Professional Documents
Culture Documents
ETHICS COMMISSION
BA M
LA A
A
ON
ETH
SI
IC
S
S
I
COM M
ANNUAL REPORT
FISCAL YEAR
2008-2009
TABLE OF CONTENTS
Introduction to Commissioners . . . . . . . . 4
Annual Comparisons . . . . . . . . . . . . . . . 23
for the
Governor
and the
Alabama Legislature
in compliance with
Telephone: 334.242.2997
Fax: 334.242.0248
Web Site: www.ethics.alabama.gov
Pictured left to right: Cathy Taylor, Vicki Wilson, Julie Davis, Julie Kerce, Vicky Manning,
Marie Malinowski, Joan Ward, Barbi Lee and Theresa Davis. Not pictured: Loretta Webb
and Janice Wolfe.
Pictured left to right: Jim Sumner, Josh Roper, David Green, Marie Malinowski, Charles
Aldridge and Hugh Evans.
Page 12 Ethics Commission Annual Report
PURPOSE, POWERS AND DUTIES
The Alabama Ethics Commission was established in 1973 by Act No. 1056 of the Alabama
Legislature which has subsequently been amended by Acts 75-130, 79-460, 79-698, 82-429,
86-321, 92-342, 95-194, 96-261, 97-651, 2000-797 and Act. No. 2001-474.
The Mission of this law is to ensure that public officials are independent and impartial;
that decisions and policies are made in the proper governmental channels; that public office
is not used for private gain; and, most importantly, that there is public confidence in the
integrity of government.
With confirmation from the Alabama Senate, members of the Alabama Ethics Commission
are appointed by the:
Governor
Lieutenant Governor
Speaker of the Alabama House of Representatives
Make
Furnish Statement of
Publish
Disclosure Economic
Procedures Interests Forms
Forms
Available to
Public
BA M
LA A Issue And
A
Investigate
Publish
Alleged
ON
ETH
Advisory
Violations
SI
IC
S Opinions
S
I
COM M
ADVISORY OPINIONS:
■ 5 Formal Advisory opinions were drafted by the General Counsel and rendered
by the Commission
■ 65 Informal Advisory opinions were provided by the General Counsel. These opin-
ions are issued only when the question asked deals with a matter of black letter
law or where the Commission has previously addressed the matter with a formal
opinion.
A member of the Board of Directors of the Industrial Development Board of the City of
Birmingham may serve as a real estate broker on a land purchase by the Industrial Devel-
opment Board; provided, that the Board itself approached the member about his represen-
tation; that all activities related to the transaction are done on his own time; that he does
not use Industrial Development Board resources to assist him in performing his services;
and, that he does not vote, attempt to influence or otherwise participate in any aspect of
the contract/transaction as a member of the Industrial Development Board.
AO NO. 2008-27
The daughters of the Mayor of the Town of Geiger, Alabama, may not receive CDBG grants
from ADECA administered through the Town of Geiger, when the Mayor voted for the
Town to make an application to ADECA for the grant, and also voted for the selection of
the grant administrator, unless all eligible applicants receive the benefits of the grant
prior to the Mayor’s daughters receiving the grant, and where the Mayor plays no further
role in the administration of the grants.
WITHDRAWN
AO NO. 2009-01(B)
Legal Division
Page 16 Ethics Commission Annual Report
SIGNIFICANT EVENTS FOR FY 2009
AO NO. 2009-02
The Wilcox County Commission may rent storage space at one of its buildings to the Gees
Bend Water Company, while a Commission member is an owner/partner in the Water
Company; provided, it is an arms-length transaction; that the rental price is based on the
fair market value; and, that the Commission member does not vote, attempt to influence
or in any manner participate in the discussions or any aspect of the transaction between
the County Commission and the Gees Bend Water Company.
AO NO. 2009-03
A retired Circuit Court Judge may use documents that were at one time confidential that
have become public records to assist him in writing a book about a case he presided over
without violating the confidentiality provisions of the Alabama Ethics Law, once the infor-
mation loses its confidential status.
An individual against whom a complaint is filed with the Ethics Commission is not pro-
hibited from using that information in any way he or she so desires; provided that the
information and its use are not subject to the Grand Jury Secrecy Act, codified at Sections
12-16-214 through 12-16-216.
The requestor of this opinion is advised to contact the Judicial Inquiry Commission (JIC)
regarding any confidentiality provisions relating to complaints before that body. The
statute of limitations for the disclosure of confidential information begins to run at the
time the confidential information is used or disclosed in a manner that could result in
financial gain.
WITHDRAWN
AO NO. 2009-04
WITHDRAWN
AO NO. 2009-05
Legal Division
AO NO. 2009-06
A former employee of the Alabama Oil and Gas Board may have informal contact with his
former employer, the Alabama oil and Gas Board, within two years of his retirement; pro-
vided, the contact does not involve lobbying, or representing the interests of clients and/or
his current employer.
A former employee of the Alabama Oil and Gas Board may not participate in informal
meetings between the Board’s staff and clients or potential clients, when the meeting
involves furthering the interests of that client, regardless of whether or not the matter will
be heard by the Board at some future date.
WITHDRAWN
AO NO. 2009-07
WITHDRAWN
AO NO. 2009-08
Legal Division
Page 18 Ethics Commission Annual Report
SIGNIFICANT EVENTS FOR FY 2009
COMPLAINTS:
■ 264 Complaints were closed by staff after Preliminary Inquiry. This number
includes complaints received prior to October 1, 2008, but closed during the
current Fiscal Year.
CASE PRESENTATIONS:
Investigative Division
LOBBYIST REGISTRATIONS:
The Alabama Ethics Law requires all lobbyists to register with the Commission by
January 31 of each year or within 10 days after the first undertaking requiring such
registration.
1. Education 6. Insurance
2. Health Care 7. Utilities
3. Environmental 8. General Business
4. Business Issues 9. Tax Issues
5. Economic Development 10. Health
Administrative Division
Page 20 Ethics Commission Annual Report
SIGNIFICANT EVENTS FOR FY 2009
EDUCATIONAL PROGRAMS:
Special Agent Vicki Wilson participates at Career- Special Agent Vicki Wilson discusses careers in Law
fest 2009 at Augaugaville School. Enforcement with Careerfest 2009 seniors.
Administrative Division
Jim Sumner presents Proclamation from Governor Marie and her son, Chip, as she is saying ‘Goodbye’
Riley to Marie during her retirement reception. to the Ethics Commission.
Administrative Division
Page 22 Ethics Commission Annual Report
ANNUAL COMPARISONS
FISCAL YEARS 2008 AND 2009
Fiscal Year Fiscal Year
2008 2009
Staff Members 16 16
(*Includes complaints/cases that were received prior to October 1, but closed during the
current fiscal year.)
The Commission, chaired by Cameron M. Vowell, Ph.D., rendered two Advisory opinions
and heard four cases. Three were handled administratively and one case was continued
for further investigation.
The Commission heard three cases. Two were handled administratively, and one case was
closed with no Probable Cause. No Advisory opinions were rendered.
The Commission rendered two Advisory opinions, carried over one opinion, and heard
five cases. Three cases were referred to the Attorney General’s office and two cases
were handled administratively. Subsequently, the opinion carried over was withdrawn
on May 12, 2009.
The Commission rendered two Advisory opinions and heard five cases. Two cases were
referred to the District Attorney, and three were handled administratively.
The Commission heard three cases. Two cases were handled administratively and one
case was referred to the District Attorney. No Advisory opinions were rendered.
At the August Commission meeting, two cases were heard and both were continued. No
Advisory opinions were rendered. The Commission elected Michael K. K. Choy as Chair
and Linda Green as Vice-Chair. The Commissioners then presented Cameron Vowell
with a “Plaque of Appreciation” for her service on the Commission. Meeting dates for
2010 were approved.
1997 – Present
James L. Sumner, Jr.,
Director
February – April 1997
Hugh R. Evans, III,
Acting Director
1994 – 1997
E. J. “Mac” McArthur,
Director
1974 – 1994
Melvin Cooper,
Director