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March 24. 2008
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To assist the public and governmental agencies in understanding the requirements and
exemptions to Florida's open government laws, the Attorney General's Office compiles a
comprehensive guide known as the Govemment-in-the-Sunshine manual. The manual is
published each year at no taxpayer expense by the First Amendment Foundation in Tallahassee.
Florida is renowned for putting a high priority on the public's right of access to governmental
meetings and records. In fact, the principles of open govemment are embodied not only in
Florida statutes, but also guaranteed in the state Constitution.
Florida began its tradition of openness back in 1909 with the passage of what has come to be
known as the "Public Records Law," Chapter 119 of the Florida Statutes. This law provides that
any records made or received by any public agency in the course of its official business are
available for inspection, unless specifically exempted by the Legislature. Over the years, the
definition of what constitutes "public records" has come to include not just traditional written
documents such as papers, maps and books, but also tapes, photographs, film, sound
recordings and records stored in computers.
It was in 1967 that Florida's Government-in-the-Sunshine Law was enacted. Today, the
Sunshine Law can be found in Chapter 286 of the Florida Statutes. The Sunshine Law
establishes a basic right of access to most meetings of boards, commissions and other
governing bodies of state and local governmental agencies or authorities.
Throughout the history of Florida's open government, its courts have consistently supported the
public's right of access to governmental meetings and records. As such, they also have been
defining and redefining what a public record is and who is covered under the open meetings law.
One area of public concern was whether or not the Legislature was covered under the open
meetings requirements. To address that concerns, a Constitutional amendment was passed
overwhelmingly by the voters in 1990 providing for open meetings in the legislative branch of
government.
The Attorney General's Office has consistently sought to safeguard Florida's pioneering
Government-in-the-Sunshine laws. Our attorneys have worked, both in the courtroom and out, to
halt public records violations. In 1991, however, a Florida Supreme Court decision threatened
the people's right to know. The questions raised by this decision made it clear that the best way
to ensure the public's right of access to all three branches of government was to secure that right
through the Florida Constitution. The Attorney General's Office then drafted a definitive
constitutional amendment, the successful passage of which in 1992 not only guaranteed
continued openness in the state's government, but also in effect reaffirmed the application of
open govemment to the legislative branch and expanded it to the judiciary.
Florida voters have overwhelmingly showed their support for govemment in the sunshine at all
levels of government. They have made it clear they believe that open government provides the
best assurance of govemment that is responsive and responsible to the needs of the people.
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Florida's Government-in-the-Sunshine Law
Florida Attorney General -Most Frequently Asked Questions -Sunshine Law
March 24. 2008
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The following questions and answers are intended to be used as a reference only -interested
parties should refer to the Florida Statutes and applicable case law before drawing legal
conclusions.
Q. What is the Sunshine Law?
A. Florida's Govemment-in-the-Sunshine law provides a right of access to governmental
proceedings at both the state and local levels. It applies to any gathering of two or more
members of the same board to discuss some matter which will foreseeably come before that
board for action. There is also a constitutionally guaranteed right of access. Virtually all state and
local collegial public bodies are covered by the open meetings requirements with the exception
of the judiciary and the state Legislature which has its own constitutional provision relating to
access.
Q. What are the requirements of the Sunshine law?
A. The Sunshine law requires that 1) meetings of boards or commissions must be open to the
public; 2) reasonable notice of such meetings must be given, and 3) minutes of the meeting must
be taken.
Q. What agencies are covered under the Sunshine Law?
A. The Govemment-in-the-Sunshine Law applies to "any board or commission of any state
agency or authority or of any agency or authority of any county, municipal corporation or political
subdivision." Thus, it applies to public collegial bodies within the state at both the local as well as
state level. It applies equally to elected or appointed boards or commissions.
Q. Are federal agencies covered by the Sunshine Law?
A. Federal agencies operating in the state do not come under Florida's Sunshine law.
Q. Does the Sunshine Law apply to the Legislature?
A. Florida's Constitution provides that meetings of the Legislature be open and noticed except
those specifically exempted by the Legislature or specifically closed by the Constitution. Each
house is responsible through its rules of procedures for interpreting, implementing and enforcing
these provisions. Information on the rules governing openness in the Legislature can be obtained
from the respective houses.
Q. Does the Sunshine Law applies to members-elect?
A. Members-elect of public boards or commissions are covered by the Sunshine law immediately
upon their election to public off ice.
Q. What qualifies as a meeting?
A. The Sunshine law applies to all discussions or deliberations as well as the formal action taken
by a board or commission. The law, in essence, is applicable to any gathering, whether formal or
casual, of two or more members of the same board or commission to discuss some matter on
which foreseeable action will be taken by the public board or commission. There is no
requirement that a quorum be present for a meeting to be covered under the law.
Q. Can a public agency hold closed meetings?
A. There are a limited number of exemptions which would allow a public agency to close a
meeting. These include, but are not limited to, certain discussions with the board's attorney over
pending litigation and portions of collective bargaining sessions. In addition, specific portions of
meetings of some agencies (usually state agencies) may be closed when those agencies are
making probable cause determinations or considering confidential records.
Q. Does the law require that a public meeting be audio taped?
A. There is no requirement under the Sunshine law that tape recordings be made by a public
board or commission, but if they are made, they become public records.
Q. Can a city restrict a citizen's right to speak at a meeting?
A. Public agencies are allowed to adopt reasonable rules and regulations which ensure the
orderly conduct of a public meeting and which require orderly behavior on the part of the public
attending. This includes limiting the amount of time an individual can speak and, when a large
number of people attend and wish to speak, requesting that a representative of each side of the
issue speak rather than every one present.
Q. As a private citizen, can 1 videotape a public meeting?
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FAQ's on Florida's Open Government Laws
Florida Attorney General -Most Frequently Asked Questions -Sunshine Law Page 2 of 3
A. A public board may not prohibit a citizen from videotaping a public meeting through the use of
nondisruptive video recording devices.
Q. Can a board vote by secret ballot?
A. The Sunshine law requires that meetings of public boards or commissions be "open to the
public at all times." Thus, use of preassigned numbers, codes or secret ballots would violate the
law.
Q. Can two members of a public board attend social functions together?
A. Members of a public board are not prohibited under the Sunshine law from meeting together
socially, provided that matters which may come before the board are not discussed at such
gatherings.
Q. What is a public record?
A. The Florida Supreme Court has determined that public records are all materials made or
received by an agency in connection with official business which are used to perpetuate,
communicate or formalize knowledge. They are not limited to traditional written documents.
Tapes, photographs, films and sound recordings are also considered public records subject to
inspection unless a statutory exemption exists.
Q. Can I request public documents over the telephone and do I have to tell why I want
them?
A. Nothing in the public records law requires that a request for public records be in writing or in
person, although individuals may wish to make their request in writing to ensure they have an
accurate record of what they requested. Unless otherwise exempted, a custodian of public
records must honor a request for records, whether it is made in person, over the telephone, or in
writing, provided the required fees are paid. In addition, nothing in the law requires the requestor
to disclose the reason for the request.
Q. How much can an agency charge for public documents?
A. The law provides that the custodian shall furnish a copy of public records upon payment of the
fee prescribed by law. If no fee is prescribed, an agency is normally allowed to charge up to 15
cents per one-sided copy for copies that are 14" x 8 1/2" or less. A charge of up to $1 per copy
may be assessed for a certified copy of a public record. If the nature and volume of the records
to be copied requires extensive use of information technology resources or extensive clerical or
supervisory assistance, or both, the agency may charge a reasonable service charge based on
the actual cost incurred.
Q. Does an agency have to explain why it denies access to public records?
A. A custodian of a public record who contends that the record or part of a record is exempt from
inspection must state the basis for that exemption, including the statutory citation. Additionally,
when asked, the custodian must state in writing the reasons for concluding the record is exempt.
Q. When does a document sent to a public agency become a public document?
A. As soon as a document is received by a public agency, it becomes a public record, unless
there is a legislatively created exemption which makes it confidential and not subject to
disclosure.
Q. Are public employee personnel records considered public records?
A. The rule on personnel records is the same as for other public documents ... unless the
Legislature has specifically exempted an agency's personnel records or authorized the agency to
adopt rules limiting public access to the records, personnel records are open to public inspection.
There are, however, numerous statutory exemptions that apply to personnel records.
Q. Can an agency refuse to allow public records to be inspected or copied if requested to
do so by the maker or sender of the documents?
A. No. To allow the maker or sender of documents to dictate the circumstances under which
documents are deemed confidential would permit private parties instead of the Legislature to
determine which public records are public and which are not.
Q. Are arrest records public documents?
A. Arrest reports prepared by a law enforcement agency after the arrest of a subject are
generally considered to be open for public inspection. At the same time, however, certain
information such as the identity of a sexual battery victim is exempt.
Q. Is an agency required to give out information from public records or produce public
records in a particular form as requested by an individual?
A. The Sunshine Law provides for a right of access to inspect and copy existing public records. It
does not mandate that the custodian give out information from the records nor does it mandate
that an agency create new records to accommodate a request for information.
Q. What agency can prosecute violators?
A. The local state attorney has the statutory authority to prosecute alleged criminal violations of
the open meetings and public records law. Certain civil remedies are also available.
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Florida Attorney General -Most Frequently Asked Questions -Sunshine Law Page 3 of 3
Q. What is the difference between the Sunshine Amendment and the Sunshine Law?
A. The Sunshine Amendment was added to Florida's Constitution in 1976 and provides for full
and public disclosure of the financial interests of all public officers, candidates and employees.
The Sunshine Law provides for open meetings for governmental boards.
Q. How can I find out more about the open meetings and public records laws?
A. Probably the most comprehensive guide to understanding the requirements and exemptions
to Florida's open government laws is the Govemment-in-the-Sunshine manual compiled by the
Attorney General's Office. The manual is updated each year and is available for purchase
through the First Amendment Foundation in Tallahassee. For information on obtaining a copy,
contact the First Amendment Foundation at (850) 224-4555.
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Zoo?
GUIDE to the
SUNSHINE AMENDMENT
and
CODE of ETHICS
for Public Officers and Employees
State of Florida
COMMISSION ON ETHICS
Norman M. Ostrau, Chair
Plantation
Albert P. Massey, III, Vice Chair
Ft. Lauderdale
Michael W. Brown
Panama City
Latour "LT" Lafferty
Tampa
Charles Lydecker
Daytona Beach
Christopher McRae
Tallahassee
Thomas P. Scarritt, Jr.
Tampa
Philip C. Claypool
Executive Director
P.O. Drawer 15709
Tallahassee, FL 32317-5709
www.eth ics. state.fl. us
(850) 488-7864*
"Please direct all requests for information to this number.
TABLE OF CONTENTS
I. HISTORY OF FLORIDA'S ETHICS LAWS .....1
II. ROLE OF THE COMMISSION ON ETHICS...2
II{. THE ETHICS LAWS ........................................3
A. PROHIBITED ACTIONS OR CONDUCT...3
1. Solicitation or Acceptance of Gifts........3
2. Unauthorized Compensation ................4
3. Misuse of Public Position .....................4
4. Disclosure or Use of Certain
Information ...........................................4
5. Solicitation or Acceptance of
Honoraria .............................................5
B. PROHIBITED EMPLOYMENTAND
BUSINESS RELATIONSHIPS ...................6
1. Doing Business With One's Agency.....6
2. Conflicting Employment or Contractual
Relationship .........................................6
3. Exemptions ..........................................7
4. Additional Exemption ...........................8
5. Lobbying State Agencies by
Legislators ............................................8
6. Employees Holding Office ....................8
7. Professional & Occupational Licensing
Board Members ....................................9
8. Contractual Services: Prohibited
Employment .........................................9
9. Local Government Attorneys ................9
C. RESTRICTIONS ON APPOINTING,
EMPLOYING, AND CONTRACTING
WITH RELATIVES .....................................9
D. POST OFFICEHOLDING AND
EMPLOYMENT (REVOLVING DOOR)
RESTRICTIONS ......................................10
1. Lobbying By Former Legislators,
Statewide Elected Officers, and
Appointed State Officers ....................10
2. Lobbying By Former State
Employees .........................................10
3. Additional Restrictions on Former
State Employees ................................12
4. Lobbying By Former Local Government
Officers and Employees .....................13
E. VOTING CONFLICTS OF INTEREST.....13
F. DISCLOSURES .......................................14
1. Form 1 -Limited Financial
Disclosure ..........................................15
2. Form 1 F -Final Form 1 ......................18
3. Form 2 -Quarterly Client Disclosure..18
4. Form 6 -Full and Public Disclosure ...19
5. Form 6F -Final Form 6 ......................20
6. Form 9 -Quarterly Gift Disclosure .....20
7. Form 10 -Annual Disclosure of Gifts
from Governmental Entities and Direct
Support Organizations and Honorarium
Event-Related Expenses ....................21
8. Form 30 -Donor's Quarterly Gift
Disclosure ..........................................22
9. Forms 1X and 6X -Amendments.......23
IV. AVAILABILITY OF FORMS ...........................23
V. PENALTIES ..................................................24
A. For Violations of the Code of Ethics.........24
B. For Violations by Candidates ...................24
C. For Violations by Former Officers and
Employees ...............................................24
D. For Lobbyists and Others ........................25
E. Felony Convictions: Forfeiture of
Retirement Benefits .................................25
F. Automatic Penalties for Failure to File
Annual Disclosure ....................................25
VI. ADVISORY OPINIONS ................................. 26
A. Who Can Request an Opinion ................. 26
B. How to Request an Opinion ..................... 26
C. How to Obtain Published Opinions .......... 26
VII. COMPLAINTS ............................................... 27
A. Citizen Responsibility ............................... 27
B. Confidentiality .......................................... 27
C. How the Complaint Process Works ........ 28
D. Dismissal of Complaint at Any Stage
of Disposition ........................................... 29
E. Statute of Limitations ............................... 29
VIII. EXECUTIVE BRANCH LOBBYING .............. 30
IX. WHISTLE-BLOWER'S ACT .......................... 31
X. ADDITIONAL INFORMATION ....................... 31
XI. ONLINE TRAINING ...................................... 32
BLANK
FLORIDA COMMISSION
ON ETHICS
GUIDE TO THE
SUNSHINE AMENDMENT
and
CODE OF ETHICS
for
PUBLIC OFFICERS
and EMPLOYEES
I. HISTORY OF FLORIDA'S ETHICS LAWS
Florida has been a leader among the
states in establishing ethics standards for public
officials and recognizing the right of her people to
protect the public trust against abuse. Our State
Constitution was revised in 1968 to require that
a code of ethics for all state employees and non-
judicial officers prohibiting conflict between public
duty and private interests be prescribed by law.
Florida's first successful constitutional
initiative resulted in the adoption of the "Sunshine
Amendment" in 1976, providing additional
constitutional guarantees concerning ethics in
government. In .the area of enforcement, the
Sunshine Amendment requires that there be
an independent commission (the Commission
on Ethics) to investigate complaints concerning
breaches of public trust by public officers and
employees other than judges.
The "Code of Ethics for Public Officers and
Employees" adopted by the Legislature is found
in Chapter 112 (Part III) of the Florida Statutes.
Foremost among the goals of the Code is to
promote the public interest and maintain the
respect of the people for their government. The
Code is also intended to ensure that public
officials conduct themselves independently and
impartially, not using their offices for private gain
other than compensation provided by law. While
seeking to protect the integrity of government, the
Code also seeks to avoid the creation of
unnecessary barriers to public service.
Criminal penalties which initially applied to
violations of the Code were eliminated in 1974
in favor of administrative enforcement. The
Legislature created the Commission on Ethics
that year "to serve as guardian of the standards of
conduct" for public officials, state and local. Five
of the Commission's nine members are appointed
by the Governor, and two each are appointed
by the President of the Senate and Speaker of
the House of Representatives. No more than
five Commission members may be members of
the same political party, and none may hold any
public employment during their two-year terms
of office. A chair is selected from among the
members to serve aone-year term and may not
succeed himself or herself.
II. ROLE OF THE COMMISSION ON ETHICS
In addition to its constitutional duties
regarding the investigation of complaints, the
Commission:
• Renders advisory opinions to public
officials;
• Prescribes forms for public disclosure;
• Prepares mailing lists of public officials
subject to financial disclosure for use
by Supervisors of Elections and the
Commission in distributing forms and
notifying delinquent filers;
• Makes recommendations to disciplinary
officials when appropriate for violations of
ethics and disclosure laws, since it does not
impose penalties;
• Administers the Executive Branch Lobbyist
Registration and Reporting Law;
• Maintains financial disclosure filings of
constitutianal officers and state officers and
employees;
2
• Administers automatic fines for public
officers and employees who fail to timely file
required annual financial disclosure;
• May file suit to void contracts.
III. THE ETHICS LAWS
The ethics Paws generally consist of two types
of provisions, those prohibiting certain actions
or conduct and those requiring that certain
disclosures be made to the public. The following
descriptions of these laws are simplified to put
people on notice of their requirements. Therefore,
we also suggest that you review the wording of
the actual law. Citations to the appropriate laws
are contained in brackets. The laws summarized
below apply generally to all public officers and
employees, State and local, including members
of advisory bodies. The principal exception to
this broad coverage is the exclusion of judges,
as they fall within the jurisdiction of the Judicial
Qualifications Commission.
A. PROHIBITED ACTIONS OR CONDUCT
1. Solicitation and Acceptance of Gifts
Public officers, employees, local government
attorneys. and candidates are prohibited from
soliciting or accepting anything of value, such as
a gift, loan, reward, promise of future employment,
favor, or service, that is based on an understanding
that their vote, official action. or judgment would
be influenced by such gift. [Sec. 112.313(2), Fla.
Stat.]
A person required to file financial disclosure
FORM 1 or FORM 6 (see part III F of this brochure),
as well as a procurement employee for the State,
is prohibited from soliciting any gift from a political
committee, committee of continuous existence,
lobbyist who has lobbied his or her agency within
the past 12 months, or the partner, firm, employer,
or principal of such a lobbyist. [Section 112.3148,
Fla. Stat.]
3
A person required to file FORM 1 or FORM
6, as well as a State procurement employee, is
prohibited from directly or indirectly accepting a
gift worth over $100 from such a lobbyist, from a
partner, firm, employer, or principal of the lobbyist,
or from a political committee or committee of
continuous existence. [Section 112.3148, Fla.
Stat.]
However, notwithstanding Section 112.3148,
Fla. Stat.; no Executive Branch or legislative
lobbyist or principal shall make, directly or indirectly,
and no Executive Branch agency or legislative
official or employee who files FORM 1 or FORM
6 shall knowingly accept, directly or indirectly, any
expenditure made for the purpose of lobbying.
Typically, this would include gifts valued at less than
$100 that formerly were permitted under Section
112.3148, Fla. Stat. [Sec. 112.3215, Fla. Stat.]
2. Unauthorized Compensation
Public officers or employees, local government
attorneys, and their spouses and minor children
are prohibited from accepting any compensation,
payment, or thing of value when they know, or
with the exercise of reasonable care should know,
that it is given to influence a vote or other official
action. [Sec. 112.313(4), Fla. Stat.]
3. Misuse of Public Position
Public officers and employees, and local
government attorneys are prohibited from corruptly
using or attempting to use their official positions to
obtain a special privilege for themselves ar others.
[Sec. 112.313(6), Fla. Stat.]
4. Disclosure or Use of Certain Information
Public officers and employees, and local
government attorneys are prohibited from
disclosing or using information not available to
the public and obtained by reason of their public
positions for the personal benefit of themselves or
others. [Sec. 112.313(8), Fla. Stat.]
4
5. Solicitation or Acceptance of Honoraria
A person required to file financial disclosure
FORM 1 or FORM 6 (see part III F of this brochure),
as well as a procurement employee for the State,
is prohibited from soliciting an honorarium which
is related to his or her public office or duties.
[Section 112.3149, Fla. Stat.]
A person required to file FORM 1 or FORM
6, as well as a State procurement employee,
is prohibited from knowingly accepting an
honorarium from a political committee, committee
of continuous existence, lobbyist who has lobbied
the person's agency within the past 12 months, or
the partner, firm, employer, or principal of such
a lobbyist. However, he or she may accept the
payment of expenses related to an honorarium
event from such individuals or entities, provided
that the expenses are disclosed. See part III F of
this brochure. [Section 112.3149, Fla. Stat.}
Lobbyists and their partners, firms, employers,
and principals, as well as political committees and
committees of continuous existence, are prohibited
from giving an honorarium to persons required to
file FORM 1 or FORM 6 and to State procurement
employees. Violations of this law may result in fines
of up to $5,000 and prohibitions against lobbying
for up to two years. [Section 112.3149, Fla. Stat.]
However, notwithstanding Section 112.3149,
Fla. Stat., no Executive Branch or legislative
lobbyist or principal shall make, directly or indirectly,
and no Executive Branch agency or legislative
official or employee who files FORM 1 or FORM
6 shall knowingly accept, directly or indirectly, any
expenditure made for the purpose of lobbying. This
may include honorarium event related expenses that
formerly were permitted under Section 112.3149,
Fla. Stat. [Sec. 112.3215, Fla. Stat,]
B. PROHIBITED EMPLOYMENT AND
BUSINESS RELATIONSHIPS
Doing Business With One's Agency
(a) A public employee acting as a purchasing
agent, or public officer acting in an official
capacity, is prohibited from purchasing, renting, or
leasing any realty, goads, or services for his or her
agency from a business entity in which the officer
or employee, his or her spouse, or child own more
than a 5% interest. [Sec. 112.313(3), Fla. Stat.]
(b) A public officer or employee, acting in a
private capacity, also is prohibited from renting,
leasing, or selling any realty, goods, or services
to his or her own agency if the officer or employee
is a state officer or employee, or, if he or she is
an officer or employee of a political subdivision,
to that subdivision or any of its agencies. [Sec.
112.313(3), Fla. Stat.]
2. Conflicting Employment or Contractual
Relationship
(a) A public officer or employee is prohibited
from holding any employment or contract with any
business entity or agency regulated by or doing
business with his or her public agency. [Sec.
112.313(7), Fla. Stat.]
(b) A public officer or employee also is
prohibited from holding any employment or
having a contractual relationship which will pose
a frequently recurring conflict between private
interests and public duties or which will impede the
full and faithful discharge of public duties. [Sec.
112.313(7), Fla. Stat.]
(c) Limited exceptions to this prohibition have
been created in the law for legislative bodies,
certain special tax districts, drainage districts,
and persons whose professions or occupations
qualify them to hold their public positions. [Sec.
112.313(7)(x) & (b), Fla. Stat.]
6
3. Exemptions-The prohibitions against doing
business with one's agency and having conflicting
employment may not apply:
(a) When the business is rotated among all
qualified suppliers in a city or county.
(b) When the business is awarded by sealed,
competitive bidding- and the official, his or her
spouse. or child have not attempted to persuade
agency personnel to enter the contract. NOTE:
Disclosure of the interest of the official, spouse,
or child and the nature of the business must be
filed prior to or at the time of submission of the bid
on Commission FORM 3A with the Commission
on Ethics or Supervisor of Elections, depending
on whether the official serves at the state or local
level.
(c) When the purchase or sale is for legal
advertising, utilities service, or for passage on a
common carrier.
(d) When an emergency purchase must
be made to protect the public health, safety, or
welfare.
(e) When the business entity is the only
source of supply within the political subdivision
and there is full disclosure of the official's interest
to the governing body on Commission FORM 4A.
(f} When the aggregate of any such
transactions does not exceed $500 in a calendar
year.
(g) When the business transacted is the
deposit of agency funds in a bank of which a
county, city, or district official is an officer, director,
or stockholder, so long as agency records show
that the governing body has determined that the
member did not favor his or her bank over other
qualified banks.
(h) When the prohibitions are waived in the
case of ADVISORY BOARD MEMBERS by the
ap{~ointing person or by atwo-thirds vote of the
appointing body (after disclosure on Commission
7
FORM 4A).
(i) When the public officer or employee
purchases in a private capacity goods or services,
at a price and upon terms available to similarly
situated members of the general public, from a
business entity which is doing business with his or
her agency.
(j) When the public officer or employee in a
private capacity purchases goods ar services from
a business entity which is subject to the regulation
of his or her agency where the price and terms of
the transaction are available to similarly situated
members of the general public and the officer or
employee makes full disclosure of the relationship
to the agency head or governing body prior to the
transaction. [Sec. 112.313(12), Fla. Stat.]
4. Additional Exemption
No elected public officer is in violation of the
conflicting employment prohibition when employed
by a tax exempt organization contracting with his or
her agency so long as the officer is not directly or
indirectly compensated as a result of the contract,
does not participate in any way in the decision to
enter into the contract, abstains from voting on any
matter involving the employer, and makes certain
disclosures. [Sec. 112.313(15), Fla. Stat.]
5. Lobbying State Agencies By Legislators
A member of the legislature is prohibited
from representing another person or entity for
compensation during his or her term of office
before any State agency other than judicial
tribunals. [Art II, Sec. 8(e), Fla. Const. and Sec.
112.313(9), Fla. Stat.]
6. Employees Holding Ofirce
A public employee is prohibited from being a
member of the governing body which serves as his
or her employer. [Sec. 112.313(10), Fla. Stat.}
8
7. Professional and Occupational Licensing
Board Members
An officer, director, or administrator of a state,
county, or regional professional or occupational
organization or association. while holding such
position. may not serve as a member of a state
examining or licensing board for the profession or
occupation. [Sec. 112.313(11), Fla. Stat.j
8. Contractual Services: Prohibited Employment
A state employee of the executive ar judicial
branches who participates in the decision-making
process involving a purchase request, who
influences the content of any specification or
procurement standard, or who renders advice,
investigation, or auditing, regarding his or her
agency's contract for services, is prohibited from
being employed with a person holding such a
contract with his or her agency. [Sec. 112.3185(2),
Fla. Stat.]
9. Local Government Attorneys
Local government attorneys, such as the city
attorney or county attorney, and their law firms are
prohibited from representing private individuals
and entities before the unit of local government
which they serve. A local government attorney
cannot recommend or otherwise refer to his or
her firm legal work involving the local government
unit unless the attorney's contract authorizes or
mandates the use of that firm. [Sec. 112.313(16),
Fla. Stat.]
C. RESTRICTIONS ON APPOINTING,
EMPLOYING, AND CONTRACTING WITH
RELATIVES
1. Anti-Nepotism Law
A public official is prohibited from seeking
for a relative any appointment, employment,
promotion or advancement in the agency in which
he or she is serving or over which the official
exercises jurisdiction or control. No person may
be appointed, employed, promoted, or advanced
9
in or to a position in an agency if such action has
been advocated by a related public official who is
serving in or exercising jurisdiction or control over
the agency; this includes relatives of members
of collegial government bodies. NOTE: This
prohibition does not apply to school districts (except
as provided in Section 1012.23, Florida Statutes),
community colleges, and State universities, or to
appointments of boards in municipalities of less
than 35,000, other than those with land-planning
or zoning responsibilities. Also, the approval of
budgets does not constitute "jurisdiction or control"
for the purposes of this prohibition. This provision
does not apply to volunteer emergency medical,
fire fighting, or police service providers. [Sec.
112.3135, Fla. Stat.]
2. Additional Restrictions
A State employee of the executive or judicial
branches or the PSC is prohibited from directly or
indirectly procuring contractual services for his
or her agency from a business entity of which a
relative is an officer, partner, director, or proprietor,
or in which the employee, his or her spouse, and
children own more than a 5% interest. [Sec.
112.3185(6), Fla. Stat.]
D. POSTOFFICE HOLDINGAND EMPLOYMENT
(REVOLVING DOOR) RESTRICTIONS
1. Lobbying by Former Legislators, Statewide
Elected Officers, and Appointed State Officers
A member of the Legislature or a statewide
elected or appointed state official is prohibited
for two years following vacation of office from
representing another person or entity for
compensation before the government body or
agency of which the individual was an officer or
member. [Art. II, Sec. 8(e), Fla. Const. and Sec.
112.313(9), Fla. Stat.] This applies to appointed
State officers who are appointed on or after Jan.
1, 1995.
2. Lobbying by Former State Employees
Certain employees of the executive and
10
legislative branches of State gavernment are
prohibited from personally representing another
person or entity for compensation before the agency
with which they were employed for a period of two
years after leaving their positians, unless employed
by another agency of State government. [Sec.
112.313(9), Fla. Stat.] These employees include the
following:
(a) Executive and legislative branch
employees serving in the SENIOR MANAGEMENT
SERVICE and SELECTED EXEMPT SERVICE, as
well as any person employed by the DEPARTMENT
OF THE LOTTERY having authority over policy or
procurement.
(b) Persons serving in the following position
classifications: the Auditor General; the director
of the Office of Program Policy Analysis and
GovernmentAccountability (OPPAGA); the Sergeant
at Arms and Secretary of the Senate; the Sergeant
at Arms and Clerk of the House of Representatives;
the executive director of the Legislative Committee
on Intergovernmental Relations and the executive
director and deputy executive director of the
Commission on Ethics; an executive director,
staff director, or deputy staff director of each joint
committee, standing committee, or select committee
of the Legislature; an executive director, staff
director, executive assistant, legislative analyst, or
attorney serving in the Office of the President of the
Senate, the Office of the Speaker of the House of
Representatives, the Senate Majority Party Office,
the Senate Minority Party Office, the House Majority
Party Office. the House Minority Party Office; the
Chancellor and Vice-Chancellors of the State
University System; the general counsel to the Board
of Regents; the president, vice presidents, and
deans of each state university; any person hired on
a contractual basis and having the power normally
conferred upon such persons, by whatever title; and
any person having the power normally conferred
upon the above positions.
This prohibition does not apply to a person
11
who was employed by the Legislature or other
agency prior to July 1, 1989; who was employed
by the Legislature or other agency on July 1, 1989;
who was a defined employee of the SUS or the
PSC who held such employment on December
31, 1994; or who reached normal retirement age
and retired by July 1, 1991. It does apply to OPS
employees.
PENALTIES: Persons found in violation
of this section are subject to the penalties
contained in the Code (see PENALTIES, Part V)
as well as a civil penalty in an amount equal to
the compensation which the person receives for
the prohibited conduct. [Sec. 112.313(9)(x)5., Fla.
Stat.]
3. Additional Restrictions on Former State
Employees
A former executive or judicial branch
employee or PSC employee is prohibited from
having employment or a contractual relationship,
at any time after retirement or termination of
employment, with any business entity (other than
a public agency) in connection with a contract in
which the employee participated personally and
substantially by recommendation or decision while
a public employee. [Sec. 112.3185(3), Fla. Stat.]
A former executive or judicial branch employee
or PSC employee who has retired or terminated
employment is prohibited from having any
employment or contractual relationship for two years
with any business entity (other than a public agency)
in connection with a contract for services which was
within his or her responsibility while serving as a
state employee. [Sec.112.3185(4), Fla. Stat.]
Unless waived by the agency head, a former
executive or judicial branch employee or PSC
employee may not be paid more for contractual
services provided by him or her to the former
agency during the first year after leaving the
agency than his or her annual salary before
leaving. [Sec. 112.3185(5}, Fla. Stat.)
These prohibitions da not apply to PSC
12
employees who were sa employed on or before
Dec. 31, 1994.
4. Lobbying by Former Local Government
Officers and Employees
A person elected to county, municipal, school
district, or special district office is prohibited
from representing another person or entity for
compensation before the government body or
agency of which he or she was an officer for two
years after leaving office. Appointed officers and
employees of counties, municipalities, school
districts, and special districts may be subject to a
similar restriction by local ordinance or resolution.
[Sec. 112.313(13) and (14), Fla: Stat.]
E. VOTING CONFLICTS OF INTEREST
NO STATE PUBLIC OFFICIAL is prohibited
from voting in an official capacity an any matter.
However, a STATE PUBLIC OFFICER who votes
on a measure which inures to his or her special
private gain or loss, or which the officer knows
would inure to the special private gain or loss of
any PRINCIPAL by whom he or she is retained, of
the PARENT ORGANIZATION or SUBSIDIARY of
a CORPORATE PRINCIPAL by which he or she
is retained, of a RELATIVE, or of a BUSINESS
ASSOCIATE, must file a memorandum of voting
conflict on Commission FORM 8A with the
recording secretary within 15 days after the vote
occurs, disclosing the nature of his or her interest
in the matter.
NO COUNTY, MUNICIPAL, or other LOCAL
PUBLIC OFFICER steal! vote in an official capacity
upon any measure which would inure to his or her
special private gain or loss, or which the officer
knows would inure to the special private gain
or loss of any PRINCIPAL by whom he or she
is retained, of the PARENT ORGANIZATION or
SUBSIDIARY of a CORPORATE PRINCIPAL by
which he or she is retained, of a RELATIVE, or
of a BUSINESS ASSOCIATE. The officer must
publicly announce the nature of his or her interest
before the vote and must file a memorandum of
13
voting conflict on Commission FORM 8B with the
meeting's recording officer within 15 days after
the vote occurs disclasing the nature of his or
her interest in the matter. However, members of
community redevelopment agencies and district
officers elected on a one-acre, one-vote basis are
not required to abstain.
NO APPOINTED STATE OR LOCAL OFFICER
shall PARTICIPATE in any matter which would inure
to the officer's special private gain or loss, the special
private gain or loss of any PRINCIPAL by whom he
or she is retained. of the PARENT ORGANIZATION
or SUBSIDIARY of a CORPORATE PRINCIPAL by
which he or she is retained, of a RELATIVE or of
a BUSINESS ASSOCIATE, without first disclosing
the nature of his or her interest in the matter. The
memorandum of voting conflict (Commission FORM
8A or 8B) must be filed with the meeting's recording
officer, be provided to the other members of the
agency, and be read publicly at the next meeting.
If the conflict is unknown or not disclosed prior
to the meeting, the appointed official must orally
disclose the conflict at the meeting when the conflict
becomes known. Also, a written memorandum
of voting conflict must be filed with the meeting's
recording officer within 15 days of the disclosure
being made and must be provided to the other
members of the agency with the disclosure being
read publicly at the next scheduled meeting. [Sec.
112.3143, Fla. Stat.j
F. DISCLOSURES
Conflicts of interest may occur when public
officials are in a position to make decisions which
affect their personal financial interests. This is
why public officers and employees, as well as
candidates who run for public office, are required
to publicly disclose their financial interests. The
disclosure process serves to remind officials of
their obligation to put the public interest above
personal considerations. It also helps citizens to
14
monitor the considerations of those who spend
their tax dollars and participate in public policy
decisions or administration.
All public officials and candidates do not file
the same degree of disclosure; nar do they all
file at the same time or place. Thus, care must
be taken to determine which disclosure forms a
particular official or candidate is required to file.
The following forms are described below
to set forth the requirements of the various
disclosures and the steps for correctly providing
the information in a timely manner.
FORM 1 -Limited Financial Disclosure
Who Must File:
Persons required to file FORM 1 include all
State officers, local officers, candidates for local
elective office, and specified State employees as
defined below (other than those officers who are
required by law to file FORM 6).
STATE OFFICERS include:
(1) Elected public officials not serving in a political
subdivision of the State and any person appointed
to fill a vacancy in such office, unless required to
file full disclosure on Form 6;
(2) Appointed members of each board,
commission, authority, or council having statewide
jurisdiction, excluding members of solely advisory
bodies, but including members of the Commission
on Tourism, judicial nominating commissions, and
Council on the Social Status of Black Men and Boys,
and directors of the Black Business Investment
Board. Enterprise Florida, Scripps Florida Funding
Corp., Substance Abuse and Mental Health Corp.,
Citizens Property Insurance Corp., Space Florida,
and Workforce Florida;
(3) The Commissioner of Education, members
of the State Board of Education, the Board of
Governors, and the local Boards of Trustees and
Presidents of State universities; and
15
(4) All elected public officers (excluding
mcongressional) not covered under "local officers"
and any person appointed to fill a vacancy in such
elective office.
LOCAL OFFICER includes:
(1) Any person elected to office in any political
subdivision and any person appointed to fill a
vacancy for an unexpired term in such elective
office;
(2) An appointed member of certain boards of
political subdivisions, including governing bodies,
expressway and transportation authorities,
community colleges, code enforcement boards,
bodies with planning or zoning powers, and
pension boards;
(3) Any other appointed local government board
member who has been required to file by the
appointing authority;
(4) A mayor and the chief administrative officer
of a county, municipality, or other political
subdivision;
(5) Any person holding one or more of the
following positions within a county or municipality:
city or county attorney; chief building inspector;
water resources coordinator; pollution control
director; environmental control director;
administrator with power to grant or deny a land
development permit;
(6) A chief of police; fire chief; municipal clerk;
district school superintendent; community college
president; medical examiner; and a purchasing
agent having the authority to make any purchase
exceeding $15,000 for any political subdivision of
the state or any entity thereof.
SPECIFIED STATE EMPLOYEE includes:
(1) The Public Counsel created by Chapter 350;
an assistant state attorney, an assistant public
defender, afull-time state employee who serves as
counsel or assistant counsel to any state agency;
16
an administrative law judge; and a hearing officer
(2) Any person employed in the offices of the
Governor or member of the Cabinet who is
exempt from the career service system, except
those persons in clerical, secretarial, or similar
positions;
(3) Each appointed secretary, assistant secretary,
deputy secretary, executive director, assistant
executive director, or deputy executive director
of each state department, commission, board, or
council; and the division director, assistant division
director, deputy director, bureau chief, or assistant
bureau chief of any state department or division,
or persons having the power normally conferred
upon such person by whatever title;
(4) A superintendent or institute director of a state
mental health institute established for training and
research in the mental health field or of any major
state institution or facility for corrections, training,
treatment, or rehabilitation;
(5) A business manager, purchasing agent
having the power to make any purchase exceeding
$15,000; finance and accounting director,
personnel officer, and grants coordinator for any
state agency;
(6) Any person employed in the legislative
branch of government, except persons employed
in maintenance, clerical, secretarial, or similar
positions and legislative assistants exempted by
the presiding officer of their house;
(7) Each employee of the Ethics Commission;
and
(8) Senior managers of the Citizens Property
Insurance Corp.
What Must Be Disclosed:
FORM 1 requirements are set forth fully on
the form. In general, this includes the reporting
person's sources and types of financial interests,
such as the names of employers and addresses of
real property holdings. NO DOLLAR VALUES ARE
17
REQUIRED TO BE LISTED. In addition, the form
requires the disclosure of certain relationships
with, and ownership interests in, specified types
of businesses such as banks, savings and loans,
insurance companies, and utility companies.
When to File:
CANDIDATES for elected local office must file
FORM 1 together with and at the same time they
file their qualifying papers.
STATE and LOCAL OFFICERS and
SPECIFIED STATE EMPLOYEES are required
to file disclosure by July 1 of each year. They
also must fife within thirty days from the date of
appointment or the beginning of employment.
Those appointees requiring Senate confirmation
must file prior to confirmation.
Where to File:
Each LOCAL OFFICER files FORM 1 with the
Supervisor of Elections in the county in which he
or she permanently resides.
A STATE OFFICER or SPECIFIED STATE
EMPLOYEE files with the Commission on Ethics.
[Sec. 112.3145, Fla. Stat.~
2. FORM 1 F -Final Form 1 Limited Financial
Disclosure
FORM 1 F is the disclosure form required to be
filed within 60 days after a public officer or employee
required to file FORM 1 leaves his or her public
position. The form covers the disclosure period
between January 1 and the last day of office or
employment within that year.
3. FORM 2 -Quarterly Client Disclosure
The state officers, local officers, and specified
state employees as listed above, as well as elected
constitutional officers, must file a FORM 2 if they
or a partner or associate of their professional firm
represent a client for compensation before an
agency at their level of government,
18
A FORM 2 disclosure includes the names of
clients represented by the reporting person or by
any partner or associate of his or her professional
firm for a fee or commission before agencies at
the reporting person's level of government. Such
representations DO NOT INCLUDE appearances
in ministerial matters, appearances before judges of
compensation claims, or representations on behalf
of one's agency in one's official capacity. Nor does
the term include the preparation and filing of forms
and applications merely for the purpose of obtaining
or transferring a license, so long as the issuance
of the license does not require a variance, special
consideration, or a certificate of public convenience
and necessity.
When to File:
This disclosure should be filed quarterly, by the
end of the calendar quarter following the calendar
quarter during which a reportable representation
was made. FORM 2 need not be filed merely to
indicate that no reportable representations occurred
during the preceding quarter; it should be filed ONLY
when reportable representations were made during
the quarter.
Where To File:
LOCAL OFFICERS file with the Supervisor of
Elections of the county in which they permanently
reside.
STATE OFFICERS and SPECIFIED STATE
EMPLOYEES file with the Commission on Ethics.
[Sec. 112.3145(4), Fla. Stat.]
4. FORM 6 - Ful! and Public Disclosure
Who Must File:
Persons required by law to file FORM 6 are
all elected constitutional officers and candidates
for such office; the Mayor and members of the
City Council and candidates for these offices in
Jacksonville; the Duval County Superintendent
of Schools; Judges of Compensation Claims;
19
and members of the Florida Housing Finance
Corporation Board and the Florida Prepaid College
Board.
What Must be Disclosed:
FORM 6 is a detailed disclosure of assets,
liabilities, and sources of income over $1,000
and their values, as well as net worth. Officials
may opt to file their most recent income tax return
in lieu of listing sources of income but still must
disclose their assets, liabilities, and net worth.
In addition, the form requires the disclosure of
certain relationships with, and ownership interests
in, specified types of businesses such as banks,
savings and loans, insurance companies, and
utility companies.
When and Where To File:
Incumbent officials must file FORM 6
annually by July 1 with the Commission on Ethics.
CANDIDATES mustfilewith the officer beforewhom
they qualify at the time of qualifying. [Art. II, Sec. 8(a)
and (i), Fla. Const., and Sec. 112.3144, Fla. Stat.]
5. FORM 6F-Fin I~Form6FullandPublicDisclosure
FORM 6F is the disclosure form required to
be filed within 60 days after a public officer or
employee required to file FORM 6 leaves his
or her public position. The form covers the
disclosure period between January 1 and the
last day of office or employment within that year.
6. FORM 9 - .Quarterly Gift Disclosure
Each person required to file FORM 1 or FORM
6, and each State procurement employee, must
file a FORM 9, Quarterly Gift Disclosure; with
the Commission on Ethics on the last day of any
calendar quarter following the calendar quarter in
which he or she received a gift worth over $100,
other than gifts from relatives, gifts prohibited from
being accepted, gifts primarily associated with his
20
or her business or employment; and gifts otherwise
required to be disclosed. FORM 9 NEED NOT
BE FILED if no such gift was received during the
calendar quarter.
Information to be disclosed includes a
description of the gift and its value, the name and
address of the donor, the date of the gift, and a copy
of any receipt for the gift provided by the donor.
[Sec. 112.3148, Fla. Stat.]
7. FORM 1 D - Annua! Disclosure of Gifts from
Government Agencies and Direct-Support
Organizations and Honorarium Event Related
Expenses
State government entities, airport authorities,
counties, municipalities, school boards, water
management districts, the South Florida Regional
Transportation Authority, and the Technological
Research and Development Authority may give
a gift worth over $100 to a person required to file
FORM 1 or FORM 6, and to State procurement
employees, if a public purpose can be shown for
the gift. Also, adirect-support organization for a
governmental entity may give such a gift to a person
who is an officer or employee of that entity. These
gifts are to be reported on FORM 10, to be filed by
July 1.
The governmental entity or direct-support
organization giving the gift must provide the officer
or employee with a statement about the gift no later
than March 1 of the following year. The officer or
employee then must disclose this information by
filing a statement by Juiy 1 with his or her annual
financial disclosure that describes the gift and lists
the donor, the date of the gift, and the value of the
total gifts provided during the calendar year. State
procurement employees file their statements with
the Commission on Ethics. [Sec. 112.3148, Fla.
Stat.]
In addition, a person required to file FORM 1
or FORM 6, or a State procurement employee,
who receives expenses or payment of expenses
related to an honorarium event from someone
21
who is prohibited from giving him or her an
honorarium, must disclose annually the name,
address, and affiliation of the donor, the amount of
the expenses, the date of the event, a description
of the expenses paid or provided, and the total
value of the expenses on FORM 10. The donor
paying the expenses must provide the officer or
employee with a statement about the expenses
within 60 days of the honorarium event. Honorarium
related expenses from someone who does not
employ a lobbyist do not have to be reported.
Thedisclosure mustbefiled by July 1, forexpenses
received during the previous calendar year, with the
officer's or employee's FORM 1 or FORM 6. State
procurement employees file their statements with the
Commission on Ethics. [Sec. 112.3149, Fla. Stat.]
However, notwithstanding Section 112.3149,
Fla. Stat., no Executive Branch or legislative
lobbyist or principal shall make, directly or indirectly,
and no Executive Branch agency or legislative
official or emplayee who files FORM 1 or FORM
6 shall knowingly accept, directly or indirectly, any
expenditure made for the purpose of lobbying. This
may include honorarium event related expenses that
formerly were permitted under Section 112.3149.
[Sec. 112.3215, Fla. Stat.]
8. FORM 30 -Donor's Quarterly Gift Disclosure
As mentioned above, the following persons and
entities generally are prohibited from giving a gift
worth over $100 to a reporting individual (a person
required to file FORM 1 or FORM 6) or to a State
procurement employee: apolitical committee or
committee of continuous existence; a lobbyist who
lobbies the reporting individual's or procurement
employee's agency; and the partner, firm, employer,
or principal of such a lobbyist. If such person or
entity makes a gift worth between $25 and $100 to a
reporting individual or State procurement employee
(that is not accepted in behalf of a governmental
entity or charitable organization), the gift should be
reported on FORM 30. The donor also must notify
22
the recipient at the time the gift is made that it will be
reported.
The FORM 30 should be filed by the last day of
the calendar quarter following the calendar quarter
in which the gift was made. If the gift was made to
an individual in the legislative branch, FORM 30
should be filed with the Lobbyist Registrar. If the
gift was to any other reporting individual or State
procurement employee, FORM 30 should be filed
with the Commission on Ethics.
However, notwithstanding Section 112.3148,
Fla. Stat., no Executive Branch or legislative
lobbyist or principal shall make, directly or indirectly,
and no Executive Branch agency or legislative
official or employee who files FORM 1 or FORM
6 shall knowingly accept, directly or indirectly, any
expenditure made for the purpose of lobbying. This
may include gifts that formerly were permitted under
Section 112.3148. [Sec. 112.3215, Fla. Stat.]
9. FORM 1 X AND FORM 6X -Amendments to
Form 1 and Form 6
These forms are provided for officers or
employees who want to amend their previously filed
Form 1 or Form 6.
IV. AVAILABILITY OF FORMS
LOCAL OFFICERS and EMPLOYEES who
must file FORM 1 annually will be sent the form by
mail from the Supervisor of Elections in the county
in which they permanently reside not later than
JUNE 1 of each year. Newly elected and appointed
officials or employees should contact the board of
their agency for copies of the form, as should those
persons who are required to file their final disclosure
statements within 60 days of leaving office or
employment.
ELECTED CONSTITUTIONAL OFFICERS,
OTHER STATE OFFICERS, and SPECIFIED
STATE EMPLOYEES who must file annually FORM
23
1 or 6 will be sent these forms by mail from the
Commission on Ethics by JUNE 1 of each year.
Newly elected and appointed officers and employees
should contact the heads of their agencies or the
Commission on Ethics for copies of the forms, as
should those persons who are required to file their
final disclosure statements within 60 days of leaving
office or employment.
Any person needing one or more of the
other forms described here may obtain them
upon request from a Supervisor of Elections or
from the Commission on Ethics, P.O. Drawer
15709, Tallahassee, Florida 32317-5709. They
are also available on the Commission's website:
www. eth ics. state. fl. u s.
V. PENALTIES
A. Non-crimina/ Penalties for Violation of the
Sunshine Amendment and the Code of Ethics
There are no criminal penalties for violation of
the Sunshine Amendment and the Code of Ethics.
Penalties for violation of those laws may include:
impeachment, removal from office or employment,
suspension, public censure, reprimand, demotion,
reduction in salary level, forfeiture of no more than
one-third salary per month for no more than twelve
months, a civil penalty not to exceed $10,000, and
restitution of any pecuniary benefits received.
8. Penalties for Candidates
CANDIDATES for public office who are found
in violation of the Sunshine Amendment or the
Code of Ethics may be subject to one or more of
the fallowing penalties: disqualification from being
on the ballot, public censure, reprimand, or a civil
penalty not to exceed $10,000.
C. Penalties for Former Officers and
Employees
FORMER PUBLIC OFFICERS or EMPLOYEES
who are found in violation of a provision applicable
to former officers or employees or whose violation
24
occurred prior to such officer's or employee's
leaving public office or employment may be subject
to one or more of the following penalties: public
censure and reprimand, a civil penalty not to exceed
$10,000, and restitution of any pecuniary benefits
received. [Sec. 112.317, Fla. Stat.]
D. Penalties for Lobbyists and Others
An executive branch lobbyist who has failed
to comply with the Executive Branch Lobbying
Registration law (see Part VIII) may be fined up to
$5,000, reprimanded; censured, or prohibited from
lobbying executive branch agencies for up to 2
years.
Lobbyists, their employers, principals, partners,
and firms, and political committees and committees
of continuous existence who give a prohibited gift or
honorarium or fail to comply with the gift reporting
requirements for gifts worth between $25 and $100
may be penalized by a fine of not more than $5,000
and a prohibition on lobbying, or employing a
lobbyist to lobby, before the agency of the public
officer or employee to whom the gift was given for
up to 2 years.
Executive Branch lobbying firms which fail to
timely file their quarterly compensation reports may
be fined $50.00 per day per principal for each day
the report is late; up to a maximum fine of $5,000
per report.
E. Felony Convictions: Forfeiture of Retirement
Benefits
Public officers and employees are subject
to forfeiture of all rights and benefits under the
retirement system to which they belong if convicted
of certain offenses prior to their retirement. The
offenses include embezzlement or theft of public
funds; bribery; felonies specified in Chapter 838,
Florida Statutes; impeachable offenses; and
felonies committed with intent to defraud the public
or their public agency. [Sec. 112.3173, Fla. Stat.]
F. Automatic Penalties for Failure to File
Annual Disclosure
25
Public officers and employees required to file
either Form 1 or Form 6 annual financial disclosure
are subject to automatic fines of $25 for each day
late the form is filed after September 1, up to a
maximum penalty of $1,500. [Sec. 112.3144 and
112.3145, Fla. Stat.]
VI. ADVISORY OPINIONS
Conflicts of interest may be avoided by greater
awareness of the ethics laws an the part of public
officials and employees through advisory assistance
from the Commission on Ethics.
A. Who Can Request an Opinion
Any public officer, candidate for public office, or
public employee in Florida who is in doubt about
the applicability of the standards of conduct or
disclosure laws to himself or herself, or anyone who
has the power to hire or terminate another public
employee, may seek an advisory opinion from the
Commission about himself or herself or that
employee.
B. How to Request an Opinion
Opinions may be requested by letter presenting
a question based on a real situation and including
a detailed description of the situation. Opinions
are issued by the Commission and are binding on
the conduct of the person who is the subject of
the opinion, unless material facts were omitted or
misstated in the request for the opinion. Published
opinions will not bear the name of the persons
involved unless they consent to the use of their
names.
C. How to Obtain Published Opinions
Published opinions of the Commission on Ethics
from 1974 through 1999 are available for purchase
at prices below their actual cost. The opinions are
printed in looseleaf volumes containing asubject-
matter index and a citator to all Florida Statutes
and State constitutional provisions construed or
relied upon by the Commission. Every agency of
26
government should have a set of opinions for ready
reference when the need arises.
All of the Commission's opinions are available
for viewing or download at its website:
www.eth ics.state.fl. us.
VII. COMPLAINTS
A. A Citizen's Responsibility
The Commission on Ethics cannot conduct
investigations of alleged violations of the Sunshine
Amendment or the Code of Ethics unless a person
files a sworn complaint with the Commission alleging
such violation has occurred.
If you have knowledge that a person in
government has violated the standards of conduct
or disclosure laws described above, you may
report these violations to the Commission by filing
a sworn complaint on the form prescribed by the
Commission. Otherwise, the Commission is unable
to take action, even after learning of such misdeeds
through newspaper reports and phone calls.
Should you desire assistance in obtaining or
completing a complaint form (FORM 50), you may
receive either by contacting the Commission office
at the address or phone number shown on the
inside front cover of this booklet.
8. Confidentiality
The complaint, as well as all proceedings and
records relating to the complaint, are confidential
until the accused requests that such records be
made public or until the complaint reaches a stage
in the Commission's proceedings where it becomes
public. This means that unless the Commission
receives a written waiver of confidentiality from
the accused, the Commission is not free to release
any documents or to comment on a complaint to
members of the public or press, so long as the
complaint remains in a confidential stage.
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IN NO EVENT MAY A COMPLAINT BE FILED OR
DISCLOSED WITH RESPECT TO A CANDIDATE
OR ELECTION WITHIN 5 DAYS PRECEDING THE
ELECTION DATE.
C. How the Complaint Process Works
The Commission staff must forward a copy of
the original sworn complaint to the accused within
five days of its receipt. Any subsequent sworn
amendments to the complaint also are transmitted
within five days of their receipt.
Once a complaint is filed, there are three
procedural stages which it goes through under
the Commission's rules. The first stage is a
determination of whether the allegations of the
complaint are legally sufficient, that is, whether they
indicate a possible violation of any law over which
the Commission has jurisdiction. If the complaint is
found not to be legally sufficient, the Commission
will order that the complaint be dismissed without
investigation, and all records relating to the
complaint will become public at that time.
If the complaint is found to be legally sufficient,
a preliminary investigation will be undertaken by the
investigative staff of the Commission. The second
stage of the Commission's proceedings involves
this preliminary investigation and a decision by the
Commission of whether there is probable cause to
believe that there has been a violation of any of the
ethics laws. If the Commission finds no probable
cause to believe there has been a violation of
the ethics laws, the complaint will be dismissed
and will become a matter of public record. If the
Commission finds probable cause to believe there
has been a violation of the ethics laws, the complaint
becomes public and usually enters the third stage of
proceedings. This stage requires the Commission
to decide whether the law was actually violated and,
if so, whether a penalty should be recommended.
At this stage, the accused has the right to request a
public hearing (trial) at which evidence is presented
or the Commission may order that such a hearing
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be held. Public hearings usually are held in or near
the area where the alleged violation occurred.
When the Commission concludes that a violatian
has been committed, it issues a public report of its
findings and may recommend one or more penalties
to the appropriate disciplinary body or official.
When the Commission determines that a person
has filed a complaint with knowledge that the
complaint contains one or more false allegations or
with reckless disregard for whether the complaint
contains false allegations, the complainant will
be liable for costs plus reasonable attorney's fees
incurred by the person complained against. The
Department of Legal Affairs may bring a civil action
to recover such fees and costs, if they are not paid
willingly.
D. Dismissal of Complaints Af Any Stage of
Disposition
The Commission may, at its discretion, dismiss
any complaint at any stage of disposition should
it determine that the public interest would not be
served by proceeding further, in which case the
Commission will issue a public report stating with
particularity its reasons for the dismissal. [Sec.
112.324(11), Fla. Stat.]
E. Statute of Limitations
All sworn complaints alleging a violation of the
Sunshine Amendment or the Code of Ethics have
to be filed with the Commission within 5 years of the
alleged violation or other breach of the public trust.
Time starts to run on the day AFTER the violation or
breach of public trust is committed. The statute of
limitations is tolled on the day a sworn complaint is
filed with the Commission. If a complaint is filed and
the statute of limitations has run, the complaint will
be dismissed. [Sec112.3231, Fla. Stat.]
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VIII. EXECUTIVE BRANCH LOBBYING
Any person who, for compensation and
on behalf of another, lobbies an agency of the
executive branch of state government with respect
to a decision in the area of policy or procurement
may be required to register as an executive branch
lobbyist. Registration is required before lobbying an
agency and is renewable annually. In addition, each
lobbying firm must file a compensation report with
the Commission for each calendar quarter during
any portion of which one or more of the firm's
lobbyists were registered to represent a principal.
As noted above, no Executive Branch lobbyist or
principal can make, directly or indirectly, and no
Executive Branch agency official or employee who
files FORM 1 or FORM 6 can knowingly accept,
directly or indirectly, any expenditure made for
the purpose of lobbying. 112.3149, Fla. Stat. [Sec.
112.3215, Fla. Stat.]
Paying an executive branch lobbyist a
contingency fee based upon the outcome of any
specific executive branch action, and receiving such
a fee, is prohibited. A violation of this prohibition is a
first degree misdemeanor, and the amount received
is subject to forfeiture. This does not prohibit
sales people from receiving a commission. [Sec.
112.3217, Fla. Stat.]
Executive branch departments, State
universities, community colleges; and water
management districts are prohibited from using
public funds to retain an executive branch (or
legislative branch) lobbyist, although these
agencies may use full-time employees as lobbyists.
[Sec. 11.062, Fla. Stat.]
Additional information about the executive branch
lobbyist registration system may be obtained by
contacting the Lobbyist Registrar at the following
address:
Executive Branch Lobbyist Registration
Room G-68, Claude Pepper Building
111 W. Madison Street
Tallahassee, FL 32399-1425
Phone: 850/922-4990
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IX. WHISTLE-BLOWER'S ACT
In 1986, the Legislature enacted a "Whistle-
blower's Act" to protect employees of agencies and
government contractors from adverse personnel
actions in retaliation for disclosing information
in a sworn complaint alleging certain types of
improper activities on the part of an agency
contractor, or for participating in an investigation or
hearing conducted by an agency. Since then, the
Legislature has revised this law to afford greater
protection to these employees.
While this language is contained within the Code
of Ethics, the Commission has no jurisdiction or
authority to proceed against persons who violate
this Act in behalf of a person who is being retaliated
against. Therefore, a person who has disclosed
information alleging improper conduct governed by
this law and who may suffer adverse consequences
as a result should contact one or more of the
following: the Office of the Chief Inspector General
in the Executive Office of the Governor; the
Department of Legal Affairs; the Florida Commission
on Human Relations; or a private attorney. [Sec.
112.3187 - 112.31895, Fla. Stat.]
X. ADDITIONAL INFORMATION
As mentioned above, we suggest that you
review the language used in each law for a more
detailed understanding of Florida's ethics laws. The
"Sunshine Amendment" is Article I1, Section 8, of
the Florida Constitution. The Code of Ethics for
Public Officers and Employees is contained in Part
III of Chapter 112, Florida Statutes.
Additional information about the Commission's
functions and interpretations of these laws may be
found in Chapter 34 of the Florida Administrative
Code, where the Commission's ruVes are published,
and in The Florida Administrative Law Reports,
which unti12005 published many ofthe Commission's
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final orders. The Commission's rules, orders, and
opinions also are available electronically on the
Internet at www.ethics.state.fl.us.
If you are a public officer or employee concerned
about your obligations under these laws, you may
wish to contact an attorney who represents your
agency or a private attorney for advice. The staff
of the Commission will be happy to respond to oral
and written inquiries by providing information about
the law, the Commission's interpretations of the law,
and the Commission's procedures.
XI. ONLINE TRAINING
Through a project funded by the Florida
Legislature, an online workshop, Florida's Code
of Ethics, Sunshine Law, and Public Records
Acts, is now available free of charge to all elected
officials and to those appointed to hold elective
office. Participants other than elected officials
can take the course for $15 per persona Bulk
purchase arrangements, including state and local
government purchase orders; are available. For
more information, visit www.ethics.state.fl.us.
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CE GUIDE REV/1-2007