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2009. Running an Ethical Election. Presented by Marion County Clerk Beth White Legal & Ethics Conference December 1, 2009. Five Criteria. Respect the law Be non-partisan and neutral Be transparent Be accurate Serve the voters

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Presented by marion county clerk beth white legal ethics conference december 1 2009

Running an Ethical Election

Presented by

Marion County Clerk Beth White

Legal & Ethics Conference

December 1, 2009


Five criteria
Five Criteria

  • Respect the law

  • Be non-partisan and neutral

  • Be transparent

  • Be accurate

  • Serve the voters

    * taken from a Fact Sheet compiled by the International Institute for Democracy and Electoral Assistance (“IDEA”; www.idea.int); the Fact Sheet references an excerpt from the Administration and Cost of Elections Web site (“ACE”; www.aceproject.org)

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Respect the law
Respect the Law

  • Hire special counsel

  • Use Office of Corporation Counsel

  • Seek advice from Indiana Election Division

  • Keep current with legal issues and changes in election law

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Be non partisan neutral
Be Non-Partisan & Neutral

  • Send regular email communication to MCEB members

  • Disclose relationships that could lead to conflicts of interest

  • Consistent application of the rules

  • State law contemplates “bi-partisan,” “non-partisan” can be more complicated

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Be transparent
Be Transparent

  • MCEB meetings open to the public

    • Aired on public access television

    • Post minutes and agenda on Web site

  • Post election results in real time online

  • Keep lines of communication open between MCEB and political parties

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Be transparent1
Be Transparent

  • Made local campaign finance filings available online

  • Developing an enhanced voter information portal

    • Provide polling location, current elected officials, candidates for election cycle and sample ballots

  • Work to respond to constituent and public information requests in a timely manner

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Be accurate
Be Accurate

  • Work closely with election services vendor – make sure equipment is in good working order

  • Use experienced bi-partisan teams to canvass results of election

  • Absentee ballot court order

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Serve the voters
Serve the Voters

  • Voter Outreach

    • Taped infomercials for public access TV

    • Regularly attend community events to register voters

    • Launched yVote! in 2008

    • Engage voters with disabilities to serve as poll workers and to go to the polls on Election Day

    • Presence at various community events

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Serve the voters1
Serve the Voters

  • Satellite Voting

    • Additional sites for early voting

      • November 2008: 2 sites + Clerk’s Office

        • More than 73,000 people voted early

        • More than 93,000 people voted absentee in total

      • November 2009: 3 sites + Clerk’s Office

        • More than 5,100 people voted early

        • More than 8,100 people voted absentee in total

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Serve the voters2
Serve the Voters

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Serve the voters3
Serve the Voters

  • Neighborhood Based Voting

Ward 28; Precinct 9

Marion County

Warren Township

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Serve the voters4
Serve the Voters

  • Vote Centers?

    • Legislation expires 12/10

    • Legislature looking to expand

      • Tippecanoe, Wayne & Cass counties are pilot counties

    • Controversial in certain areas

    • Used in other states

Marion County Clerk Beth White

12/01/09 Legal & Ethics Conference


Presented by marion county clerk beth white legal ethics conference december 1 20091

Questions?

Presented by

Marion County Clerk Beth White

Legal & Ethics Conference

December 1, 2009


Ethics in Ohio and Neighboring States

David Freel

Executive DirectorOhio Ethics Commission


Ohio ethics commission

Ohio Ethics Commission

Ethics in Ohio and Neighboring States – Public Duties/Public Responsibilities

David E. Freel

Executive Director


Columbus Dispatch

July 3, 2002

Used with Permission


This culture began at the top. Ebbers created the pressure that led to fraud. He demanded the results he had promised, and he appeared to scorn the procedure (and people) that should have been a check on misreporting.


When efforts were made to establish a corporate Code of Conduct, Ebbers reportedly described it as a ‘colossal waste of time.’

He showed little respect for the role lawyers played with respect to corporate governance matters within the Company.


While we have heard numerous accounts of Ebbers’ demand for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Special Investigative Committee Report, WorldCom Board of Directors, 3/31/2003


John j fahey former federal prosecutor
John J. Fahey for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Former Federal Prosecutor

People at the top are not going to be able to just blame the underlings when a fraud occurs. The person at the top is responsible and has to take responsibility.

Ebbers didn’t do anything much different than an ethically challenged CEO would do. With him, for the jury, it really does seem to be the position that matters.

Referring to the conviction on March 15, 2005, of former WorldCom Chairman Bernard Ebbers, The New York Times, March 16, 2005


James Madison for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

“No man is allowed to be a judge in his own cause, because his interest would certainly bias his judgment, and, not improbably, corrupt his integrity.”


Ohio ethics law
Ohio Ethics Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • 1974 Ethics Law Governing All Public Servants

    • Financial Disclosure to increase transparency

    • Conflicts of Interest Laws – with criminal sanction

    • Processes of Advice, Disclosure, Education, and Investigation

  • Uniformity of State-Wide Legal Standard, but overseen within the Three Branches of Government

  • Ohio Ethics Commission

    • Oversight of all but Legislators, Judges – est. 590,000 – in public service throughout Ohio

    • Separate Legislative and Judicial Committee Processes


The ohio ethics commission
The Ohio Ethics Commission for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Independent, Bipartisan, 6-Member Commission

    • Academic, Legal, Corporate, Faith-Based Leaders

    • Cannot be a Lobbyist or serve in any other state position requiring disclosure

    • Elect own Chair and Vice-Chair

  • Appointed by the Governor and subject to confirmation by the Senate

    • Serve staggered, six-year terms

  • Appoint Executive Director

    • Manages staff of 21

    • Administers Advisory, Education, Financial Disclosure, Investigative, and Legislative Recommendation Authority


Ohio ethics law who is governed
Ohio Ethics Law – for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Who is Governed?

  • All public officials and employees

    • State officials

    • Local officials

    • Public employees

      • Whether full or part-time

    • Public college and university employees

    • In some instances, “agents” or others “performing ad hoc a governmental function”

  • And, those who do business with public officials and employees


Ohio ethics law four general components
Ohio Ethics Law: for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Four General Components

  • Prohibitions on Conflicts of Interest

    • Direct and Definite Financial, Fiduciary, Family, or Business Associate Interests

    • Supplemental Compensation for Public Role

    • Bar on Honoraria

  • Public Contract Restrictions

    • Any Purchase or Acquisition of Goods or Services

    • Sale of Goods to other Public Agencies

  • Post Employment / Representation Limits

    • So-called “Revolving Door”

    • Restrictions on Confidential Information

  • Processes of Assistance


Public contracts
Public Contracts for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Purchase / acquisition of public property or goods

    • Equipment purchases

    • Office supply purchases

  • Purchase / acquisition of public services

    • Personal services contracts

    • Employment

    • Grants and loans

    • Abatements and service agreements

  • Design, construction, repair, maintenance of public property

  • Investments


Public contract restrictions on investments
Public Contract Restrictions for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices. on Investments

  • R.C. 2921.42 (A)(2) prohibits public officials from securing, or authorizing the securing, of investments of public funds in:

    • Share

    • Bond

    • Mortgage

    • Other Security

  • When official, member of his family, or business associate:

    • Has interest

    • Is underwriter

    • Receives brokerage, origination or servicing fees


Ohio s ethics law does not oversee
Ohio’s Ethics Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.does not oversee:

  • Lobbying

  • Campaign Finance and Elections

  • Public records

  • Open Meetings

  • Compatibility (Dual public positions)

  • Civil service

  • Profession of Law

  • Personal behavior


Samuel johnson british author and critic 1709 1784
Samuel Johnson for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.British author and critic (1709-1784)

“Integrity without knowledge is weak and useless. Knowledge without integrity is dangerous and dreadful.”


Advice
Advice for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Respond to Requests for Advice before Acting

  • Immunity Provided to Requesters Who Are Forthright in Facts and Comply with Advice

  • Issue opinions applying law

    • 255 requests closed in 2008

    • Most recent on Stimulus (ARRA) funds

    • Annual 3,000+ telephone calls for guidance by three attorneys

    • Requests and responses are public

  • Consultation and Guidance Provided Based Upon Prior Precedent and Case Law


C s lewis
C.S. Lewis for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

“Most people don’t need to be taught. They need to be reminded.”


Education
Education for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Provide Education Sessions on Ethics Law

    • State officials and local officials

    • Public employees

    • Private and Non-Profit Sectors

    • General public

  • Provided 241 Sessions in 2008

    • 18,000+ attendees

  • Issue Informational Materials

    • Educational DVD

    • General Information Memos

  • Web Site: www.ethics.ohio.gov


Former supreme court justice louis d brandeis
Former Supreme Court Justice for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices. Louis D. Brandeis

“Sunlight is said to be the best of disinfectants…”


Financial disclosure
Financial Disclosure for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Two-fold Purpose:

    • Reminds filers of potential conflicts of interest

    • Informs public of potential conflicts of interest

  • Uncompensated Board and Commission Members’ Financial Disclosure Forms (FDS)

    • Confidential, but subject to specific review


Financial disclosure statements

Most elected state and local officials for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Candidates for those offices

High-ranking state officials and employees

Listing of sources of year’s finances and real property

Reminds official (and informs public) of potential conflicts of interest

Average of 11,000 annual filers

11,442 in 2008

1387 different agencies

Financial Disclosure Statements


Michael josephson
Michael Josephson for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

“Self-interest has a powerful tendency to disable our objectivity and befuddle our ability to live up to moral principles.”


Investigation
Investigation for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Investigate alleged violations of Ethics Law

    • 544 allegations,168 active investigations in 2008

    • Confidential criminal investigation - subpoena authority

  • Recent examples:

    • 2005-2009 Bureau of Workers Compensation (BWC)

      • 14 of 19 convicted of Ethics Law violations

      • Public and private sector persons

    • 2008-2009 Former Attorney General’s Senior Staff

      • Former Director of Administration – Theft in office, improper compensation

    • Multiple state and local officials, board members, public employees, and private sector persons

      • 32 at various stages of prosecutorial review in 2008

      • Staff have served as Special Prosecutors in 24 cases

  • Refer cases for Criminal Prosecution

    • Alternative dispute resolution for less serious violations


Legislative recommendations
Legislative Recommendations for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Recommend legislation related to:

    • Ethics

    • Conflicts of interest

    • Financial disclosure

  • Examples:

    • S.B. 219 – Stat. of Limitations Uniformity (2008)

    • S.B. 289 – Void Public Contract’s (2007)

    • S.B. 133 – Public Pension Reform (2004)

    • S.B. 286 – Higher Education Entrepreneurship (2000)


Mandated awareness of ohio s ethics law
Mandated Awareness of for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Ohio’s Ethics Law

  • Copy of Ethics Law

  • Required by law

  • All public officials and employees

  • Within 15 days of:

    • Hire

    • Election

    • Appointment


Indiana and other ethics jurisdictions
Indiana and for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Other Ethics Jurisdictions

  • Indiana

    • Significant similarities and differences

  • Neighboring States

    • West Virginia

    • Kentucky

    • Illinois

    • Pennsylvania

    • Michigan

    • Wisconsin

  • Nationally – 40+ states – Colorado recently

  • Local and Regional Growth

  • Canada – Use of Provincial Ethics Officers

  • Internationally – Recent JLS experience in Jordan

  • Good Resource – COGEL – www.cogel.org


Michael josephson1
Michael Josephson for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

“We judge ourselves by our intention, but we are judged by our last worst act.”


Ohio s ethics law
Ohio’s Ethics Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

The Ohio Ethics Commission

8 East Long Street

10th Floor

Columbus, Ohio 43215

Phone:(614) 466-7090

Fax:(614) 466-8368

Website: www.ethics.ohio.gov


2009 for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.


Ethics 101: for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Interpreting the

Code of Ethics

State Ethics Commission

Clare Nuechterlein

Jim Clevenger

Priscilla KeithBob Jamison


The Key to Accessing Government: for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.A Discussion with Indiana’s Public Access Counselor

Andrew Kossack


Indiana s public access laws

Indiana’s Public Access Laws for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Andrew J. Kossack

Indiana Public Access Counselor

2009 Legal Ethics Conference

December 1, 2009


Open door law
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

The Open Door Law

  • The full text of the Open Door Law (“ODL”) can be found at Ind. Code § 5-14-1.5-1 et seq.

  • What does the ODL require?

    • “[A]ll meetings of the governing bodies of public agencies must be open at all times for the purpose of permitting members of the public to observe and record them.” I.C. § 5-14-1.5-3(a).

    • The ODL also requires 48-hour advanced notice of meetings. I.C. § 5-14-1.5-5.


Open door law1
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

What is a Meeting?

  • A gathering of a majority of the governing body for the purpose of taking official action upon public business. I.C. § 5-14-1.5-2(c).


Open door law2
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

What is NOT a Meeting?

  • Any social or chance gathering not intended to avoid this chapter;

  • any on-site inspection of any project, program or facilities of applicants for assistance;

  • traveling to and attending meetings of organizations devoted to the betterment of government

  • a caucus;


Open door law3
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

What is NOT a Meeting? (cont.)

  • A gathering to discuss an industrial or commercial prospect that does not include a conclusion as to recommendations, policy, decisions or final action on the terms of a request or an offer of public financial assistance;

  • An orientation of members on their role and responsibilities as public officials; or

  • A gathering for the sole purpose of administering an oath


Open door law4
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

What is “Official Action?”

  • receiving information

  • deliberating

  • making recommendations

  • establishing policy

  • making decisions

  • taking final action (i.e. voting)

    • NOTE: Anyone of these items constitutes official action.


Open door law5
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Serial meetings

  • I.C. § 5-14-1.5-3.1.

  • In 2007 the legislature added new language to prohibit serial meetings. All of the following must be present to violate the serial meeting law:

    • three members but less than a quorum meet

    • subsequent meetings involve at least 2 members

    • sum of all meeting attendees constitutes a quorum

    • all meetings held within 7 days

    • to take official action on public business

  • The serial meeting law does not apply to governing bodies with fewer than six members.


Open door law6
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Executive Sessions

  • I.C. § 5-14-1.5-6.1

  • A meeting from which the public is excluded, except for persons necessary to carry out business

  • There are 13 executive session instances

  • The instances are narrowly construed

  • The governing body may not take final action (i.e., vote) in an executive session but may make decisions in the executive session. See Baker v. Town of Middlebury, 753 N.E.2d 67 (Ind. Ct. App. 2001).


Open door law7
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Reasons for Executive Sessions

  • Discussion of strategy with respect to initiation of litigation or litigation that is pending or has been threatened in writing (I.C. § 5-14-1.5-6.1(b)(2)(B))

  • To receive information about and interview prospective employees (I.C. § 5-14-1.5-6.1(b)(5))

  • To discuss a job performance evaluation (I.C. § 5-14-1.5-6.1(b)(9))


Open door law8
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Notice Requirements

  • I.C. § 5-14-1.5-5

  • The notice requirements apply to open meetings, reconvened meetings, rescheduled meetings, and executive sessions

  • Must post notice of date, time and location of meeting 48 hours in advance of meeting

    • The 48 hours does not include Saturdays, Sundays, or legal holidays

    • “an executive session after the regular meeting” is not sufficient notice of meeting time


Open door law9
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Posting or Delivery of Notice

  • Notice must be posted at agency’s principal office or at meeting place

  • The agency must also deliver notice to all news media that deliver by January 1 an annual written request for such notices.

    • The delivery of notice to news media does not meet the “posting” requirement, even if the media publish the notice or advertise the meeting.


Open door law10
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Notice Requirements for Executive Sessions:

  • The notice must contain the same information as for an open meeting, but must also state the subject matter by specific reference to the enumerated instance(s) for which executive sessions may be held. (e.g., “to interview prospective employees pursuant to I.C. § 5-14-1.5-6.1(b)(5)”)

    • Note: There is no executive session instance to “discuss personnel matters” or to “meet with the Board’s attorney” – specific instances must be cited


Open door law11
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Exception to Notice Requirement for “Administrative Function” Meetings

  • The requirements for posting notice do not apply when the executive of a county or the legislative body of a town meets if the meeting is held solely to receive information or recommendations in order to carry out administrative functions, to carry out administrative functions, or confer with staff members on matters relating to the internal management of the unit.


Open door law12
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Administrative Function Meetings (cont.)

  • Administrative functions do not include the awarding of contracts, the entering into contracts, or any other action creating an obligation or otherwise binding a county or town. I.C. § 5-14-1.5-5(f)(2).

  • The “administrative function” meeting must be held in the public, since the notice provision of the ODL is the only provision that does not apply to an “administrative function” meeting. I.C. § 5-14-1.5-5(f)(2).


Open door law13
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Agenda and Memoranda

  • Covered in Section 4 of the ODL. I.C. § 5-14-1.5-4)

  • The ODL does not require an agency to utilize an agenda.

  • If the governing body utilizes an agenda, the agenda must be posted outside the meeting before the meeting begins – the ODL does not provide a time by when the agenda must be posted.


Open door law14
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Agenda and Memoranda (cont.)

  • An agency may deviate from its posted agenda unless a specific statute provides otherwise.

  • A final action adopted by reference to agenda number or item alone is void (e.g. “all in favor of item III?”)


Open door law15
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Agenda and Memoranda (cont.)

  • ODL does not require minutes

  • Memoranda must be kept as the meeting progresses and must contain:

    • Date, time and location of meeting

    • Members present and absent

    • The general substance of all matters, proposed, discussed, or decided

    • A record of all votes taken, by individual members if there is a roll call


Open door law16
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Agenda and Memoranda (cont.)

  • The memoranda are to be available within a reasonable period of time after the meeting.

  • The minutes, if any, are to be open for inspection and copying.

  • Draft minutes of a public meeting are disclosable public records despite not being in final form or adopted by the governing body.


Open door law17
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Memoranda Requirements for Executive Sessions

  • Same requirements as for meetings, except the memoranda and minutes must identify the subject matter considered by specific reference to the enumerated instance or instances for which public notice was given.

  • The memoranda and minutes must certify no other matter was discussed.


Open door law18
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • A right of the public to record meetings, found at I.C. § 5-14-1.5-3(a) includes the right to audio or video record the meeting. Berry v. Peoples Broadcasting Corp., 547 N.E.2d 231 (Ind. 1989).

  • A governing body may place reasonable restrictions on the use of such equipment, but may not ban the use of audio or video recorders.


Open door law19
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Use of Technology

  • Access laws do not always keep pace with technological advances.

  • The purpose of the ODL is constant and should be considered when addressing new issues in public access.


Open door law20
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Teleconferencing or videoconferencing of meetings

    • Generally, a member of a governing body who is not physically present but communicates by electronic or telephonic means may not vote and may not be counted present

    • Some specific statutes allow for teleconferencing or videoconferencing


Open door law21
Open Door Law for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Is Electronic Mail a Meeting?

  • Members of governing body must be cautious in use of email when it is used between and among members to conduct official business.

  • Indiana courts have not addressed the issue, but the Virginia high court ruled that email communications did not constitute a meeting. Beck v. Shelton, 593 S.E.2d 195 (Va. 2004). Email communication lacked simultaneity.

  • Previous PACs have opined that email is not a “meeting” under the ODL***

    • ***Keep in mind the APRA


Access to public records act
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

The Access to Public Records Act (“APRA”)

  • Purpose: “Providing persons with the information is an essential function of a representative government and an integral part of the routine duties of public officials and employees, whose duty it is to provide the information.”

  • The full text of APRA can be found at Ind. Code 5-14-3-1 et seq.


Access to public records act1
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • “Public records” are broadly defined: can be summarized as “any material that is created, received, retained, maintained or filed by or with a public agency.” I.C. § 5-14-3-2(n).

  • The Indiana Court of Appeals has added to this definition any material created for or on behalf of a public agency. Knightstown Banner v. Town of Knightstown, 838 N.E.2d 1137 (Ind. Ct. App. 2005).

    • In Knightstown, the record in question was a settlement agreement held in a private attorney’s office. The settlement agreement was created for the public agency but not physically maintained by the agency.


Access to public records act2
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • “Copy” includes photocopying as well as making a digital copy using a digital camera or a hand-held scanner.

  • “Inspect” includes the right to make notes, abstracts and memoranda, or to listen to an audiotape.


Access to public records act3
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • The agency may require a person to submit a request for a public record in writing, or in a form supplied by the agency. I.C. § 5-14-3-3(a).

  • The agency shall either make the requested copy or allow the person to make a copy on the agency’s equipment or on the person’s own equipment.

    • If the requester wants to use personal equipment, the agency has the burden of demonstrating its reason(s) for any refusal


Access to public records act4
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • An agency must make reasonable efforts to provide a copy of electronic data to a person if the medium requested is compatible with the agency’s system.

  • If a record contains disclosable and nondisclosable information, the agency shall separate the disclosable material and make it available. I.C. § 5-14-3-6.

    • Senate Bill 232: in camera review


Access to public records act5
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Electronic Mail

  • Any record, including electronic media, created received, retained, maintained, or filed by or with a public agency is a public record.

  • Therefore, electronic mail is a public record if it is created, received, retained, maintained, or filed with a public agency, including a governing body.


Access to public records act6
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Electronic mail must be available for inspection and copying by the governing body unless an exception to disclosure, based on the content of the email, applies.

  • Electronic mail must be maintained in accordance with records retention schedules, pursuant to I.C. 5-15.


Access to public records act7
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Email messages maintained in a personal email account (e.g. Yahoo! account) are generally not public record.

  • If the personal email is submitted to the agency, it becomes a public record.

    • Example: A council member prints a personal email message from a neighbor and gives it to a city employee for follow-up.


Access to public records act8
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Public Agency’s Responsibilities

  • Respond to requests made in person or via telephone within 24 hours of receipt.

  • Respond to mailed, faxed, or e-mailed requests within seven days of receipt.

  • Respond in writing to written requests for records; best practice is to respond to all requests in writing.


Access to public records act9
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Responding is not necessarily producing the record; the PAC’s opinions have consistently been that the records should be produced within a reasonable time

  • PACs have considered factors such as

    • the nature of the requests (whether they are broad or narrow),

    • how old the records are, and

    • whether the records must be reviewed and edited to delete nondisclosable material


Access to public records act10
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • The burden lies with the public agency to show the time period for producing documents is reasonable.

  • Suggestions:

    • Communicate with the requester.

    • Give yourself a production deadline and explain your reasoning. If you need an extension, notify the requester in advance of the deadline.

    • Demonstrate good faith by making portions of a production available from time to time when voluminous documents are being reviewed for disclosure.


Access to public records act11
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Section 7 of the APRA requires a public agency to regulate any material interference with the regular discharge of the functions or duties of the public agency or public employees. I.C. §5-14-3-7(a).

  • Section 7 does not operate to otherwise deny a requester’s rights under the APRA. I.C. §5-14-3-7(c).


Access to public records act12
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Denials

  • If denying records, state reason for denial with citation to specific authority, and give name and title or position of person responsible for denial. I.C. § 5-14-3-9.

    • Citing unnamed “privacy laws” or referring generally to “HIPAA” is not sufficient; citations must be specific.

  • Produce records in reasonable time; communication with requestor is key.


Access to public records act13
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Exceptions to Disclosure

  • I.C. § 5-14-3-4.

  • Section 4(a) categories are confidential

    • Declared confidential by federal/state statute

    • Patient medical records created by a provider

    • Declared confidential by rule adopted by Indiana supreme court (Admin. Rule 9)


Access to public records act14
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Section 4(b): Discretionary Exemptions

  • Investigatory records of law enforcement

  • Attorney-client privileged/work product

  • Personnel file information, except for information in 4(b)(8)

  • Telephone number, address, and social security number of a customer of a municipally-owned utility


Access to public records act15
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Copy Fees

  • Local agencies may charge only the fee schedule adopted by the fiscal body of the agency and authorized by I.C. § 5-14-3-8.

  • May not exceed the actual cost for providing a copy of the public record.

  • Actual cost is the cost of the paper and per page cost for use of the equipment.

    • Actual cost cannot include labor or overhead. I.C. § 5-14-3-8(d)(2).


Access to public records act16
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Copy Fees, cont.

  • APRA’s general provisions regarding fees are sometimes superseded by a specific statute allowing higher fee.

    • County recorders – I.C. § 36-2-7-10.

    • County clerks and court records - I.C. § 33-37-5-1.

  • Agencies may require advance payment.


Access to public records act17
Access to Public Records Act for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Retention of records

  • The APRA requires an agency to protect records from loss, alteration, mutilation, or destruction.

  • Each county has a commission on public records to adopt retention schedules. The state oversight committee on public records has set general retention schedules for cities and towns. More information can be found at www.in.gov/icpr/county/coretention.


Apra and odl
APRA and ODL for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Enforcement Provisions

  • A person may file a complaint with the public access counselor alleging a denial of a right under APRA or ODL.

  • The PAC sends formal complaint to the agency for response and issues a formal advisory opinion within 30 days.

  • A person may file a lawsuit in superior court to compel the agency to produce a record or declare an action void.


Apra and odl1
APRA and ODL for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Enforcement Provisions, cont.

  • If a person prevails in court and has received an advisory opinion from the PAC prior to going to court, the person shall be awarded reasonable attorney’s fees, court costs, and other reasonable costs of litigation.


Office of the public access counselor
Office of the Public Access Counselor for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

  • Our contact information

    • 402 West Washington Street, W470

      Indianapolis 46204

    • Fax: 317.233.3091

    • Toll free: 800.228.6013

    • Phone: 317.234.0906

  • Visit our website at www.in.gov/pac for the Handbook on Indiana’s Public Access Laws, advisory opinions, and other resources.


2009 for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.


Judicial Reform for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Chief Judge John BakerIndiana Court of Appeals


2009 for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.


The Hatch Act: Does it Apply to Me? for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.

Erica HamrickDeputy Chief, Hatch Act UnitU.S. Office of Special Counsel


POLITICAL ACTIVITY for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.AND THESTATE AND LOCAL EMPLOYEE


State and local hatch act 5 u s c 1501 08
STATE AND LOCAL HATCH ACT for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501-08

  • THE ACT WAS ORIGINALLY ENACTED IN 1939. INITIALLY IT ONLY APPLIED TO FEDERAL EMPLOYEES

  • IN 1940, THE HATCH ACT WAS AMENDED TO EXTEND COVERAGE TO STATE AND LOCAL EMPLOYEES


State and local hatch act coverage 5 u s c 1501 08
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501-08

  • THE ACT APPLIES TO INDIVIDUALS WHO ARE —

    • EMPLOYED BY A STATE OR LOCAL AGENCY

    • IN THE EXECUTIVE BRANCH OF GOVERNMENT

    • WHOSE PRINCIPAL EMPLOYMENT IS

    • IN CONNECTION WITH AN ACTIVITY FINANCED

    • IN WHOLE OR IN PART

    • BY A FEDERAL LOAN OR GRANT


State and local hatch act coverage 5 u s c 1501
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

  • EMPLOYED BY A STATE OR LOCAL AGENCY

    • INCLUDES BOTH EMPLOYEES AND INDIVIDUALS HOLDING OFFICE

    • INCLUDES STATE, COUNTY, AND MUNICIPAL AGENCIES OR DEPARTMENTS THEREOF

    • INCLUDES A TERRITORY OR POSSESSION OF THE UNITED STATES


State and local hatch act coverage 5 u s c 15011
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

  • IN THE EXECUTIVE BRANCH OF GOVERNMENT

    • INDIVIDUALS EMPLOYED OR HOLDING OFFICE

      IN THE LEGISLATIVE BRANCH OR

      THE JUDICIAL BRANCH ARE NOT COVERED


State and local hatch act coverage 5 u s c 15012
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

  • MUST BE THE INDIVIDUAL’S PRINCIPAL EMPLOYMENT

    • ONLY AN ISSUE WHEN THE INDIVIDUAL HAS

      2 OR MORE JOBS

    • KEY FACTORS TO CONSIDER:

      (1) AMOUNT OF HOURS WORKED

      (2) SALARY AMOUNT

    • WHERE IS THE INDIVIDUAL DURING NORMAL BUSINESS HOURS?


State and local hatch act coverage 5 u s c 15013
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

  • PRINCIPAL EMPLOYMENT MUST BE IN CONNECTION WITH ACTIVITY FINANCED

    BY FEDERAL LOAN OR GRANT


State and local hatch act coverage 5 u s c 15014
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

  • INDIVIDUAL IS COVERED BY THE ACT IF

    “AS A NORMAL AND FORSEEABLE INCIDENT TO PRINICIPAL POSITION OR JOB, THE INDIVIDUAL PERFORMS DUTIES IN CONNNECTION WITH AN ACTIVITY FINANCED IN WHOLE OR IN PART BY A FEDERAL LOAN OR GRANT.”

    Special Counsel v. Williams, 56 MSPR 277, 283 (1993).


State and local hatch act coverage 5 u s c 15015
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

PRACTICIONER’S TIP:

  • LOOK AT THE PROGRAMS THAT AN INDIVIDUAL WORKS ON AND ASK WHETHER THERE ARE ANY FEDERAL LOANS OR GRANTS FINANCING THOSE PROGRAMS.

  • CONSIDER ALL DUTIES OF THE INDIVIDUAL

  • REMEMBER TO CONSIDER HOW OPERATING COSTS, EQUIPMENT COSTS, AND ADMINISTRATIVE COSTS ARE PAID


State and local hatch act coverage 5 u s c 15016
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

EXAMPLES OF COVERED EMPLOYEES:

  • Executive Secretary of Housing Authority covered when agency receives an operating subsidy and secretary reviews & signs requests for subsidy. Special Counsel v. Hayes, 16 MSPR 166 (1983).

  • Employee covered because part of his travel expenses – a mere $350- came from a federal grant received through the state board of health. In Re Lyle, 2 PAR 413 (1951).


State and local hatch act coverage 5 u s c 15017
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

EXAMPLES OF COVERED EMPLOYEES:

  • Employee who had general supervision of all engineering work for the State Department of Highway covered by the Act because engineering projects financed in part by federal grants. In re Grant, 2 PAR 156 (1944).


State and local hatch act coverage 5 u s c 15018
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

SUPERVISORY EMPLOYEES & DIRECTORS

INDIVIDUAL WHO SUPERVISES EMPLOYEES WHO WORK ON FEDERALLY FUNDED PROGRAMS GENERALLY WILL BE HELD TO HAVE DUTIES IN CONNECTION WITH FEDERALLY FUNDED ACTIVITIES BECAUSE OF OVERSIGHT RESPONSIBILITIES

Palmer v. United States Civil Service Commission, 297 F.2d 450 (7th Cir. 1962) (Director of Department of Conservation covered even though he claimed he spent less than one percent of his time on federally funded projects).


State and local hatch act coverage 5 u s c 15019
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

FEDERAL LOAN OR GRANT INCLUDES:

  • GRANTS THAT PASS THROUGH THE STATE OR OTHER AGENCY

  • FEDERAL REIMBURSEMENTS

  • FEDERAL SUBSIDIES

  • MEDICAID – (Special Counsel v. Alexander, 71 MSPR 636)

    BUT NOT

  • MEDICARE


State and local hatch act coverage 5 u s c 150110
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

FACTS ABOUT COVERAGE:

  • IT IS NOT NECESSARY THAT AN INDIVIDUAL’S SALARY BE PAID WITH FEDERAL FUNDS

  • THE INDIVIDUAL DOES NOT HAVE TO HAVE ADMINISTRATIVE OR EXECUTIVE DISCRETION OVER FEDERAL FUNDS OR DECIDE HOW THEY ARE SPENT

  • PROGRAM DOES NOT HAVE TO BE FUNDED AT LEAST 50% BY FEDERAL FUNDS – ANY AMOUNT CAN TRIGGER COVERAGE


State and local hatch act coverage 5 u s c 150111
STATE AND LOCAL HATCH ACT: COVERAGE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

FACTS ABOUT COVERAGE:

  • THE ACT CONTINUES TO APPLY TO INDIVIDUALS WHILE ON ANNUAL LEAVE, SICK LEAVE, LEAVE WITHOUT PAY, ADMINISTRATIVE LEAVE OR FURLOUGH

  • PART-TIME, TEMPORARY OR SEASONAL EMPLOYEES ARE COVERED BY THE ACT


State and local hatch act exemptions 5 u s c 1501 4 b
STATE AND LOCAL HATCH ACT: EXEMPTIONS for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501(4)(B)

EDUCATIONAL EXEMPTION

INDIVIDUAL IS NOT COVERED IF:

  • EMPLOYED BY EDUCATIONAL OR RESEACH INSTITUTION, ESTABLISHMENT, OR AGENCY THAT IS SUPPORT IN PART BY STATE OR LOCAL AGENCY

  • FOR EXAMPLE: TEACHERS, PROFESSORS

    SCHOOL ADMINISTRATORS


State and local hatch act coverage private nonprofit 5 u s c 1501
STATE AND LOCAL HATCH ACT: COVERAGE – PRIVATE, NONPROFIT for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. §§ 1501

PRIVATE NONPROFIT CORPORATIONS

  • GENERAL RULE: HATCH ACT DOES NOT APPLY TO EMPLOYEES OF PRIVATE, NONPROFIT CORPORATIONS.

  • EXCEPTION: SOME FEDERAL STATUTES CONTAIN A PROVISION THAT RECEIPIENT ORGANIZATIONS WILL BE TREATED AS “STATE OR LOCAL” AGENCIES FOR PURPOSES OF HATCH ACT.

    - HEAD START (42 U.S.C. 9851)

    - COMMUNITY SERVICE BLOCK GRANT (42 U.S.C. 9918)


Hatch act do s 5 u s c 1502
HATCH ACT DO’s for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502

HATCH ACT COVERED EMPLOYEES MAY –

  • ATTEND AND BE ACTIVE AT POLITICAL RALLIES AND MEETINGS

  • JOIN AND BE ACTIVE MEMBER OF A POLITICAL PARTY OR CLUB, INCLUDING HOLDING OFFICE

  • SIGN NOMINATING PETITIONS

  • CAMPAIGN FOR OR AGAINST REFERENDUM QUESTIONS, CONSTITUTIONAL AMENDMENTS, MUNICIPAL ORDINANCES


Hatch act do s 5 u s c 15021
HATCH ACT DO’s for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502

HATCH ACT COVERED EMPLOYEES MAY –

  • CAMPAIGN FOR OR AGAINST CANDIDATES IN PARTISAN ELECTIONS

  • MAKE CAMPAIGN SPEECHES FOR CANDIDATES IN PARTISAN ELECTIONS

  • DISTRIBUTE CAMPAIGN LITERATURE IN PARTISAN ELECTIONS

  • BE CANDIDATE FOR PUBLIC OFFICE IN NONPARTISAN ELECTION


Hatch act don ts 5 u s c 1502 5 c f r part 151
HATCH ACT DON’Ts for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502; 5 C.F.R. Part 151

COVERED EMPLOYEES MAYNOT—

  • USE OFFICIAL AUTHORITY OR INFLUENCE TO INTERFERE WITH OR AFFECT AN ELECTION

  • DIRECTLY OR INDIRECTLY COERCE, ATTEMPT TO COERCE, COMMAND, OR ADVISE A STATE OR LOCAL OFFICER OR EMPLOYEE TO PAY, LEND, OR CONTRIBUTE ANYTHING OF VALUE TO A PARTY, COMMITTEE, AGENCY OR PERSON FOR POLITICAL PURPOSES

  • BE CANDIDATES FOR PUBLIC OFFICE IN PARTISAN ELECTIONS


Hatch act don ts 5 u s c 1502 a 1 5 c f r part 151
HATCH ACT DON’Ts for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502(a)(1); 5 C.F.R. PART 151

COVERED EMPLOYEES MAYNOT—

USE OFFICIAL AUTHORITY OR INFLUENCE TO INTERFERE WITH AN ELECTION

  • Use of official title

  • Coercion of subordinates

  • Solicit the uncompensated volunteer services of subordinates

  • E-mail


Hatch act don ts 5 u s c 1502 a 2 5 c f r part 151
HATCH ACT DON’Ts for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502(a)(2); 5 C.F.R. PART 151

COVERED EMPLOYEES MAYNOT—

DIRECTLY OR INDIRECTLY COERCE, ATTEMPT TO COERCE, COMMAND, OR ADVISE A STATE OR LOCAL OFFICER OR EMPLOYEE TO PAY, LEND, OR CONTRIBUTE ANYTHING OF VALUE TO A PARTY, COMMITTEE, ORGANIZATION, AGENCY OR PERSON FOR POLITICAL PURPOSE.


Hatch act don ts 5 u s c 1502 a 3 5 c f r part 151
HATCH ACT DON’Ts for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502(a)(3); 5 C.F.R. PART 151

COVERED EMPLOYEES MAYNOT—

BE CANDIDATES FOR PUBLIC OFFICE IN PARTISAN ELECTIONS

  • Election is partisan if ANY candidate is nominated or elected as representing a political party, for example, the Democratic or Republican Party.

    • Write-in candidacy (must be spontaneous)

    • Party office is permissible (Precinct Committee person)


Hatch act don ts 5 u s c 1502 a 3 5 c f r part 1511
HATCH ACT DON’Ts for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502(a)(3); 5 C.F.R. PART 151

CROSS FILING FOR OFFICE

ELECTION IS PARTISAN EVEN IF CANDIDATES ARE PERMITTED TO CROSS FILE FOR THE OFFICE.

SPECIAL COUNSEL V. YOHO, 15 MSPR 409 (1983)


Hatch act don ts 5 u s c 1502 b 5 c f r part 151
HATCH ACT DON’Ts for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502(b; 5 C.F.R. PART 151

EXEMPTION FOR CERTAIN ELECTED OFFICIALS

THE PROHIBITION AGAINST BEING A CANDIDATE DOES NOT

APPLY TO:

  • The Governor or Lieutenant Governor of a State;

  • The mayor of a city;

  • A duly elected head of an executive department who is not classified under a merit or civil service system; or

  • An individual holding elective office.

    INDIVIDUAL MUST QUALIFY FOR EXEMPTION BASED ON THEIR PRINCIPAL EMPLOYMENT.

    THESE INDIVIDUALS STILL SUBJECT TO OTHER PROHIBITIONS


Candidacy 5 u s c 1502
CANDIDACY for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502

WHEN DOES IT BEGIN?

  • WHEN AN INDIVIDUAL BEGINS TO COLLECT SIGNATURES FOR NOMINATING PETITIONS

  • WHEN AN INDIVIDUAL BEGINS TO FUNDRAISE

  • WHEN AN INDIVIDUAL MAKES AN ANNOUNCEMENT TO THE PRESS

  • WHEN AN INDIVIDUAL FILES NOMINATING PETITIONS

  • WHEN AN INDIVIDUAL PUTS A CAMPAIGN COMMITTEE TOGETHER


Beware of nonpartisan elections candidacies 5 u s c 1502
BEWARE OF NONPARTISAN ELECTIONS/CANDIDACIES for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1502

NONPARTISAN CAN BECOME PARTISAN ELECTION WHEN:

  • Standard: There is evidence showing that partisan politics actually entered the campaign of a candidate.

    • Employee/candidate seeks and receives endorsement of political party.

    • Employee/candidate advertises endorsement of political party.

    • Employee/candidate uses political party resources.

    • Employee/candidate announces he is political party candidate.


The office of special counsel s role the state and local hatch act 5 u s c 1504
THE OFFICE OF SPECIAL COUNSEL’S ROLE& THE STATE AND LOCAL for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.HATCH ACT5 U.S.C. § 1504

THE OFFICE OF SPECIAL COUNSEL SERVES TWO FUNCTIONS:

  • ISSUE ADVISORY OPINIONS CONCERNING THE HATCH ACT;

  • 2. INVESTIGATE ALLEGATIONS OF POLITICAL ACTIVITIES PROHIBITED BY THE HATCH ACT AND SEEK DISCIPLINARY ACTION AGAINST THOSE WHO VIOLATE THE ACT.


Penalties for violation state and local hatch act 5 u s c 1505
PENALTIES FOR VIOLATION for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.(STATE AND LOCAL HATCH ACT)5 U.S.C. § 1505

MERIT SYSTEMS PROTECTION BOARD DETERMINES —

  • 1. IF THERE HAS BEEN A VIOLATION OF THE HATCH ACT;

  • AND

  • 2. DOES THE VIOLATION WARRANT REMOVAL OF THE EMPLOYEE FROM THE COVERED POSITION.


Penalties for violation state and local hatch act 5 u s c 1506
PENALTIES FOR VIOLATION for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.(STATE AND LOCAL HATCH ACT)5 U.S.C. § 1506

  • WHEN VIOLATION WARRANTS REMOVAL OF THE EMPLOYEE, THE MERIT SYSTEMS PROTECTION BOARD

  • NOTIFIES AGENCY TO REMOVE EMPLOYEE FROM POSITION

  • IF AGENCY REFUSES TO REMOVE EMPLOYEE, AGENCY FORFEITS FEDERAL FUNDS IN AN AMOUNT EQUAL TO TWO YEARS OF THE PERSON’S SALARY


Penalties for violation state and local hatch act 5 u s c 15061
PENALTIES FOR VIOLATION for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.(STATE AND LOCAL HATCH ACT)5 U.S.C. § 1506

DEBARMENT

INDIVIDUAL ORDERED REMOVED CANNOT BE HIRED BY ANY OTHER STATE OR LOCAL AGENCY WITHIN THE SAME STATE FOR A PERIOD OF 18 MONTHS


Hatch act information advice 5 u s c 1212 f
HATCH ACT INFORMATION / ADVICE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.5 U.S.C. § 1212 (f)

EMPLOYEES MAY:

  • OBTAIN ANSWERS TO SPECIFIC QUESTIONS ABOUT POLITICAL ACTIVITY BY CALLING OSC, AT ―

    800-85-HATCH OR 202-254-3650

  • OBTAIN WRITTEN ADVISORY OPINIONS ABOUT THE HATCH ACT BY CONTACTING OSC ― BY MAIL, AT: U.S. OFFICE OF SPECIAL COUNSEL 1730 M STREET, NW (SUITE 218) WASHINGTON, DC 20036-4505ATTN: HATCH ACT UNIT BY FAX, AT: (202) 254-3700


Osc web site http www osc gov
OSC WEB SITE for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.(http://www.osc.gov)


2009 for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.


Ethics: for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.A Federal and State Perspective

Mark Everson

Indiana Department of Administration


Legal ethics conference december 1 2009

Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.December 1, 2009

Ed CharbonneauState Senator


Legal ethics conference sen ed charbonneau
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

Early Ethics Lesson


Legal ethics conference sen ed charbonneau1
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Perspective

    • Business

    • Local Government Academy

    • Economic Development

    • Health Care

    • Lobbyist

    • Ethics Commission

    • State Senator


Legal ethics conference sen ed charbonneau2
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • September 5, 2003

    • Agenda

    • Resolution

    • Ethics Pledge April 2004

    • 15 Cities & Towns Adopt Ethics Codes

    • 4 Community Joint Code & Shared Ethics Officer

    • HB1033 C. Brown December 4, 2003

    • Crown Point becomes a City of Character


Legal ethics conference sen ed charbonneau3
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

“The public has a right to know whether their public officials are honest, and the public officials need to know that someone is watching them. A little paranoia is not a bad thing.”

Joe Van Bokkelen

U.S. Attorney

Northern District of Indiana


Legal ethics conference sen ed charbonneau4
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • What is ethics?

    • Choices

    • Not tough to understand but tough to live with

    • Addressed when problems arise

    • Starts small and escalates

  • Let’s return to the alley


Legal ethics conference sen ed charbonneau5
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Issues

    • Conflict of Interest

    • Gifts

    • Nepotism

    • That Free Lunch

    • Inappropriate Use of Position

    • Dishonesty


Legal ethics conference sen ed charbonneau6
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Conflict of Interest

    • Doctor Admitting Patients

    • City Employee on City Council

    • Revolving Door

    • Part-Time Legislature


Legal ethics conference sen ed charbonneau7
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Gifts

    • Teacher

    • Cop in the Donut Shop

    • $75 Cash


Legal ethics conference sen ed charbonneau8
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Nepotism

    • Fire Department

    • City of Anderson


Legal ethics conference sen ed charbonneau9
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • That Free Lunch

    • Pharmaceutical Companies

    • Engineering Firms

    • Lobbyists


Legal ethics conference sen ed charbonneau10
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Inappropriate Use of Position

    • Emergency Room

    • Line in the permitting office

    • Letter from Mayor’s office


Legal ethics conference sen ed charbonneau11
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Dishonesty

    • Splitting Contracts

    • Performance Reviews

    • Letters of Reference

    • Copy Machine

    • Using computer to run second job

    • Taking “stuff” home from work


Legal ethics conference sen ed charbonneau12
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

PEOPLE


Legal ethics conference sen ed charbonneau13
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

ORGANIZATION


Legal ethics conference sen ed charbonneau14
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

LEADERSHIP


Legal ethics conference sen ed charbonneau15
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

Since “wrongdoing” is an ethical concept, not a legal one, the ability of administrators and managers to perceive, avoid and deal effectively with such accusations is a critical competence that suggests a new paradigm looking beyond compliance to the issue of organizational culture


Legal ethics conference sen ed charbonneau16
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Why be ethical?

    • Professional Dimension

    • Moral Dimension

    • Personal Dimension


Legal ethics conference sen ed charbonneau17
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Why be Ethical?

    • Risk Management Strategy

    • Good Business

    • More professional and efficient

    • Improved Quality of Life


Legal ethics conference sen ed charbonneau18
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Ethics Codes

    • Framework for decision making

    • Easier to do the right thing when we know what it is

    • Need to be reminded more than to be educated

    • Consequences


Legal ethics conference sen ed charbonneau19
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Training

    • Establish Expectations

    • Educate

    • Enforce


Legal ethics conference sen ed charbonneau20
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Final Thoughts

    • Character Training

      “We pay a price when we deprive children of the exposure to the values, principles and education they need to make them good citizens.”

      Sandra Day O’Connor


Legal ethics conference sen ed charbonneau21
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

  • Final Thoughts

    • The Stakes Are Higher Than Violating an Ethics Code


Legal ethics conference sen ed charbonneau22
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

Carol,

I am so sorry for this. I feel I just can’t go on. I have always tried to do the right thing but where there was once great pride now it’s gone. I love you and the children so much. I just can’t be any good to you or myself. The pain is overwhelming. Please try to forgive me.

Cliff


Legal ethics conference sen ed charbonneau23
Legal & Ethics Conference for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.Sen. Ed Charbonneau

Ethics is about being better.


2009 for results – on occasion emotional, insulting, and with express reference to the personal financial harm he faced if the stock price declined – we have heard none in which he demanded or rewarded ethical business practices.


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