Louisiana Code of Governmental Ethics

2. Louisiana Code of Governmental Ethics Louisiana Revised Statutes Title 42, Chapter 15 Sections 1101 et seq. Northwestern State University Office of Internal Audit

3. Chapter 15 • Part I • General Provisions • Part II • Ethical Standards for Public Servants • Part II-A • Unethical Election Practices • Part III • Administration, Procedure and Enforcement • Part IV • Miscellaneous Provisions Northwestern State University Office of Internal Audit

4. Part IGeneral Provisions • §1101. Declaration of Policy • Article X, Section 21 of Louisiana Constitution • §1102. Definitions Northwestern State University Office of Internal Audit

5. Part IGeneral Provisions • §1101.B Purpose of the Code of Ethics • Elected officials and public employees be independent and impartial; • Governmental decisions and policy be made in the proper channel of the governmental structure; • Public office and employment not used for private gain other than remuneration provided by law; • There be public confidence in the integrity of government. Northwestern State University Office of Internal Audit

6. Part IDefinition of Immediate Family • Immediate family as it applies to the Code of Governmental Ethics are the following individuals: • Employee’s spouse • Employee’s children • Spouses of the employee’s children • Employee’s brothers and sisters • Spouses of the employee’s brothers and sisters • Employee’s parents • Parents of the employee’s spouse Northwestern State University Office of Internal Audit

7. Part IIEthical Standards for Public Servants • §1111. Payment from Nonpublic Source • §1112. Participation in Certain Transactions Involving the Governmental Entity • §1113. Prohibited Contractual Arrangements • §1114. Financial Disclosure • §1115. Gifts Northwestern State University Office of Internal Audit

8. Part IIEthical Standards for Public Servants • §1116. Abuse of Office • §1117. Illegal Payments • §1118. Influencing Action by Legislature or Governing Authority • §1119. Nepotism • §1120. Recusal from Voting Northwestern State University Office of Internal Audit

9. Part IIEthical Standards for Public Servants • §1121. Assistance to Certain Persons After Termination of Public Service • §1122. Continuation in Certain Pension and Other Plans by Public Servants • §1124. Financial Disclosure; Statewide Elected Officials; Certain Public Servants Northwestern State University Office of Internal Audit

10. §1111Payment From Nonpublic Sources • §1111A.(1) • Payments for services to the governmental entity. No public servant shall receive anything of economic value, other than compensation and benefits from the governmental entity to which he is duly entitled. “ Northwestern State University Office of Internal Audit

11. §1123(41)Exceptions • §1123(41)(a) • A public servant may accept admission and reasonable lodging and transportation to an educational or professional development seminar or conference that is designed to enhance the performance of the public servant’s job duties. Northwestern State University Office of Internal Audit

12. §1111.C(1)Prohibited Sources • Prohibited sources of income are: • Any person who has or is seeking to obtain a contractual, business, or financial relationship with the public servant’s agency; or • Any person who conducts operations or activities which are regulated by the public employee’s agency; or • Any person who has a substantial economic interest which may be substantially affected by the performance or nonperformance of the public employee’s official job duties. Northwestern State University Office of Internal Audit

13. §1112Participation in Certain Transactions Involving the Governmental Entity • §1112.B • “No public servant, except as provided in R.S. 42:1120, shall participate in a transaction involving the governmental entity in which, to his actual knowledge, any of the following persons has a substantial economic interest: • (1) Any member of his immediate family. • (2) Any person in which he has a substantial economic interest of which he may reasonably be expected to know. • (3) Any person of which he is an officer, director, trustee, partner, or employee. Northwestern State University Office of Internal Audit

14. §1112Participation in Certain Transactions Involving the Governmental Entity • §1112.B • (4) Any person with whom he is negotiating or has an arrangement concerning prospective employment. • (5) Any person who is a party to an existing contract with such public servant, or which any legal entity in which the public servant exercises control or owns an interest in excess of 25%, or who owns anything of economic value to such public servant, or to any legal entity in which the public servant exercises control or owns an interest in excess of 25%, and who by reason of thereof is in a position to affect directly economic interests of such public servant. Northwestern State University Office of Internal Audit

15. §1113Prohibited Contractual Arrangements • §1113.A.(1)(a) • “No public servant, excluding any legislature and any appointed member of any board or commission and any member of a governing authority of a parish with a population of ten thousand or less, or member of such a public servant’s immediate family, or legal entity in which he has a controlling interest shall bid on or enter into any contract, subcontract, or other transaction that is under the supervision or jurisdiction of the agency of such public servant.” Northwestern State University Office of Internal Audit

16. §1114Financial Disclosure • §1114 • “Each public servant and each member of his immediate family who derives any thing of economic value, directly, through any transaction involving the agency of such public servant or who derives any thing of economic value of which he may be reasonably expected to know through a person which • (1) is regulated by the agency of such public servant, or • (2) has bid on or entered into or is any way financially interested in any contract, subcontract, or any transaction under the supervision or justification of the agency must disclose specific information. Northwestern State University Office of Internal Audit

17. §1115Gifts • §1115.A • “No public servant shall solicit or accept, directly or indirectly, anything of economic value as a gift or gratuity from any person or from any officer, director, agent, or employee of such person, if such public servant knows or reasonably should know that such person: • (1) Has or is seeking to obtain contractual or other business or financial relationships with the public servant’s agency, or • (2) Is seeking, for compensation, to influence the passage or defeat of legislation by the public servant’s agency. Northwestern State University Office of Internal Audit

18. §1115Gifts, continued • §1115.B • “No public servant shall solicit or accept, directly or indirectly, anything of economic value as a gift or gratuity from any person or from any officer, director, agent, or employee of such person, if such public servant knows or reasonably should know that such person: • (1) Conducts operations or activities which are regulated by the public employee’s agency. • (2) Has substantial economic interests which may be substantially affected by the performance or nonperformance of the public employee’s official duty. Northwestern State University Office of Internal Audit

19. §1115Gifts-Limitations on Food, Drink, & Refreshment • §1115.1.A • “No person from whom a public servant is prohibited by R.S. 42:1111 or 1115(A) from receiving a thing of economic value shall give to such a public servant any food, drink, or refreshment the total value of which exceeds fifty dollars for a single event at which food, drink, or refreshment is given.” Northwestern State University Office of Internal Audit

20. §1116Abuse of Office • §1116.A • “No public servant shall use the authority of his office or position, directly or indirectly, in a manner intended to compel or coerce any person or other public servant to provide himself, any other public servant, or other person with any thing of economic value. • §1116.B • “No public servant shall use the authority of his office or position, directly or indirectly, in a manner intended to compel or coerce any person or other public servant to engage in political activity.” Northwestern State University Office of Internal Audit

21. §1117Illegal Payments • §1117 • “No public servant or other person shall give, pay, loan, transfer, or deliver or offer to give, pay, loan, transfer, or deliver, directly or indirectly, to any public servant or other person anything of economic value which such public servant or other person would be prohibited from receiving by any provision of this Part.” Northwestern State University Office of Internal Audit

22. §1118Influencing Action by Legislature or Governing Authority • §1118 • “No public servant shall solicit or receive any thing of economic value, directly or indirectly, for, or to be used by him or a member of immediate family principally to aid in, (1) the accomplishment of the passage or defeat of any matter affecting his agency by the legislature, if his agency is a state agency, or by the governing authority, if his agency is an agency of a political subdivision, or (2) the influencing, directly, or indirectly, of the passage or defeat of any matter affecting his agency by the legislature, if his agency is a state agency, or by the governing authority, if his agency is an agency of a political subdivision” Northwestern State University Office of Internal Audit

23. §1119Nepotism • §1119.A • “No member of the immediate family of an agency head shall be employed in his agency.” Northwestern State University Office of Internal Audit

24. §1121Assistance to Certain Persons After Termination of Public Office • §1121.B(1) • “General Rule for other public employees. No former public employee shall, for a period of 2 years following the termination of his public employment, assist another person, for compensation, in a transaction, or in an appearance in connection with a transaction in which such former public employee participated at any time during his public employment and involving the governmental entity by which he was formerly employed, or for a period of two years following termination of his public employment, render, any service which such former public employee has rendered to the agency during the term of his public employment on a contractual basis, regardless of the parties to the contract, to, for, or on behalf of the agency with which he was formally employed.” Northwestern State University Office of Internal Audit

25. Part IIIEnforcement and Penalties • §1161.A • Agency heads have a responsibility to report possible Code violations to the Board. • §1153.A • The Board has the authority to censure an elected official or other person within its jurisdiction and to impose a fine of not more than $10,000 per violation; it does not have the authority to remove an elected official from office. • §1153.B • The Board has the authority to remove, suspend, reduce the pay or demote a public employee or other person and to impose a fine of not more than $10,000 per violation. Northwestern State University Office of Internal Audit

26. Part IIIEnforcement and Penalties • §1151.B • The Board has the authority to impose restrictions on a former public servant to prevent appearances before his former agency and to prohibit the negotiation for or entering into business relationships with his former agency • §1152 • The Board has the authority to rescind contracts, permits, licenses, without contractual liability to the public, whenever the Board finds that a violation has influenced the making of such contract, permit or license, and that such rescission is in the best interest of the public. Northwestern State University Office of Internal Audit

27. Part IIIEnforcement and Penalties • §1152 • The Board may order the payment of penalties if an investigation reveals that any public servant or other person has violated the Code to his economic advantage and penalties can include the amount of such economic advantage plus one half. • §1155.B • The Board is authorized to order the forfeiture of any gifts or payments made in violation of the code. Northwestern State University Office of Internal Audit

28. Part IVMiscellaneous Provisions • §1161.F • It is a violation of the Code to have one or more employees on the payroll who are not rendering services for which they are being paid. • §1169 • It is the violation of the Code for any public servant to be disciplined or otherwise subjected to acts of reprisal for reporting to his agency head, the Board, or any person of competent authority or jurisdiction, information which he reasonably believes is in violation of any law, order, rule, or regulation within the Board’s jurisdiction or any other alleged acts of impropriety within any governmental entity. Northwestern State University Office of Internal Audit

29. Part IVMiscellaneous Provisions • §1170.C • Commencing on January 1, 2012, each public servant who was not required to complete education and training…shall receive a minimum of one hour of education and training on the Code of Governmental Ethics during each year of his public employment or term of office, as the case may be. Northwestern State University Office of Internal Audit

30. Part IVMiscellaneous Provisions • §1170.E(2) • If the board discovers that a public servant failed to complete the training required by this Section, the board shall mail by certified mail a notice of noncompliance informing the person that the training required by this Section shall be completed within thirty business days after receipt of the notice of noncompliance. The notice of noncompliance shall include the deadline for completion of training required by this Section. If the person completes the training prior to the deadline contained in the notice of noncompliance, no penalties shall be assessed against the public servant. Northwestern State University Office of Internal Audit

31. Ethics Opinions • The Board of Ethics do not issue opinions on past events. • Opinions requested from the Board of Ethics must be in writing and mailed to the following address: Louisiana Ethics Administration Program P.O. Box 4368 Baton Rouge, Louisiana 70821 Northwestern State University Office of Internal Audit

32. Sources • LA Revised Statute 42, Chapter 15 http://www.legis.state.la.us/lss/lss.asp?doc=99213 • The Louisiana Code of Governmental Ethics Handout http://www.lpgov.org/events/Orientation%20Conference%202007/Ethics%20Handout.pdf • Ethics Publication, Abuse of Office http://www.ethics.state.la.us/Pub/InfoSheets/AbuseOfOfficeRev2-09.pdf • Ethics Publication, Donations http://www.ethics.state.la.us/Pub/InfoSheets/DonationsRev2-09.pdf • Ethics Publication, Gifts http://www.ethics.state.la.us/Pub/InfoSheets/GiftsRev2-09.pdf • Ethics Publication, Nepotism http://www.ethics.state.la.us/Pub/InfoSheets/NepotismRev2-09.pdf • Ethics Publication, Post Employment http://www.ethics.state.la.us/Pub/InfoSheets/PostEmploymentRev2-09.pdf • Ethics Publication, Prohibited Contractual Arrangements http://www.ethics.state.la.us/Pub/InfoSheets/ProhibitedContractsRev2-09.pdf • Ethics Publication, Payments from Nonpublic Sources http://www.ethics.state.la.us/Pub/InfoSheets/ProhibitedSourcesRev2-09.pdf • Ethics Publication, Travel Expenses http://www.ethics.state.la.us/Pub/InfoSheets/TravelExpensesRev2-09.pdf Northwestern State University Office of Internal Audit