensation or reimbursement for the appearance, whether direct, indirect or contingent, to http://l. ibrary.municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3a%2f%... 6/4/2012 Municode Page 12 of 22 (2) express support of or opposition to any item; any person who only appears as a representative of a not -for -profit community based organization for the purpose of requesting a grant without special compensation or reimbursement for the appearance; and employees of a principal whose normal scope of employment does not include lobbying activities. All lobbyists shall register with the Clerk of the Board of County Commissioners within five (5) business days of being retained as a lobbyist or before engaging in any lobbying activities, whichever shall come first. Every person required to so register shall: (a) Register on forms prepared by the Clerk; (b) State under oath his or her name, business address and the name and business address of each person or entity which has employed said registrant to lobby. If the lobbyist represents a corporation, the corporation shall also be identified. Without limiting the foregoing, the lobbyist shall also identify all persons holding, directly or indirectly, a five (5) percent or more ownership interest in such corporation, partnership, or trust. Registration of all lobbyists shall be required prior to January 15 of each year and each person who withdraws as a lobbyist for a particular client shall file an appropriate notice of withdrawal. The fee for annual registration shall be four hundred and ninety dollars ($490.00). Every registrant shall be required to state the extent of any business or professional relationship with any current person described in subsection (b)(1). The registration fees required by this subsection shall be deposited by the Clerk into a separate account and shall be expended for the purpose of recording, transcribing, administration and other costs incurred in maintaining these records for availability to the public. Notwithstanding the foregoing, fifteen (15) percent of future funds generated by lobbyist registration fees after the effective date of this ordinance shall be deposited into a separate account, and shall be expended by the Ethics Commission for the purposes of educational outreach, the rendering of advisory opinions and enforcement of the provisions of Section 2-11.1(s) relating to lobbyists. There shall be no fee required for filing a notice of withdrawal and the Board of County Commissioners may, in its discretion, waive the registration fee upon a finding of financial hardship. (c) Prior to conducting any lobbying, all principals must file a form with the Clerk of the Board of County Commissioners, signed by the principal or the principal's representative, stating that the lobbyist is authorized to represent the principal. The principal and the lobbyist must also submit a joint affidavit stating that the principal has not offered and the lobbyist has not agreed to accept any contingency or success fees as defined in subsection (s)(7). Failure of a principal to file the required forms may be considered in the evaluation of a bid or proposal as evidence that a proposer or bidder is not a responsible contractor. Each principal shall file a form with the Clerk of the Board at the point in time at which a lobbyist is no longer authorized to represent the principal. Each lobbyist shall, within sixty (60) days after registering as a lobbyist, submit to the Clerk of the Board a certificate of completion of an ethics course offered by the Miami -Dade County Commission on Ethics and Public Trust ("Ethics Course"). Lobbyists who have completed the initial Ethics Course mandated by the preceding sentence and have continuously registered as a lobbyist (d) http:/llibrary.municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3a%2f Vo... 6/4/2012 Municode Page 13 of 22 thereafter shall be required to complete a refresher Ethics Course every two years. Each lobbyist who has completed a refresher Ethics Course shall submit to the Clerk of the Board a certificate of completion within sixty (60) days after registering as a lobbyist. The Ethics Course shall include, but not be limited to, a review of the following topics: the Conflict of Interest and Code of Ethics Ordinance; the Sunshine Law; and the Public Records Law. The fee for the Ethics Course shall be one hundred dollars ($100.00). The registration fees required by this subsection shall be deposited into a separate account, and shall be expended by the Ethics Commission for Ethics Courses and related costs. The requirements of this subsection relating to the Ethics Course shall not be applicable to any municipal lobbyist in Miami -Dade County unless said municipality has adopted an ordinance providing for ethics training of lobbyists, and has entered into an interlocal agreement with the County authorizing the Ethics Commission to provide the Ethics Course provided for in this subsection. The Executive Director of the Ethics Commission may waive the Ethics Course requirement for a particular lobbyist when he or she determines that the lobbyist has taken an initial or refresher Ethics Course offered by a municipality which satisfies the requirements of this subsection. (3) (a) Any public officer, employee or appointee who only appears in his or her official capacity shall not be required to register as a lobbyist. (b) Any person who only appears in his or her individual capacity for the purpose of self -representation without compensation or reimbursement, whether direct, indirect or contingent, to express support of or opposition to any item, shall not be required to register as a lobbyist. A principal of any corporation, partnership or other entity who appears as a lobbyist on behalf of that entity, without special compensation or reimbursement for the appearance, whether direct, indirect or contingent, to express support of or opposition to any item, shall register with the Clerk as required by this subsection, but shall not be` required to pay any registration fees. (4) Any person who only appears as a representative of a not -for -profit corporation or entity (such as a charitable organization, or a trade association or trade union), without special compensation or reimbursement for the appearance, whether direct, indirect or contingent, to express support of or opposition to any item, shall register with the Clerk as required by this subsection, but, upon request, shall not be required to pay any registration fees. Any principal who only appears as a representative of a certified Micro Enterprise, as defined in Section 2-8.1.1.1.1 of the Code, as a representative of a certified Level I Community Small Business Enterprise, as defined in Section 10-33.02 or as a representative of a certified Tier 1 Community Business Enterprise, as defined in Section 2-10.4.01, without special compensation or reimbursement for the appearance, whether direct, indirect or contingent, to express support of or opposition to any item, shall register with the Clerk as required by this subsection, but, upon request, shall not be required to pay any registration fees. (5) Any person who appears as a representative for an individual or firm for an oral presentation before a county certification, evaluation, selection, technical review or similar committee, shall list on an affidavit provided by the County, all individuals who may make a presentation. The affidavit shall be filed by staff with the Clerk's office at the time the proposal is submitted. For the purpose of this subsection only, the listed members of the presentation team shall not be required to pay any registration fees. No person shall appear before any committee on behalf of an individual or firm unless http://library .municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3a%2f'%... 6/4/2012 Municode Page 14 of 22 (6) he or she has been listed as part of the firm's presentation team pursuant to this paragraph or unless he or she is registered with the Clerk's office and has paid all applicable fees. (a) Commencing July 1, 1986, and on July 1 of each year thereafter, the lobbyist shall submit to the Clerk of the Board of County Commissioners a signed statement under oath, as provided herein, listing all lobbying expenditures in excess of twenty-five dollars ($25.00) for the preceding calendar year. A statement shall be filed even if there have been no expenditures during the reporting period. The statement shall list in detail each expenditure by category, including food and beverage, entertainment, research, communication, media advertising, publications, travel, lodging and special events. (b) The Clerk of the Board of County Commissioners shall notify any lobbyist who fails to timely file an expenditure report. In addition to any other penalties which may be imposed as provided in subsection (s)(9), a fine of fifty dollars ($50.00) per day shall be assessed for reports filed after the due date. Where a fine of fifty dollars ($50.00) per day is assessed, the Ethics Commission shall not impose a fine as provided in subsection (z). Any lobbyist who fails to file the required expenditure report by September 1 shall be automatically suspended from lobbying until all fines are paid unless the fine has been appealed to the Ethics Commission. (c) The Clerk of the Board of County Commissioners shall notify the Commission on Ethics and Public Trust of the failure of a lobbyist or principal to file a report and/or pay the assessed fines after notification. (d) A lobbyist or principal may appeal a fine and may request a hearing before the Commission on Ethics and Public Trust. A request for a hearing on the fine must be filed with the Commission on Ethics and Public Trust within fifteen (15) calendar days of receipt of the notification of the failure to file the required disclosure form. The Commission on Ethics and Public Trust shall have the authority to waive the fine, in whole or part, based on good cause shown. The Commission on Ethics and Public Trust shall have the authority to adopt rules of procedure regarding appeals from the Clerk of the Board of County Commissioners. (7) No person may, in whole or in part, pay, give or agree to pay or give a contingency fee to another person. No person may, in whole or in part, receive or agree to receive a contingency fee. As used herein, "contingency fee" means a fee, bonus, commission, or nonmonetary benefit as compensation which is dependent on or in any way contingent on the passage, defeat, or modification of: (1) an ordinance, resolution, action or decision of the County Commission; (2) any action, decision or recommendation of the County Manager or any County board or committee; or (3) any action, decision or recommendation of County personnel during the time period of the entire decision -making process regarding such action, decision or recommendation which foreseeably will be heard or reviewed by the County Commission, or a County board or'committee. (9) The Clerk shall publish Togs on a quarterly and an annual basis reflecting the lobbyist registrations which have been filed in accordance with this subsection (s). All logs required by this ordinance shall be prepared in a manner substantially similar to the logs prepared for the Florida Legislature pursuant to Section 11.045, Florida Statutes. (9) http://library.municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3a%2f /o... 6/4/2012 Municode Page 15 of 22 The Ethics Commission shall investigate any person engaged in lobbying activities who may be in violation of this subsection (s). In the event that a violation is found to have been committed the Ethics Commission may, in addition to the penalties set forth in subsection (z), prohibit such person from lobbying before the County Commission or any committee, board or personnel of the County as provided herein. Every lobbyist who is found to be in violation of this section shall be prohibited from registering as a lobbyist or lobbying in accordance with the following schedule: 1st violation for a period of 90 days from the date of determination of violation; 2nd violation for a period of one (1) year from the date of determination of violation; 3rd violation for a period of five (5) years from the date of determination of violation; A bidder or proposer shall be subject to the debarment provisions of Section 10-38 of the Code of Miami -Dade County as if the bidder or proposer were a contractor where the bidder or proposer has violated this section, either directly or indirectly or any combination thereof, on three (3) or more occasions. As used herein, a "direct violation" shall mean a violation committed by the bidder or proposer and an "indirect violation" shall mean a violation committed by a lobbyist representing said bidder or proposer. A contract entered into in violation of this section shall also render the contract voidable. The County Manager shall include the provisions of this subsection in all County bid documents, RFP, RFQ, CBO and CDBG applications; provided, however, the failure to do so shall not render any contract entered into as the result of such failure illegal per se. (10) All members of the County Commission, and all County personnel, shall be diligent to ascertain whether persons required to register pursuant to this subsection have been complied. Commissioners or County personnel may not knowingly permit a person who is not registered pursuant to this subsection to lobby the Commissioner, or the relevant committee, board or County personnel. Except as otherwise provided in subsection (s)(9), the validity of any action or determination of the Board of County Commissioners or County personnel, board or committee shall not be affected by the failure of any person to comply with the provisions of this subsection (s). (Ord. No. 00-19, § 1, 2-8-00; Ord. No. 01-93, § 1, 5-22-01; Ord. No. 01-162, § 1. 10-23-01: Ord. No. 10-03, § 1. 1-21 -10; Ord. No. 10-04, § 1. 1-21-10; Ord. No. 10-34, § 1, 6-3-10: Ord. No, 10-56. § 1, 9-21-10: Ord. No. 12-10, § 1. 3-6 -12) (t) Cone of Silence. 1. Contracts for the provision of goods and service other than audit and independent private sector inspector general (IPSIG) contracts. (a) "Cone of Silence" is hereby defined to mean a prohibition on: (i) Any communication regarding a particular RFP, RFQ or bid between a potential vendor, service provider, bidder, lobbyist, or consultant and the County's professional staff including, but not limited to, the County Manager and his or her staff; (li) Any communication regarding a particular RFP, RFQ or bid between the Mayor, County Commissioners or their respective staffs and any member of the County's professional staff including, but not limited to, the County Manager and his or her staff; http://library.municode.com/printaspx?h=&clientID=1 0620&HTMRequest=http%3a%2P/0... 6/4/2012 Municode Page 16 of 22 Any communication regarding a particular RFP, RFQ or bid between a potential vendor, service provider, bidder, lobbyist, or consultant and any member of the selection committee therefor; (iv) Any communication regarding a particular RFP, RFQ or bid between the Mayor, County Commissioners or their respective staffs and any member of the selection committee therefor; (v) Any communication regarding a particular RFP, RFQ or bid between a potential vendor, service provider, bidder, lobbyist, or consultant and the Mayor, County Commissioners and their respective staffs; and (vi) Any communication regarding a particular RFP, RFQ, or bid between any member of the County's professional staff and any member of the selection committee therefore. The County Manager and the Chairperson of the selection committee may communicate about a particular selection recommendation, but only after the committee has submitted an award recommendation to the manager and provided that should any change occur in the committee recommendation, the content of the communication and of the corresponding change as well as the reasons for such change shall be described in writing and filed by the Manager with the Clerk of the Board and be included in any recommendation submitted by the Manager to the Board of County Commissioners. Notwithstanding the foregoing, the Cone of Silence shall not apply to: (i) Competitive processes for the award of CDBG, HOME, SHIP and Surtax Funds administered by the Miami -Dade County Office of Community and Economic Development and the community -based organization (CBO) competitive grant processes administered by the Park and Recreation, Library, Water and Sewer, and Solid Waste Departments, Cultural Affairs and Tourist Development Councils and the Department of Environmental Resources Management; (ii) Communications with the County Attorney and his or her staff; (iii) Communications between a potential vendor, service provider, bidder, consultant or lobbyist and employees of the Management and Technical Assistance Unit of the Department of Business Development regarding small business and/or minority business programs, the Community Business Enterprise and Equitable Distribution Programs; (iv) Communications between a potential vendor, service provider, bidder, consultant or lobbyist and employees responsible for administering disadvantaged business enterprise programs in County departments receiving federal funds, provided the communications are limited strictly to matters of programmatic process or procedure; (v) Duly noticed site visits to determine the competency of bidders regarding a particular bid during the time period between the opening of bids and the time the County Manager makes his or her written recommendation; (vi) Any emergency procurement of goods or services pursuant to Administrative Order 3-2; Communications regarding a particular RFP, RFQ or bid between any person and the Vendor Information Center staff, the procurement agent,_ or contracting officer responsible for administering the procurement http://library.municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3a%2f%... 6/4/2012 Municode Page 17 of 22 (b) (c) process for such RFP, RFQ or bid, provided the communication is limited strictly to matters of process or procedure already contained in the corresponding solicitation document; (viii) Communications between a potential vendor, service provider or bidder and employees of the Department of Procurement Management or other department identified in the solicitation document as the issuing department; and (ix) Consultations by employees of the Department of Procurement Management with professional procurement. colleagues in determining an appropriate approach or option involving a solicitation in progress. Procedure. (i) A Cone of Silence shall be imposed upon each RFP, RFQ and bid after the advertisement of said RFP, RFQ or bid. At the time of imposition of the Cone of Silence, the County Manager or his or her designee shall provide for public notice of the Cone of Silence. The County Manager shall issue a written notice thereof to the affected departments, file a copy of such notice with the Clerk of the Board, with a copy thereof to each Commissioner, and shall include in any public solicitation for goods and services a statement disclosing the requirements of this ordinance. (ii) The Cone of Silence shall terminate at the time the Manager makes his or her written recommendation to the County Commission; provided, however, that if the Commission refers the Manager's recommendation back to the Manager or staff for further review, the Cone of Silence shall be reimposed until such time as the Manager makes a subsequent written recommendation. The foregoing notwithstanding, for contracts and purchases which the County Manager has the delegated authority to award under Sec. 2-8.1(b) of this Code, the Cone of Silence shall terminate: (i) at the time the award recommendation letter is issued and filed with the Clerk of the Board for such contracts and purchases involving the expenditure of over one hundred thousand dollars ($100,000); (ii) at the time the written award recommendation is posted in accordance with Section HI of A.O. 3-21 for such contracts or purchases involving the expenditure of over $25,000 up to $100,000; or (iii) at the time the award recommendation is issued in accordance with Section IV of A.O. 3-21 for contracts and purchases involving the expenditure of $25,000 or less. (iii) While the Cone of Silence is in effect, County Staff shall create a written record of any oral communications with potential vendor, service provider, bidder, lobbyist, or consultant related to or regarding a solicitation, bid, proposal, or other competitive process. The record shall indicate the date of such communication, the persons to whom staff communicated, and a general summation of the communication. This subsection applies to all communications made while the Cone of Silence is in effect for a particular solicitation. Exceptions. (i) The provisions of this ordinance shall not apply to oral communications at pre -bid conferences, oral presentations before selection committees, contract negotiations during any duly noticed public meeting, public http://library.municode.com/print.aspx?h=&clientID=10620&HTMRequest=http%3 a%2f%... 6/4/2012 Municode Page 18 of 22 presentations made to the Board of County Commissioners during any duly noticed public meeting or communications in writing at any time with any county employee, official or member of the Board of County Commissioners unless specifically prohibited by the applicable RFP, RFQ or bid documents. The bidder or proposer shall file a copy of any written communication with the Clerk of the Board. The Clerk of the Board shall make copies available to any person upon request. (ii) The provisions of this ordinance shall also not apply to oral communications at briefings held by county commissioners and the County Mayor or his designee, after the selection committee or other evaluating group makes its recommendation to the County Manager, provided that the briefings are not intended to influence the outcome of the selection committee or other evaluating group's recommendation to the County Manager; provided, however, that this exception shall not apply to outside groups such as lobbyists or representatives of the responding or bidding companies or entities. 2. Audit and IPSIG contracts. (a) "Cone of Silence" is hereby defined to mean a prohibition on: (a) any communication regarding a particular RFP, RFQ or bid between a potential vendor, service provider, bidder, lobbyist, or consultant and the Mayor, County Commissioners or their respective staffs and any member of the County's professional staff including, but not limited to, the County Manager and his or her staff; (b) any oral communication regarding a particular RFP, RFQ or bid between the Mayor, County Commissioners or their respective staffs and any member of the County's professional staff including, but not limited to, the County Manager and his or her staff. Notwithstanding the foregoing, the Cone of Silence shall not apply to (a) communications with the County Attorney and his or her staff; (b) communications between a potential vendor, service provider or bidder and employees of the Department of Procurement Management or other department identified in the solicitation document as the issuing department; and (c) consultations by employees of the Department of Procurement Management with professional procurement colleagues in determining an appropriate approach or option involving a solicitation in progress. (b) Except as provided in Subsections 2(c) and 2(d) hereof, a Cone of Silence shall be imposed upon each RFP, RFQ and bid for audit and IPSIG services after the advertisement of said RFP, RFQ or bid. At the time of the imposition of the Cone of Silence, the County Manager or his or her designee shall provide for the public notice of the Cone of Silence. The Cone of Silence shall terminate when the County Manager executes a particular audit or IPSIG contract. (c) Nothing contained herein shall prohibit any bidder or proposer: (i) from making public presentations at duly noticed pre -bid conferences or before duly noticed selection committee meetings; (ii) from engaging in contract negotiations during any duly noticed public meeting; or (iii) from communicating in writing with any County employee or official for purposes of seeking clarification or additional information from the County or responding to the County's request for clarification or additional information, subject to the provisions of the applicable RFP, RFQ or bid documents. The bidder or proposer shall file a copy of any http://library.municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http°%3a%2f%... 6/4/2012 Municode Page 19 of 22 (d) written communication with the Clerk of the Board. The Clerk of the Board shall make copies available to the general public upon request. Nothing contained herein shall prohibit any lobbyist, bidder, proposer or other person or entity from publicly addressing the Board of County Commissioners during any duly noticed public meeting regarding action on any audit or IPSIG contract. The County Manager shall include in any public solicitation for auditing or IPSIG services a statement disclosing the requirements of this ordinance. 3. Penalties. In addition to the penalties provided in Subsections (s) and (v) hereof, violation of this Subsection (t) by a particular bidder or proposer shall render any RFP award, RFQ award or bid award to said bidder or proposer voidable. Any person who violates a provision of this ordinance shall be prohibited from serving on a Miami- Dade County competitive selection committee. In addition to any other penalty provided by law, violation of any provision of this ordinance by a Miami -Dade County employee shall subject said employee to disciplinary action up to and including dismissal. Additionally, any person who has personalknowledge of a violation of this ordinance shall report such violation to the State Attorney and/or may file a complaint with the Ethics Commission. 4. The requirements of Section 2-11.1(t) shall not apply to any municipality in Miami - Dade County that has adopted an ordinance providing that the cone of silence shall not apply to that municipality. Any municipality that opts out of the requirements of Section 2-11.1(t) shall provide the Ethics Commission with a copy of the ordinance. 5. Within thirty days of a recommendation from a selection committee, the County Mayor or his designee shall either appoint a negotiation committee or take other affirmative action with respect to the solicitation, including but not limited to rejection of proposals or recommendation for award. In the event that negotiations have not commenced within thirty days, or if such other affirmative action has not been taken within thirty days, the County Mayor or his designee shall report such event, and the reasons therefore, to the Board of County Commissioners. Additionally, the County Mayor or his designee shall present the Clerk of the Board with a recommendation for award, or a recommendation to reject proposals, within ninety days from the date a selection committee makes a recommendation. In the event that the County Mayor or his designee has not provided such recommendation to the Clerk of the Board within ninety days, the County Mayor or his designee shall provide a report on the status of the solicitation to the Board of County Commissioners, including the reasons for any delay. (Ord. No. 98-106. § 1. 7-21-98: Ord. No. 99-1, § 1. 1-21-99: Ord. No. 00-149, § 1. 11-28-00; Ord. No. 01-149, § 1. 9- 25-01. Ord. No. 01-150. § 1, 9-25-01; Ord. No. 02-3. § 1. 1-29-02: Ord. No. 04-77, § 1: 4-27-04; Ord. No. 08-111, § 1, 10-7-08) (u) Prohibition on certain business transactions. No person who is serving as an elected county official or a member of the staff of an elected county official, or as county manager, senior assistant to the county manager or department director shall enter into a business transaction with any person or entity that has a contract with Miami -Dade County or any shareholder, partner, officer, director or employee of said contractor, unless said business transaction is an arm's length transaction made in the ordinary course of business. The provisions of this subsection (u) shall not apply to a business transaction between an elected county official, a member of the staff of an elected county official, the county manager, 'a • senior assistant to the county manager or a department director and a not -for -profit entity. As used herein, a "shareholder" shall mean any person owning ten (10) percent or more of the http://library.municode.com/print.aspx?h=&clientlD=10620&HTMRequest=http%3a%21%... 6/4/2012 Municode Page 20 of 22 outstanding capital stock of any corporation. As used herein, "elected county official" shall mean the mayor, county commissioners and community council members. As used herein, "business transaction" shall mean any contract wherein persons either sell, buy, deal, exchange, rent, lend or barter real, personal or intangible property, money or any other thing of value, or render services for value. (v) Voting Conflicts. Members of Advisory and Quasi -Judicial Boards. No person included in the terms defined in subsections (b)(3) (quasi-judicial personnel) and (b)(4) (advisory personnel) shall vote on any matter presented to an advisory board or quasi-judicial board on which the person sits if the board member will be directly affected by the action of the board on which the member serves, and the board member has any of the following relationships with any of the persons or entities appearing before the board: (i) officer, director, partner, of counsel, consultant, employee, fiduciary or beneficiary; or (ii) stockholder, bondholder, debtor or creditor. (w) Prohibition on acceptance of travel expenses from county vendors. Notwithstanding any other provision of this section, no person included in subsections (b)(1)(Mayor and Commissioners), (b)(5)(departmental personnel) or (b)(6) (employees) shall accept, directly or indirectly, any travel expenses including, but not limited to, transportation, lodging, meals, registration fees and incidentals from any county contractor, vendor, service provider, bidder or proposer. The Board of County Commissioners may waive the requirements of this subsection by a majority vote of the Commission. The provisions of this subsection (w) shall not apply to travel expenses paid by other governmental entities or by organizations of which the County is a member if the travel is related to that membership. (x) Prohibition on county employees and departmental personnel performing contract -related duties. No person included in subsections (b)(5)(departmental personnel) and (b)(6) (employees), who was previously employed by or held a controlling financial interest in a for - profit firm, partnership or other business entity (hereinafter "business entity") shall, for a period of two years following termination of his or her prior relationship with the business entity, perform any county contract -related duties regarding the business entity, or successor in interest, where the business entity is a county bidder, proposer, service provider, contractor or vendor. As used in this subsection (x), "contract -related duties" include, but are not limited to: service as a member of a county certification, evaluation, selection, technical review or similar committee; approval or recommendation of award of contract; contract enforcement, oversight or administration; amendment, extension or termination of contract; or forbearance regarding any contract. Notwithstanding the foregoing, the provisions of this subsection (x) shall not apply to the County Manager or the Director of Procurement Management. (Y) Powers and jurisdiction of Ethics Commission. The Ethics Commission shall be empowered to review, interpret, render advisory opinions and letters of instruction and enforce the Conflict of Interest and Code of Ethics Ordinance. Jurisdiction of the Ethics Commission shall automatically extend to Commissioners, the Mayor, autonomous personnel, quasi-judicial personnel, departmental personnel, employees, contract staff, advisory personnel, immediate family, lobbyists as defined in subsections (b) and (s) who are required to comply with the Conflict of Interest and Code of Ethics Ordinance; and any other person required to comply with the Conflict of Interest and Code of Ethics Ordinance including, but not limited to, contractors, consultants and vendors. In the event that the Ethics Commission does not assume jurisdiction as provided in the preceding sentence, the Ethics Commission may refer the complaint to the State Attorney for appropriate action. Notwithstanding the foregoing, the Ethics Commission shall not have jurisdiction to consider an alleged violation of subsection http://library.municode.com/print.aspx?h=&clientID=10620&HTMRequest=http%3 a%2f%lo... 6/4/2012 Municode Page 21 of 22 (c) if the requirements of subsection (c) have been waived for a particular transaction as provided therein. (Ord. No. 10-48, § 1. 7-8-10) (z) Prohibition on participation in settlement negotiations. Neither the Mayor, a County Commissioner nor any member of their staff shall participate in settlement negotiations of claims or lawsuits, including but not limited to contract scope or compensation adjustments involving the County without prior approval of the Board of County Commissioners. (aa) County Attomey's Office participation in contract adjustments. County staff shall request the participation of the County Attorney's Office to provide legal advice regarding scope or compensation adjustments which increase by more than one million dollars ($1,000,000), the value of a construction contract or a contract involving the purchase of goods or services. (bb) Affidavit and Ethics Course. Each person who is elected to serve as a member of the Board of County Commissioners or as Mayor of Miami -Dade County shall execute an affidavit, on a form prepared by the Ethics Commission, stating that he or she has read the Miami -Dade County Conflict of Interest and Code of Ethics Ordinance and agrees to comply with the provisions of said ordinance. Each elected official covered by the requirements of this subsection shall file the required affidavit with the Ethics Commission prior to being sworn into office. Each employee of the County, as defined in subsection (b)(5) and (b)(6), shall within one hundred eighty (180) days of the effective date of this ordinance or within sixty (60) days after being hired by the County, submit to the Clerk of the Board a certificate of completion of an ethics course offered by the Miami -Dade County Commission on Ethics and Public Trust ("Ethics Course"). Employees shall be required to complete a refresher Ethics Course every two years thereafter. Each employee who has completed a refresher Ethics Course shall submit to the Clerk of the Board a certificate of completion. The Ethics Course shall include, but not be limited to, a review of the following topics: the Conflict of Interest and Code of Ethics Ordinance; the Sunshine Law; and the Public Records Law. The requirements of this subsection (bb) relating to the Ethics Course shall not be applicable to any municipality in Miami -Dade County unless said municipality has adopted an ordinance providing for the Ethics Course, and has entered into an interlocal agreement with the County authorizing the Ethics Commission to provide the Ethics Course provided for in this subsection. (Ord. No. 12-11, § 1, 3-6-12) (cc) Penalty. (1) Proceeding before Ethics Commission. A finding by the Ethics Commission that a person has violated this section shall subject said person to an admonition or public reprimand andtor a fine of five hundred dollars ($500.00) for the first such violation and one thousand dollars ($1,000.00) for each subsequent violation. Where the Ethics Commission finds thata person has intentionally violated this section and determines that a fine is appropriate, said person shall be subject to a fine of one thousand dollars ($1.000.00) for the first such violation and two thousand dollars ($2,000.00) for each subsequent violation. Actual costs incurred by the Ethics Commission, in an amount not to exceed five hundred dollars ($500.00) per violation, may be assessed where the Ethics Commission has found an intentional violation of this section. The Ethics Commission may also order the person to pay restitution when the person or a third party has received a pecuniary benefit as a result of the person's violation. The procedure for determining restitution shall be governed by an administrative order adopted by the County Commission and rules of procedure promulgated by the ,Ethics Commission. (2) http://library.municode.com/printaspx?h=&clientID=1 0620&HTMRequest=http%3a%2f%... 6/4/2012 Municode Page 22 of 22 Prosecution by State Attorney in State court. Every person who is convicted of a violation of this section in State court shall be punished by a fine not to exceed five hundred dollars ($500.00) or imprisonment in the County Jail for not more than thirty (30) days, or by both such fine and imprisonment. (Ord. No. 72-82, § 1. 11-21-72; Ord. No. 73-26, § 1, 3-20-73, Ord. No. 77-13, § 4, 3-1-77: Ord. No. 86-24, § 2, 4-1- 86: Ord. No. 91-22, § 1, 2-19-91: Ord. No. 92-27, § 1, 4-21-92: Ord. No. 95-21, § 1, 2-7-95: Ord. No. 97-105, § 2, 7- 8-97; Ord. No. 98-73, § 1. 6-2-98; Ord. No. 98-76. § 1, 6-2-98; Ord. No. 98-106. § 1, 7-21-98; Ord. No. 98-125, § 1, 9-3-98; Ord. No. 99-150, § 1, 11-2-99; Ord. No. 00-46. § 1, 4-11-00; 00-149, § 1, 11-28-00; Ord. No. 01-199, § 1, 12 -4-01; Ord, No. 03-73, § 1. 4-8-03: Ord. No. 03-107, § 1, 5-6-03: Ord. No. 03-140, § 1, 6-3-03: Ord. No. 04-55, § 1, 3 -16-04: Ord. No. 04-119. § 1. 6-8-04: Ord. No. 04-204, § 1, 12-2-04: Ord. No. 05-71, § 1. 4-5-05: Ord. No. 06-148, § 1, 10-10-06; Ord. No. 10-11. § 1, 2-2-10; Ord. No. 10-48. § 1. 7-8-10) Editor's note - Ord. No. 72-82, § 1, amended this Code by repealing former § 2-11.1 relative to County officers and employees transacting business with the County and enacted in lieu thereof a new § 2-11.1 as herein set out. Former § 2-11.1 was derived from Ord. No:.59-44, §§ 2-5, adopted Dec. 1, 1959. Annotations -AO 77-11; CAO's 76-8, 76-32, 76-36, 76-39, 76-43, 76-46, 76-50, 76-55, 77-1, 77-9, 77-14, 77-16, 77-19, 77-26, 77-33, 77-37, 77-40, 77-41, 77-44, 77-52, 77-53, 77-56, 77-63, 77-68, 78-2, 78-10, 78-11, 78-12, 78-17, 78-25, 78-33, 78-44, 78-47, 78-53, 78-54, 79-6, 79- 7, 79-12, 79-16, 79-19, 79-32, 79-37, 80-3, 80-4, 80-11, 80-21, 80-24, 80-25, 80-28, 80-29, 81-4, 81-13, 81-18, 81-22, 81-31, 81-38, 82-1, 82-10, 82-13, 82-19, 82-24, 82-25, 82-28, 82- 29, 83-2, 83-6, 83-11, 83-22, 85-8. State law reference- Code of ethics for public officers and employees, F.S. § 112.311 et seq. http: //l ibrary. municode. com/print.aspx?h=&cl ientlD=10620&HTMRequest=http%3 a%2f %... 6/4/2012 Municode Page 1 of 6 Miami, Florida, Code of Ordinances » PART II - THE CODE » Chapter 2 - ADMINISTRATION » ARTICLE V. - CONFLICTS OF INTEREST» ARTICLE V. - CONFLICTS OF INTEREST Sec. 2-611. - Applicability of article. Sec. 2-612. - Transacting business with city: appearances before city boards; post -employment restrictions, participation in the award of certain contracts under the procurement ordinance: penalties, etc. Sec. 2-613. - Accepting gifts, etc., from persons contracting, etc., with city. Sec. 2-614. - Waiver of requirements of article. Sec. 2-615. - List of real estate owned —Required of certain officials. Sec. 2-616. - Same —To be renewed annually. Sec. 2-617. - Same —Penalty for violation of sections 2-615, 2-616. Sec. 2-618. - Disclosure of parties in interest by persons making presentations, requests, etc., to city commission or boards. Sec. 2-619. - Financial disclosure. Secs. 2-620-2-650. - Reserved. Sec. 2-611. - Applicability of article. This article shall be applicable to and binding upon every officer, official and employee of the city, including every member of any board, commission or agency of the city. (Code 1967. § 2-101; Code 1980, § 2-301) Sec. 2-612. - Transacting business with city; appearances before city boards; post - employment restrictions; participation in the award of certain contracts under the procurement ordinance; penalties, etc. (a) No person included in section 2-611 shall enter into any contract or transact any business with the city or any person or agency acting for the city, or shall appear in representation of any third party before any board, commission or agency of which such person is a member. No employee shall appear in any capacity on behalf of any third party before any board, commission or agency of the city. Any such contract or agreement entered into or appearance made in violation of this section shall render the transaction voidable. However this section shall not apply to an employee participating in federal economic development programs, the community development block grant assisted single family rehabilitation loan program, or the various affordable housing programs assisted through the home investment partnership program and state housing initiatives partnership program administered by the department of community development provided that the employee meets all criteria of the program and provided that the city manager approves the participation of the employee and that the employee is identified as being an employee of the city in applicable documents. The word "person" appearing in subsection (a) of this section shall include officers, officials and employees as set forth in section 2-611 hereof and the following family members of such "person": spouse, son, daughter, parent, brother or sister. (b) (c) http://library.municode.com/print.aspx?h=&clientID=10933&HTMRequest=http%3a%2f%... 6/4/2012 Municode Page 2 of 6 (d) The prohibition upon activity which is set forth in subsections (a) and (b) of this section shall remain in effect for a period of two years after the officer, official, or employee has left city service or terminated city employment. The director of the department and/or his designee and/or the members of the selection committee who are city employees recommending a contract award of not less than $500,000.00, shall be restricted for a two-year period, after the director and/or his designee and/or the member has left city service or terminated city employment, from receiving compensation or employment from any contractual party when the director and/or his designee and/or the member participated in the award of the contract subject to the procurement ordinance of the city, including without limitation waivers, with the following conditions and definitions: (1) (2) The word "member" as used in this section shall include all city employees who are • members of the selection committee which has recommended a contract award; The word "director" shall mean the director, or his/her designee, of any city department, division, authority, board, or office recommending a contract award, and with respect to the boards referenced in section 18-72, the executive director of such board, or his/her designee, providing, however, that this section shall not apply to the community redevelopment agency; (3) The word "director" shall exclude the city manager and the chief procurement officer as defined in section 18-73 This section shall not preclude the member or director, or his/her designee, from working for the contractual party on an entirely unrelated contract. The phrase "contractual party" is defined in section 18-73. The employment or contractual relationship cannot relate directly to the contract that was recommended by the selection committee in which the member participated and/or that was recommended by the director or his/her designee. (e) Penalties. A violation of this ordinance may be punished by imposition of the maximum fine and/or penalties allowed by law. Additionally, violations may be considered by and subject to action by the Miami -Dade County Commission on Ethics. (Code 1967, § 2-102; Ord. No. 9015, § 1, 11-8-79; Ord. No. 10823. § 2, 1-10-91; Code 1980, § 2-302:Ord. No. 11755. § 2, 2-9-99; Ord. No. 11816, § 2, 7-13-99; Ord. No. 11908, § 2. 4-13-00; Ord. No. 12401, § 1, 9-11-03; Ord. No. 12892, § 2, 3-8-07) Editor's note — Ord. No. 12892, § 2, adopted March 8, 2007, changed the title of 6 2-612 from "Transacting business with the city; appearances before city boards, etc." to "Transacting business with city; appearances before city boards; post -employment restrictions; participation in the award of certain contracts under the procurement ordinance; penalties, etc." (4) State law reference— Doing business with one's agency, F.S. § 112.313(13). (14). Sec. 2-613. - Accepting gifts, etc., from persons contracting, etc., with city. Every officer, official or employee of the city, including every member of any board, commission or agency of the city, is expressly prohibited from accepting, directly or indirectly, from any person, company, firm or corporation to which any purchase order or contract is or might be awarded, any rebate, gift, money or anything of value whatsoever, except where given for the use and benefit of the city. (Code 1967. § 2-103; Code 1980, § 2-303) http://library.municode.com/print.aspx?h=&clientID=10933&HTMRequest=http%3a%2f%... 6/4/2012 Municode Page 3 of 6 Sec. 2-614. - Waiver of requirements of article. (a) The requirements of this article may be waived for a particular transaction or transactions only by an affirmative vote of four -fifths of the members of the city commission or an unanimous vote of the quorum that exists because of either abstentions or vacancies resulting from resignation, death, suspension, or physical incapacitation after public hearing. Such waiver may be effected only after findings by four -fifths of the members of the city commission, or an unanimous vote of the quorum that exists because of either abstentions or vacancies resulting from resignation, death, suspension, or physical incapacitation as follows: (1) An open -to -all sealed competitive bid has been submitted by a city person as set forth in. section 2-611 hereof; or (2) The bid has been submitted by a person or firm offering services within the scope of practice of architecture, landscape architecture, professional engineering or registered land surveying, as defined by the laws of the state and pursuant to provisions of the Consultant's Competitive Negotiation Act as are now in force and as may be hereinafter enacted, and when the bid has been submitted by a city person as set forth in section 2-611 hereof; or (3) The property or services to be involved in the proposed transaction are unique and the city cannot avail itself of such property or services without entering into a transaction which would violate this section but for waiver of its requirements; and (4) The proposed transaction will be to the best interest of the city. (b) Such findings shall be spread on the minutes of the commission. This section shall be applicable only to prospective transactions, and the commission may in no case ratify a transaction entered in violation of this section. (c) This section shall be taken to be cumulative and shall not be construed to amend or repeal any other section or ordinance pertaining to the same subject matter. (Code 1967. § 2-104; Code 1980, § 2-304,: Ord. No. 13170, § 1, 5-13-10) State law reference— Consultants' competitive negotiation. F.S. § 287.055. Sec. 2-615. - List of real estate owned —Required of certain officials. (a) All the following enumerated elective and appointive officers or employees of the city: Mayor; City commissioners; City attorney; City clerk; City manager; Civil service board; Retirement plan board; Retirement system board; Members of planning, zoning and appeals, board; Members of the nuisance abatement board; Executive director of downtown development authority; Director of off-street parking department; Executive secretary of civil service board; Fire chief; http://library.municode.com/print.aspx?h=&clientlD=10933&HTMRequest=http%3a%2P/o... 6/4/2012 Municode Page 4 of 6 Chief of police; Members of downtown development authority; Members of off-street parking board; Directors of all departments; shall, within 30 days from the effective date of sections 2-615 through 2-617, submit to the city clerk a complete itemized list of all real property owned by he or she, whether the title be either legal or equitable, whether owned in whole or in part, including corporate real property in which he has a controlling interest or is an officer of such corporation, and shall include the following information as to each parcel of land: (1) The legal description and common address; (2) The municipal or county zoning classification wherein the property is located; (3) • The manner in which the property is presently being utilized. (b) The itemized list shall be verified under oath. Only those real properties that are located within the corporate limits of the city or those properties located 500 feet beyond the corporate limits of the city are required to be listed on a form provided by the city clerk. (c) All the elective and appointive officers or employees enumerated in subsection (a) who are • currently appointed or appointed subsequent to the effective date of amended sections 2- 615 through 2-617 shall, within 30 days of their election or appointment, submit an itemized list verified under oath of real estate holdings as provided herein. (Code 1967, § 2-105; Ord. No. 10966, § 2, 4-2-92; Code 1980, § 2-305; Ord. No. 13245, § 1, 1-13-11) Sec. 2-616. - Same —To be renewed annually. All those elective and appointive officers and employees as described in section 2-615 shall, between November 1 and December 1, 1967, and each succeeding year thereafter, submit new itemized lists of real estate holdings as required under section 2-615 subject to the terms and conditions as contained in section 2-615. (Code 1967, § 2-106; Code 1980. § 2-306) Sec. 2-617. - Same —Penalty for violation of sections 2-615, 2-616. Any elective or appointive officer or employee violating sections 2-615 and 2-616 shall be removed from office in accordance with the law. (Code 1967, § 2-108; Cocle 1980, § 2-307) Sec. 2-618. - Disclosure of parties in interest by persons making presentations, requests, etc., to city commission or boards. (a) All parties making any presentation, formal request or petition to the city commission or any city board with respect to any real property are required to make full disclosure in writing, an a form supplied by the clerk of the city commission or secretary to the board, of all parties having a financial interest, either direct or indirect, in the subject matter of said presentation, formal request or petition. Such disclosure shall include, but not be limited to, disclosure of all natural persons having an ownership interest, direct or indirect, in the subject real property. (b) The disclosure required by subsection (a) hereof must be made or updated, as may be necessary, in order to ensure that the information disclosed is accurate at the time of filing http://library.municode.comlprint.aspx?h=&clientID=10933&HTMRequest=http%3 a%2f%... 6/4/2012 Municode . Page 5 of 6 and at all times thereafter within a reasonable time after any change in the disclosure information required and is accurate as of the time of each vote by the city commission or applicable board. (c) Where the disclosure required by subsection (a) hereof is not made, the city commission or applicable board shall not consider the presentation, formal request or petition nor shall such petition be accepted for filing. (Ord. No. 9419, §§ 1, 2, 5-27-82; Ord. No. 9798, § 1, 2-9-84; Code 1980, § 2-308) Sec. 2-619. - Financial disclosure. (a) Reporting requirement: (1) In addition to the financial disclosure requirements of state law and county Code, the mayor and city commissioners are required to provide the following information to the city clerk in writing by July 1 of each year: 2e a. Description of all assets which have a value in excess of $5,000.00 including household goods. b. All liabilities which exceed $5,000.00 including the name and address of all creditors including debts or money owed in excess of $5,000.00 including credit card and retail installment accounts, taxes owed, indebtedness on a life insurance policy and accrued income taxes on net unrealized appreciation. c. All sources of income due a business entity in excess of ten percent of the gross income of a business entity in which the reporting person held a material interest and from which he/she received an amount which was in excess of ten percent of his/her gross income during the disclosure period and which exceeds $1,500.00. The period for computing the gross income of the business entity is the fiscal year of the business entity which ended on, or immediately prior to, the end of the preceding calendar year. d. Net worth, i.e., the difference between total assets and total liabilities. (2) An affidavit of the person reporting shall be executed attesting to the accuracy of the disclosures. (b) As an alternative to the requirements set forth in subsection (a) above, a copy of the reporting person's filed return for the current year's federal income tax return may be provided. (c) Any elected official who is a partner in a law firm or a stockholder in a professional association must disclose, in writing, to the city clerk the name of any client whose representation results in a contribution of ten percent or more of the gross income: (1) To the law firm in which said official is a partner; (2) To the professional association in which said official is a stockholder or has an ownership interest; or (3) To the elected official directly. (d) Every person who is convicted of a violation of this section shall be punished as provided in section 1-13 (Ord. No. 10219, § 1. 2-12-87: Code 1980. § 2-309) Secs. 2-620-2-650. - Reserved. http://library .municode.com/print.aspx?h=&clientlD=1093 3&HTMRequest=http%3 a%2f%... 6/4/2012 Municode Page 6 of 6 FOOTNOTE(S): (28) Charter reference— City officers and employees prohibited from having interest in profits, etc., of contracts, jobs, etc., performed for the city, § 4(c). (Back) (28) City Code cross reference —Conflicts of interest in regard to members, employees, etc., of downtown development.board, § 14-62 (Back) (28' Law review reference —Note as to conflicts of interest of municipal officers, 20 Miami L. Rev. 472. (Back) (29) Note— The reporting requirement applies to all persons serving in the designated capacities on December 31, 1986 and on December 31 of succeeding years. Information required to be reported by July 1 shall be the information in existence as of December. 31 of the preceding calendar year. (Back) http://library.municode.com/print.aspx?h=&clientlD=10933 &HTMRequest=http%3a%2f%... 6/4/2012