. ; .STATE OF ALABAMA

ETHICS COMMISSION. : .

~

~MAILING ADDRESS

P.O. BOX 4840

MONTGOMERY, AL

36103-4840

STREET ADDRESS

RSAUNION

100 NORTH UNION STREET

SUITE 104

MONTGOMERY, AL 36104COMMISSIONERSJerry L. Fielding, Ret. Sr. Circuit Judge, ChairFrank C. "Butch" Ellis, Jr., Esq., Vice ChairJames Jerry Wood, Esq.Stewart Hill Tankersley, M.D.Charles Price, Ret. Circuit Judge

Thomas B. AlbrittonExecutive Director

September 1, 2016

TELEPHONE (334) 242-2997FAX (334) 242-0248

WEB SITE: www.ethics.alabarna.gov

ADVISORY OPINION NO. 2016-25

Mr. Gregory p, ButrusAttorney at LawBalch & Bingham, LLP1710 Sixth Avenue NorthP,O, Box 306 (35201)Birmingham, Alabama 35203-2015

Fundraising And Solicitations Made OnBehalf Of The Alabama BicentennialCommission

The Bicentennial Foundation andCommission by statute can only serve apublic purpose, benefitting to some degreeall citizens of Alabama. As long as businessleaders solicit contributions on behalf of theBicentennial Foundation and do not in theprocess provide a "thing of value" to anypublic official or employee, or provideanything for the purpose of corruptlyinfluencing official action, the solicitationswould not violate the Act's or our Opinions'solicitation restrictions.

The solicitation letter and pledge form(attached hereto as Exhibit A) areappropriate under these circumstances eventhough the solicitation letter contains thenames of public officials who serve on theCommission. The letter will be signed bybusiness leaders who are not public officials,and it may designate the person tasked withcollecting donations.

Mr. Gregory P. ButrusAdvisory Opinion No. 2016-25Page Two

The Ethics Act would not prohibit a publicofficial or public employee from sending a"Thank You" note to individuals or entitieswho have donated to the Bicentennialactivities, provided the "Thank You" notedoes not contain a prohibited solicitation.

Dear Mr. Butrus:

The Alabama Ethics Commission is in receipt of your request for a formal AdvisoryOpinion of this Commission, and this opinion is rendered pursuant to that request.

QUESTIONS PRESENTED1. Are there any restrictions under the Ethics Act to consider when business leaders

(who are not public officials or employees) solicit funds for the Alabama BicentennialCommission Foundation to support the programs and activities of the AlabamaBicentennial Commission?

2. Is it permissible to include with the above-referenced solicitation letter a pledge formthat includes: (i) the name and contact information for the state tourism departmentemployee who is the main point of contact for information on Bicentennial activities,and (ii) the names and positions of members of the Bicentennial Commission (manyof whom are public officials or employees)?

3. Is it permissible for Bicentennial Commission members, and other public officialsand employees involved with the Bicentennial, to thank those who sponsor or donateto support these activities (whether verbally or by letter)?

FACTS AND ANALYSIS

The facts as have been presented to this Commission are as follows:

Alabama will celebrate its Bicentennial beginning in 2017. The Alabama BicentennialCommission was established in 2013 by Act No. 2013-10. The twelve-member Commissionwas created to guide and support commemoration of the 200th Anniversary of Alabamastatehood, which will begin in 2017 and conclude in 2019.

Mr. Gregory P. ButrusAdvisory Opinion No. 2016-25Page Three

The Commission has established committees to plan and coordinate events and activitiescentered around education, statewide initiatives and local activities. The Alabama BicentennialFoundation, Inc. is a 501 (c)(3) charitable organization that was established to conductfundraising efforts to support the activities and programs of the Alabama BicentennialCommission. The Foundation has formed a fundraising committee of business leaders, who arevolunteering to assist in the commemoration of the State's Bicentennial and seeking supportfrom the private sector for the Foundation for various Bicentennial events and activities. Thefundraising committee, which is comprised of business leaders who are volunteering their time,plans to seek private donations for these activities and events. The Bicentennial fundraisingactivities involve a solely public purpose.

The Alabama Bicentennial Commission Foundation and its Fundraising Committee havebeen established to support the activities and programs of the Alabama BicentennialCommission. On behalf of the business leaders who are volunteering their time to assist in thesefundraising efforts, as members of the Fundraising Committee, this Opinion is requested toinsure compliance with the Ethics Act and give other guidance as may be necessary.

While the fundraising plan excludes public officials from making direct solicitations, theFoundation has set forth guidelines should public officials or public employees, at some point inthe process, become involved in fundraising activities. These guidelines define the parameterswithin which they can operate.

The answers to most of the questions asked can be found in A02016-24 (McCalla). Mr.Butrus asks additional questions not addressed in that opinion, however.

The Bicentennial Commission by statute serves a public purpose. As relates specificallyto the questions presented, business and community leaders who are in the private sector are notsubject to the Ethics Law unless they are principals. The ultimate beneficiary of thesesolicitations is the Alabama public. As long as these business leaders solicit contributions onbehalf of the Bicentennial Foundation and do not in the process provide a "thing of value" to anypublic official or employee, the solicitations would not violate the Act's or our Opinions'sol icitation restrictions.

As relates to question number two, the solicitation letter and pledge form (attached heretoas Exhibit "A") are appropriate under these circumstances even though the solicitation lettercontains the names of public officials who serve on the Commission.

The letter will be signed by nonpublic official business leaders, and it may designate theperson tasked with collecting donations. The Commission said in AO 2011-11 that lobbyists andprincipals may contribute to a charitable or non-profit organization even if public officials/publicemployees volunteer for the organization or serve on its Board.

Mr. Gregory P. ButrusAdvisory Opinion No. 2016-25Page Four

As relates to question number three, the Ethics Act would not prohibit a public official orpublic employee from sending a "Thank You" note to individuals or entities who have donatedto the Bicentennial activities, provided the "Thank You" note does not contain a prohibitedsolicitation.

The Alabama Bicentennial Commission Foundation Fundraising Committee has createdan "Ethics Compliance Guidelines & Policies for Fundraising. " That policy is attached hereto asExhibit "B" and reinforces the point that technical compliance with the Act is merely the floorfor compliance. Those whom the Act affects are encouraged to go above that minimum standardto avoid any appearance of impropriety.

CONCLUSION

The answers to most of the questions asked can be found in A02016-24 (McCalla). TheBicentennial Foundation and Commission by statute can only serve a public purpose, benefittingto some degree all citizens of Alabama. As long as these business leaders solicit contributionson behalf of the Bicentennial Foundation and do not in the process provide a "thing of value" toany public official or employee, or provide anything for the purpose of corruptly influencingofficial action, the solicitations would not violate the Act's or our Opinions' solicitationrestrictions.

The solicitation letter and pledge form (attached hereto as Exhibit A) are appropriateunder these circumstances even though the solicitation letter contains the names of publicofficials who serve on the Commission. The letter will be signed by business leaders who are notpublic officials, and it may designate the person tasked with collecting donations.

The Ethics Act would not prohibit a public official or public employee from sending a"Thank You" note to individuals or entities who have donated to the Bicentennial activities,provided the "Thank You" note does not contain a prohibited solicitation.

This opinion relies on A02016-24 (McCalla) whose effective date is 30 days from today.The effective date of this opinion, therefore is likewise delayed for 30 days to allow for a periodof public comment, after which time the Commission may modify the Opinion or confirm it inits present form.

Mr. Gregory P. ButrusAdvisory Opinion No. 2016-25Page Five

AUTHORITY

By 4-D-l vote of the Alabama Ethics Commission on September 1, 2016. -~~rcuitJ*

Chair, Alabama Ethics Commission

EXHIBIT

I ADATE

NAMECOMPANYADDRESSCITY, STATE,ZIP

Dear COMPANY LEADER,

In 2019, Alabama will commemorate its 200th anniversary of statehood. ALABAMA 200 is anunprecedented opportunity to celebrate our wonderful places, to remember the people whomade our state great, to nurture the generations who will carry us forward, and to learnfrom our history as we build for the future.

The mission of ALABAMA 200 is to support, create, and execute events and activitiesbetween 2017 and 2019 that commemorate the people and places of Alabama, as well asits path to statehood. In schools and communities across the state, bicentennial events andactivities will teach, inspire, and entertain residents and visitors of all backgrounds.

We are honored to serve on the fundraising committee for ALABAMA 200. We have beenworking closely with the Alabama Bicentennial Commission to develop a plan to celebrateour great state. We need your support.

We hope you will join us in contributing to honor the state's bicentennial. We have a uniqueopportunity to help all Alabamians celebrate our state's rich history and to prepare for abright future. On behalf of the fundraising committee, we ask that COMPANY considercontributing AMOUNT. ALABAMA 200 is possible only because of the generosity ofcompanies like the ones we represent - companies that believe in Alabama.

Your donation will be used to fund the statewide projects listed in the enclosed brochure.We hope to hear from you by DATE. We will call you soon to discuss.

Sincerely,

BUSINESS LEADER BUSINESS LEADER

(not a public offlclal) (not a public offlclal)

PL~DG~ ~OPM200Yes, I will support the Alabama Bicentennial Commemoration.

Company Name _ Please make checks payable toAlabama Bicentennial Commission Foundation Inc.

Company ContactTotal Gift

AddressAmount Enclosed

Phone Number -------------------------------Balance Remaining ----------------------------

EmailGift will be paid over year(s)

Please bill us 0 monthly 0 quarterly or onI II IPledge Level _

FYI• Contributions will be acknowledged as a gift from the company named above unless otherwise directed.

• An invoice and/or ABCFSOl(c}3 documentation is available upon request.

• For maximum publicity, please reply by June 17, 2016 .

• Questions? Contact ABC Executive Director Jay Lamar at Jay.Lamar@bicentennial.alabama.gov or 334-353-3163.

MissionALABAMA 200 will support, create, and execute events and activities that commemorate the stories of our people, places,

and path to statehood. Between 2017 and 2019, ALABAMA 200 will engage residents and visitors in educational programs,

community projects, and statewide initiatives that teach, inspire, and entertain.

Alabama Bicentennial Commission

Senator Arthur Orr, ChairState of Alabama

Priscilla Hancock CooperBirmingham Civil Rights Institute

Lee SentellAlabama Tourism Department

Joel AndersonAnderson Media Corporation

Patricia FordState Black Archives, Alabama A&M

Bart WilliamsAlabama Constitution Village

Representative Mike BallState of Alabama

Steve MurrayAlabama Department of History and Archives

Cartledge BlackwellMobile Historic Development Commission

Tami ReistAlabama Mountain LakesTourist Association

Hilary ClaybourneCCINC Innovative Strategies, Huntsville

Alabama200.org

Funding will support the following projects and initiatives:Community and Statewide Programs

The Alabama Experience: An American Story• Travelingexhibit and related offerings to all 67 counties in partnership with Alabama Humanities Foundation

Bicentennial PassportIn partnership with Alabama Historical Commission, Alabama Tourism Department, Alabama StateParks, Alabama Museums Association, National Park Service

Alabama Community Grants• Pool of funding for grants to communities for bicentennial projects--community history publications,

bicentennial parks, city murals, etc.

Alabama Statewide Grants• Pool of funding for grants for bicentennial projects including history play, symphony, art exhibitions, etc.

EducationK-12 Education• Curricular resources and professional development for teachers of history, social studies, and civics.• Campus-wide bicentennial focus with cross-disciplinary instruction and community service.

Alabama Virtual Fieldtrips with Alabama Public Television (APT)

Ala Flora DNA Study• Identifying and cataloguing native plants in partnership with HudsonAlpha, APT

Adult Education• 4-6 public symposiums on pivotal persons and events in Alabama history

Public Programs

Celebration eventsLaunch and closing events, as well as commemorations at each of Alabama's five state capital sites

Alabama Heritage and Folklife Festival• Multi-day music, food, and art festival in BirminghamAlabama Family History Project• Searchable online library of Alabama genealogical publications and workshops in partnership with the

Alabama Department of Archives & History

Alabama Cultural Resource Project• Identifying and documenting photographs, artifacts, and heirlooms in communities throughout the

state in partnership with the Alabama Department of Archives & History• Online access to state registers of historic places, cemeteries, and architecture in partnership with the

Alabama Historical Commission.

Alabama Moments• Video productions for educational and commercial media by APT

Read Alabama 200• Common reading program featuring Alabama fiction and nonfiction for young adult and adult readers

in partnership with the Alabama Public Library Service

Legacy Projects

Bicentennial Park (Montgomery)African-American Heritage Project (Statewide)Constitution Village Renovation (Huntsville)

Alabama200.org

,Alabama Bicentennial Commission Foundation Fundraising Committee

Ethics Compliance Guidelines & Policies for Fundraising

The Alabama Bicentennial Commission Foundation, Inc. is supporting thecommemoration of the 200th anniversary of Alabama's statehood. The Foundation is asection 501 (c)(3) charity that will be involved in fundraising to support the bicentennial.Due to the fact that many individuals involved with the Foundation and the BicentennialCommission are public officials or employees, these guidelines were developed by theFundraising Committee to ensure that ethics requirements are satisfied.

Soliciting Foundation Donations - The Foundation itself is permitted to seekdonations from individuals, businesses, and associations (including those that hire orretain lobbyists).

• Soliciting Lobbyists and Principals. There are restrictions on which individualsworking with the Foundation are permitted to solicit donations for it. No publicofficial or employee may solicit donations for the Foundation from: (1) alobbyist, or (2) a person or entity that hires or retains a lobbyist (which is a"principal" under Alabama law).

• Pending Matters. In addition, no public official or employee should seek a donationfrom an entity that has an official matter pending before that public official oremployee.

• Subordinates. If a public official or employee is soliciting donations for theFoundation, they may not solicit donations from a subordinate.

• Vendors and Others. If a public official or employee is soliciting donations for theFoundation, they may not target or single out for a donation: (1) any person or entitythat is "inspected, regulated, or supervised" by that public official or employee or theiragency, or (2) a vendor that does business with that public official's or employee'sagency.

• Solicitations by Non-Public Officials/Employees - The above restrictions only apply toan individual working with the Foundation who is a public official or employee.

Solicitation Letters - In the event a Foundation solicitation letter or communication issent (or signed) by a public official or employee, AL200 fundraising staff shouldreview it and ensure that it is not directed at an impermissible recipient and that aproper disclaimer statement (such as below) is included to address ethics concerns.

"If you are a lobbyist, subordinate of a lobbyist, principal, or [an individual or entitythat has a matter pending before} ... , please disregard this letter. It was sent to youinadvertently and was not intended to be sent to you."

Foundation Letterhead - The Foundation will avoid including the names of publicofficials and employees on any letterhead or publications that solicit donations.