HomeMy WebLinkAboutHandouts_Pension Public Safety_Tab 15_02/01/2010State Laws Affecting
Boards of Trustees
BonniS.Jensen
The Law Offices of Perry & Jensen, LLC
400 Executive Center, Suite 207
West Palm Beach. Florida 33401
Jensen(o~perryjensenlaw.com
561-686-6550
I. Government-in-the-
Sunshine Law Florida Statute
Chapter 286
A. hat is the Su~hine ..acv
- Meetings must be open to the public
- Reasonable notice of such meetings must be
given
- Minutes of the meetings must be taken
A, Ap-prli~s tc- P~ns~on ~c~ards
of T'r~.s~tees
- Meetings
- Committee Meetings
- Written Communications
- Electronic Media
- Delegation of Authority to one Trustee
- "Conduits"
4
I'r~oc~dural R~ ~.rernent
- Reasonable Notice
- Agenda publication recommended
- Limitation on location of meeting
- Public attendance
- Minutes
5
C. ~ha.e eeti.
-Settlement Negotiations or Strategy sessions
related to litigation expenses are not subject
to sunshine
- Procedural requirements:
• Attorney requests advice concerning litigation in a
public meeting
• The subject matter is limited to settlement.
negotiations or strategy sessions related to
litigation expenses in pending litigation.
6
~, Shade Meeting continued
- Procedural Requirements continued:
• The entire session is recorded by a court reporter
and no portion is off the record. The court
reporter's notes must be fully transcribed and filed
with the Board within a reasonable time after the
meeting.
• The transcript is made a part of the public record
upon conclusion of the litigation.
7
+C. S]hac~e :1~eetin~ ec~ntinued
-Procedural Requirements continued:
There shall be reasonable notice of the time and
date including the persons who are expected to
attend the meeting. Persons who may attend are
limited to:
- Board of Tnistees
- The Board's attorney (both outside counsel and the
Board's attorney may attend, if applicable)
- Court Reporter
g
U. hat is 1~easonab~ ~iTc~tice
- To be sufficient, the notice must inform the
media and general public of the meeting and
afford them the opportunity to attend
- Form of Notice:
• Should contain time and place, and if available,
the agenda
• Notice should be prominently displayed There
such notices are regularly provided (Press releases
are highly effective)
• Special Meetings should have at least 24 hours
notice
9
D. "Thee can eetin~ Abe
held
- Inspection trips are permitted but no discussion
until at a properly noticed public meeting
- Luncheon/Dinner meetings are discouraged -
may have a "chilling" effect on public attendance.
- Meetings at facilities that discriminate or
unreasonably restrict access are prohibited.
- Out of To~~n meetings are discouraged unless the
need for the meeting outweighs the public's
interest in attending
10
~. NI'inutes
- Minutes must be taken, promptly recorded and
made a part of the public record.
- Tape recording is not required but if taped the
tapes become public record.
- Draft minutes are public records.
- Changes, corrections or deletions must be
discussed and adopted at a public meeting.
- Minutes are a brief summary or series of brief
notes or memoranda reflecting the events of
the meeting.
11
~, Penalties for Violation
- Criminal penalties
- Removal from office
- Non-criminal infractions -fine not exceeding
$500
- Attorney's fees
- Civil Action
- Invalidation of action taken at a meeting in
violation of sunshine
12
II, Public Records Law -
Florida Statute Chapter 119
13
A, W~at rs tie P~1ic +~cor ~
Law
- All materials made or received by an agency
in connection uTith official business which
perpetuates, communicates or formalizes
knowledge are open to inspection and
copying. Including drafts.
14
B. Applies to Pension Boards
of ~'rustees
- Attorney-Client and work product
- Personnel Records
- Financial Records
- Minutes
- Email
15
C. xepti®ns - ~~rrow
- Home addresses, telephone numbers and
photographs of current or former
• Police Officers
• Firefighters
• Human Resources Directors
• Other directors, managers or assistant managers
whose duties include hiring and firing of
employees, labor contract negotiations or other
personnel related duties
• Exemption includes same personal information for
spouses and children of these employees.
16
C. ]~xem.ptic~~xs - Farr
- Medical Records
- Direct deposit information
- Social Security numbers
- Other specific statutory exemptions
• Bank account numbers
• Trade secrets
• Draft audit before presentation to Board
• Others
17
I~. Restrictians on a+cces~
- Limited
- Fees
18
III. Ethics -Florida Statutes
Chapter 112
19
~.. I)i~+clc~su~re Foy
- Financial Disclosure
- Gift Reporting
- Conflict Reporting
- Lobbyist Reporting
20
~. ~T+~tir~.
- Required
- 3 affirmative votes
- Roll call votes are not required
21
C. 1'enaties
- Impeachment
- Removal from office
- Non-criminal violations
• Suspension
• Public Censure
• Reprimand
• Demotion
• Civil Penalty not to exceed $10,000
22
III. Fiduciary Standards
23
No Text
A. Fid[u~iar~ ~ul~s
• Highest duty in law
• Florida Statute § 112.656
• Other Laws
- Florida Statutes 737 and 738
- Plan Document/Trust Agreement
- Federal Laws - ERISA and Internal Revenue
Code
24
~. Tho ire ~d~.~~.r~.~~
- Trustees
- Trustees with Special Skill
- Investment Managers
- Investment Monitors
- Administrators
- Other Service providers `vho acknowledge
such a relationship by Contract
25
~'ail~.re to nz~e ~11~.5~i
reuire~n.ents
- Problems with Assets
- Distribution Error
- Breach of Duty of Loyalty
26
I). Inc~.ivid.ual li~-i1~ty
- Torts
- Contract
- Breaches of Duty
- Co-Trustee Responsibility
27
E. ~~sur~,ce
- Errors and Omissions
- Fiduciary Liability
- Fidelity Bonds
- Education
28
THE LAW OFFICES OF
PERRY ~ JENSEN, LLC
ANN H. PERRY
aperry@perryjensenlaw.com
MEMORANDUM
To: Board of Trustees
Tequesta Public Safety Officers' Pension Plan
From: Bonni S. Jensen, Legal Counsel
The Law Offices of Perry & Jensen, LLC
BONNI SPATARA JEN$EN
bsjensen@perryjensenlaw.com
Subject: Attorney General Advisory Legal Opinion AGO 2009-56
Date: January, 2010
The Attorney General's office recently issued an Advisory Legal Opinion (copy
attached) regarding meetings of a retirement board via electronic technology and how this
is impacted by the Sunshine Law.
By way of background, Florida's Government in the Sunshine Law was enacted to
ensure access to government proceedings at all levels of Florida government. The
Sunshine Law protects the public from "closed door" politics and decisions and requires
that entities subject to the provisions of the Sunshine Law are "open to the public."
Additionally, the meetings require notice to the public.
The Attorney General's opinion can be divided into two parts: Electronic informal
discussions (workshop meetings) and meetings where a quorum is required. In the first
part of the opinion, the Attorney General has advised that a pension board may use the
Internet or other electronic media to conduct informal discussions provided that access is
provided to all members of the public who want to attend. Thus, access must be available
not only to those with a computer but those who do not have a computer. If such types of
workshop meetings are to be used, the board must designate a place where computers
or teleconference equipment with access to the meeting will be made available to the
public.
In the second part of the opinion, the Attorney General discussed the formal
meetings where a quorum is required. Provided a quorum is physically present in the
room, a board may use electronic technology in order to allow an absent member to attend
a public meeting.
400 EXECUTIVE CENTER DRIVE, SUITE 207:• WEST PALM BEACH, FLORIDA 33401-2922
PH: 561.686.6550 •: Fx: 561.686.2802
~ANp1~(~ i ~ ~ ~ `~uhl ,3
- i-- i ~
.~.~~
Memorandum -AGO 2009-56
Board of Trustees
Tequesta Public Safety Officers' Pension Plan
January, 2010
Page 2 of 2
Plan of Action
If the Board believes that it may use such electronic media to allow Trustees to
participate in the meetings, I suggest that the following be added to any notice and agenda
for the meeting:
"This meeting may be conducted by or with electronic media technology.
The public access point for the meeting is [insert location for the meeting
where the quorum will be present]."
Please add this memo to your next meeting agenda for discussion and action.
BSJ/adt
January 26, 2010
H:WII MiscellaneouslALL BOARD512010WG0 2009-56.wpd
- -a- - ---
Florida Attorney General
Advisory Legal Opinion
Number: AGO 2009-56
Date: December 11, 2009
Subject: Quorum,. participation by electronic means
Mr. Alan E. Greenfield
Alan E. Greenfield, P.A.
Post Office Box 801706
Aventura, Florida 33280-1706
RE: RETIREMENT - ADMINISTRATIVE AGENCIES - GOVERNMENT IN THE
SUNSHINE LAW - MEETINGS - QUORUM - authority of administrative
agency to adopt rule allowing participation by electronic means to
constitute quorum. s. 286.011, Fla. Stat.
Dear Mr. Greenfield:
On behalf of the retirement board of the City of Coral Gables, you
have asked for my opinion on substantially the following question:
May members of the City of Coral Gables retirement board promulgate
a rule allowing the use of electronic media technology in conducting
board meetings and stating that there is no physical presence
requirement to constitute a quorum for the conduct of official
business, that is, that participation by a member of the board by
electronic media technology constitutes his or her presence for
purposes of establishing a quorum?
In sum:
The City of Coral Gables retirement board is not authorized to adopt
a rule allowing the use of electronic media technology in conducting
board meetings and providing that participation by a member of the
board by electronic media technology constitutes his or her physical
presence at the meeting for purposes of establishing a quorum.
According to your letter, the retirement board of the City of Coral
Gables consists of nine unpaid members, five of whom are appointed
by the city commission and four of whom are representatives from
various employee groups. You advise that the employee
representatives are frequently unable to attend meetings due to
emergency situations or are required to leave meetings to respond to
such emergencies. The professional and business representative
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members "find that their business or professional schedules conflict
with a scheduled Hoard meeting." Finally, you indicate that the
board's consultants and money managers are located in various parts
of the United States and cannot easily reschedule their calendars to
accommodate meetings that may be cancelled due to the absence of a
quorum. You state that it would facilitate the functions of the
retirement board to be allowed to conduct its business through the
use of electronic media and to meet the quorum requirement by
counting both those board members who are physically present at a
meeting as well as those who could attend remotely through
electronic means. My review of the city's pension plan ordinances
reveals that provisions exist specifically creating separate
retirement systems for police officers and firefighters independent
of this general retirement board for city employees. Thus, no
discussion of any requirements of pension boards operating under
Chapters 175 and 185, Florida Statutes, is contained herein.
Administration of the City of Coral Gables retirement system is
placed in the retirement board. [1] Among the specific powers the
board may exercise in administering the retirement system are the
following:
"(1) To determine all facts with regard to any participant's age,
normal retirement date, disability, amount of compensation, length
of service and credited service and date of initial coverage under
the system and, by application of the facts so determined and any
other facts deemed material, to determine a participant's amount of
benefit.
(2) To make rules and regulations for the administration of the
system which are not inconsistent with the terms and provisions
hereof.
(5) [T]o select, employ and compensate from time to time such
pension consultants, actuaries, accountants, attorneys, investment
managers and other agents and employees as the retirement board may
deem necessary or advisable in the proper and efficient
administration of the system and the trust agreement. .
(11) To cause a general investigation to be made by a competent
actuary, and at least once every five years thereafter, of the
retirement, disability, separation, mortality, interest and employee
earning rates; recommend, as a result of such investigation, the
tables to be adopted for all required actuarial calculations; and
cause an annual determination to be made by a competent actuary of
the liabilities and reserves of the system and the annual
determination of the amount of the contributions required by the
city and to maintain the funds of the system on a sound actuarial
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basis. Any investigations, audits, determinations, or actuarial
studies shall be at the expense of the retirement system.
(12) To cause an audit of the affairs of the system to be made
annually by an independent certified public accountant and submit a
copy thereof to all interested parties as soon as possible after the
end of such fiscal year."[2]
The code of ordinances provides a quorum requirement for the board:
. "A quorum of the retirement board, for the retirement board to
transact business, shall consist of six retirement board
members . " [3 ]
Further, "[a]11 actions and decisions of the retirement board shall
require the concurrence of a majority of the members of the
retirement board. " [4]
Florida's Government in the Sunshine Law, section 286.011, Florida
Statutes, ensures a right of access to government proceedings at the
state and local levels. [5] The Sunshine Law was enacted in the
public interest to protect the public from "closed door" politics
and must be broadly construed to effect its remedial and protective
purpose. [6] A fundamental requirement of the Government in the
Sunshine Law is that meetings of entities subject to the provisions
of the Sunshine Law be "open to the public." "Open to the public,"
as that phrase is used in section 286.011, Florida Statutes, means
open to all persons who choose to attend. [7] Further, Florida courts
have held that the Sunshine Law extends to discussions and
deliberations as well as formal actions taken by a public board or
commission. [8]
Although members of municipal boards do not appear to be precluded
from utilizing the Internet to conduct informal discussions, such
discussions which are subject to the Sunshine Law are required to be
accessible to the public. [9] Groups such as the retirement board of
the City of Coral Gables must, therefore, ensure that access is
provided to all members of the public who wish to attend such
discussions. [10]
In addition, access must be available not only to those members of
the public possessing a computer with internet access, but also to
those who may not have access to the Internet. As this office
concluded in Attorney General Opinion 2001-66, places within the
jurisdiction of a board subject to the Sunshine Law must be
designated where computers with internet access will be made
available to members of the public who wish to participate in such
discussions. The notice of these discussions, required under the
Sunshine Law, should include the locations where such computers with
Internet access will be located.
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- --a- ~ --
For meetings where a quorum is required, this office, in a number of
formal and informal opinions, has stated that concerns about the
validity of official actions taken by a public body when less than a
quorum is present suggest a very conservative reading of the
statute.[11] This office has concluded that, in the absence of a
statute to the contrary, the requisite number of members must be
physically present at a meeting in order to constitute a quorum.[12]
While a quorum is not required for a meeting to be subject to the
Government in the Sunshine Law,[13] to the extent that any advisory
body is required to have a quorum in order to conduct official
business, it appears that the members of these bodies must, in the
absence of a statute to the contrary, be physically present in order
to constitute a quorum.[14]
The term "quorum" is defined as "the number of members of a group or
organization required to be present to transact business legally,
usually a majority [; ] " [15] and " [t] he minimum number of members
(usu. a majority of all the members) who must be present for a
deliberative assembly to legally transact business."[16] (e.s.)
Thus, a quorum requirement, in and of itself, contemplates the
physical presence of the members of a board or commission at any
meeting subject to the requirement. While I acknowledge that the
City of Coral Gables ordinances creating the retirement board and
empowering it do not contain language referring to the physical
presence of a quorum of the members for the transaction of board
business, I believe that the legislative requirement of a quorum and
the designation of the number required to constitute a quorum argues
for the physical presence of that number of board members at a
meeting.
You have called to my attention provisions of Chapter 120, Florida
Statutes, the Administrative Procedures Act, which authorizes state
agencies and their boards and commissions to adopt rules providing
procedures for conducting public meetings, hearings, and workshops,
in person and by means of communications media technology.[17] This
office, in Attorney General Opinion 98-28, considered whether this
statute would authorize a school board, granted home rule powers and
exercising those powers for school purposes, to adopt its own rules
governing the use of electronic media technology for its meetings.
The opinion notes provisions of the school code requiring the
physical presence of a quorum and concludes that the district's
grant of home rule authority would allow the district to adopt its
own rules governing the use of electronic media technology for its
meetings, subject to the limitation that a quorum of the board's
members must be physically present at the meeting. However, unlike a
school board or municipality, an administrative agency possesses no
home rule powers and may only act within the scope of its
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legislative authorization.[18]
The retirement board of the City of Coral Gables is a local board
made up of "citizens of the city" and persons employed by the city.
You have advised this office that problems have arisen not because
of the physical disability of the members of the board or the fact
that members are scattered throughout the state, but that business
and professional schedules conflict with scheduled board meetings
and members of the board have-been called away to respond to work-
related emergencies. In addition, the board's consultants and money
managers find it difficult to schedule meetings with the board under
these circumstances. In discussing the Legislature's determination
that state agencies and their boards and commissions can conduct
meetings via communications media technology, this office recognized
the practicality of members from throughout the state participating
in meetings of the board or commission and noted that:
"While the convenience and cost savings of allowing members from
diverse geographical areas to meet electronically might be
attractive to a local board or commission such as a school board,
the representation on a school board is local and such factors would
not by themselves appear to justify or allow the use of electronic
media technology in order to assemble the members for a
meeting." [19]
The overarching concern of the Legislature with meaningful
interaction by the public with their local representatives would not
appear .to be well served by allowing local governmental entities to
conduct business at arms length through the use of communications
media technology.
Likewise, in this situation, the occasional inconvenience to local
board members of attending a meeting of the retirement board in
person would not appear to this office to overcome the quorum
requirements in the Coral Gables ordinance and the public policy
consideration of meaningful interaction by the public with their
local representatives as required by the Government in the Sunshine
Law. This office has issued a number of opinions condoning the use
of electronic media technology when an absent member is physically
unable to attend a meeting due to medical treatment or physical
infirmity. The retirement board of the City of Coral Gables may use
electronic media technology in order to allow a physically absent
member to attend a public meeting if a quorum of the members of the
board is otherwise physically present at the meeting site. This
office has also suggested that local governmental entities may
conduct informal discussions and workshops over the Internet,
provided proper notice is given and interactive access by members of
the public is provided. However, those opinions specifically
recognize that where a quorum is necessary for action to be taken,
physical presence of the members making up the quorum is required in
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the absence of a statute providing otherwise.[20]
Accordingly, it is my opinion that the City of Coral Gables
retirement board is not authorized to promulgate a rule allowing the
use of electronic media technology in conducting board meetings and
providing that participation by a member of the board by electronic
media technology constitutes his or her physical presence for
purposes of establishing a quorum.
Sincerely,
Bill McCollum
Attorney General
BM/tgh
[1] Art. II, s. 50-82, Code of Ordinances of the City of Coral
Gables.
[2] Id. at s. 50-94.
[3] Supra n.l at s. 50-89.
[4] Supra n.1 at s. 50-90.
[5] See also Art. I, s. 24, Fla. Const., providing a right of access
to meetings of collegial public bodies. And see Frankenmuth Mutual
Insurance Company v. Magaha, 769 So. 2d 1012, 1021 (FIa. 2000),
noting that the Sunshine Law "is of both constitutional and
statutory dimension."
[6] See Wood v. Marston, 442 So. 2d 934, 938 (Fla. 1983); Canney v.
Board of Public Instruction of Alachua County, 278 So. 2d 260 (Fla.
1973); Board of Public Instruction of Broward County v. Doran, 224
So. 2d 693 (Fla. 1969).
[7] See, e.g., Ops. Att'y Gen. Fla. 99-53 (1999) and 01-66 (2001) .
[8] See Hough v. Stembridge, 278 So. 2d 288 (Fla. 3d DCA 1973)
(Sunshine Law applies to any gathering, whether formal or casual, of
two or more members of the same board or commission to discuss some
matter upon which foreseeable action will be taken by the board or
commission) .
[9] See, e.g., Op. Att'y Gen. Fla. 89-39 (1989), stating that a
board of county commissioners may use a computer network in the
course of conducting county business, but cautions that any
discussions between the members of the board via computer on issues
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'-a- ..~.
pending before the board would be subject to the provisions of s.
286.011, Fla. Stat.
[10] See Op. Att'y Gen. Fla. 01-66 (2001).
[11] See, e.g., Inf. Op. to John C. Randolph, dated November 24,
1997, and Ops. Att'y Gen. Fla. 01-66 (2001), 03-41 (2003), and 08-65
(2008).
[12] See, e.g.,Ops. Att'y Gen. Fla. 83-100 (1983), 89-39 (1989), and
01-66 (2001) .
[13] See n.8, supra.
[14] See Op. Att'y Gen. Fla. 98-28 (1998), recognizing that the
authorization in s. 120.54(5)(b)2., Fla. Stat., for the use of
communications media technology to conduct meetings applied only to
state agencies.
[15] Webster's New Universal Unabridged Dictionary p. 1588 (2003).
[16] Black's Law Dictionary p. 1284 (8th ed., 2004).
[17] Section 120.54(5)(b)2., Fla. Stat.
[18] An administrative agency possesses no inherent power and may
exercise only such authority as is expressly or by necessary
,implication conferred by law. See Lang v. Walker, 35 So. 78, 80
(Fla. 1903), Gessner v. DeI-Air Corporation, 17 So. 2d 522 (Fla.
1944), Ops. Att'y Gen. Fla. 2004-30, 86-46 (1986), 78-101 (1978), 75
-299 (1975), 71-28 (1971), 73 C.J.S. Public Administrative Law and
Procedure s. 50 (1983). Any reasonable doubt as to the lawful
existence of a particular power sought to be exercised by an
administrative agency must be resolved against the exercise thereof.
State ex rel. Greenberg v. Florida State Board of Dentistry, 297 So.
2d 628 (Fla. 1st DCA 1974), cert. dismissed, 300 So. 2d 900 (Fla.
1974); City of Cape Coral v. G.A.C. Utilities, Inc., of Florida, 281
So. 2d 493 (Fla. 1973).
[19] See Op. Att'y Gen. Fla. 98-22 (1998).
[20] See Ops. Att'y Gen. Fla. 01-66 (2001) and 02-82 (2002) .
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2010
FLORIDA COMMISSION ON ETHICS
GUIDE to the SUNSHINE AMENDMENT
and
CODE of ETHICS for Public Officers and Employees
Cheryl Forchilli, Chair
Tampa
Roy Rogers, Vice Chair
Lighthouse Point
Linda D. Conahan
Boca Raton
Larry R. Handfield
Miami
Frank Kruppenbacher
Orlando
Jean M. Larsen
Port St. Lucie
Michael D. Joblove
Cooper City
Albert P. Massey, III
Ft. Lauderdale
Robert J. Sniffen
Tallahassee
Philip C. Claypool
Executive Director
P.O. Drawer 15709
Tallahassee, FL 32317-5709
www. ethics.state.fl. us
(850)488-7864*
*Please direct all requests for information to this number.
~I~Nl7DGt l ~~~ p~h~l~ ~~c~J
~~~~~~
TABLE OF CONTENTS
I. HISTORY OF FLORIDA'S ETHICS LAWS ............................................................................ 1
II. ROLE OF THE COMMISSION ON ETHICS .......................................................................... 2
a
III. THE ETHICS LAWS ............................................................................................................... 2
A. PROHIBITED ACTIONS OR CONDUCT ....................................................................... .. 2
1. Solicitation or Acceptance of Gifts .............................................................................. .. 2
2. Unauthorized Compensation ....................................................................................... .. 3
3. Misuse of Public Position ............................................................................................ .. 3
4. Disclosure or Use of Certain Information ..................................................................... .. 3
5. Solicitation or Acceptance of Honoraria ...................................................................... .. 3
B. PROHIBITED EMPLOYMENT AND BUSINESS RELATIONSHIPS ............................. .. 4
1. Doing Business With One's Agency ........................................................................... .. 4
2. Conflicting Employment or Contractual Relationship ................................................. .. 4
3. Exemptions .................................................................................................................. .. 4
4. Additional Exemption .................................................................................................. .. 5
5. Lobbying State Agencies by Legislators .................................................................... .. 5
6. Employees Holding Office ........................................................................................... .. 5
7. Professional & Occupational Licensing Board Members ............................................ .. 5
8. Contractual Services: Prohibited Employment ............................................................ .. 6
9. Local Government Attorneys ....................................................................................... .. 6
C. RESTRICTIONS ON APPOINTING, EMPLOYING, AND CONTRACTING
WITH RELATIVES ........................................................................................................... ..6
1.Anti-Nepotism Law ........................................................................................................ 6
2. Additional Restrictions ................................................................................................. .. 6
D. POST OFFICEHOLDING & EMPLOYMENT (REVOLVING DOOR) RESTRICTIONS ... . 6
1.Lobbying By Former Legislators, Statewide Elected Officers,
and Appointed State Officers .......................................................................................... 6
2. Lobbying By Former State Employees ......................................................................... . 7
3. Additional Restrictions on Former State Employees .................................................... . 7
4. Lobbying By Former Local Government Officers and Employees ................................ . 8
E. VOTING CONFLICTS OF INTEREST .............................................................................. . 8
F. DISCLOSURES ................................................................................................................ .9
1. Form 1 -Limited Financial Disclosure .......................................................................... . 9
2. Form 1 F -Final Form 1 ................................................................................................. . 11
3. Form 2 -Quarterly Client Disclosure ............................................................................ . 11 ,
4. Form 6 -Full and Public Disclosure .............................................................................. . 12
5. Form 6F -Final Form 6 ................................................................................................. . 12
6. Form 9 -Quarterly Gift Disclosure ................................................................................ . 12 y
7. Form 10 -Annual Disclosure of Gifts from Governmental Entities and Direct
Support Organizations and Honorarium Event-Related Expenses ............................... . 12
8. Form 30 -Donor's Quarterly Gift Disclosure ................................................................. . 13
9. Forms 1 X and 6X -Amendments ................................................................................. . 14
IV. AVAILABILITY OF FORMS .................................................................................................... 14
V. PENALTIES ............................................................................................................................ 14
A. For Violations of the Code of Ethics ................................................................................... 14
B. For Violations by Candidates ............................................................................................. 14
C. For Violations by Former Officers and Employees ............................................................. 14
D. For Lobbyists and Others ................................................................................................... 15
y E. Felony Convictions: Forfeiture of Retirement Benefits ....................................................... 15
F. Automatic Penalties for Failure to File Annual Disclosure .................................................. 15
VI. ADVISORY OPINIONS ........................................................................................................... 15
A. Who Can Request an Opinion ............................................................................................ 15
B. How to Request an Opinion ................................................................................................ 15
C. How to Obtain Published Opinions .................................................................................... 16
VII. COMPLAINTS ......................................................................................................................... 16
A. Citizen Responsibility ......................................................................................................... 16
B. Confidentiality ..................................................................................................................... 16
C. How the Complaint Process Works .................................................................................... 16
D. Dismissal of Complaint at Any Stage of Disposition .......................................................... 17
E. Statute of Limitations .......................................................................................................... 17
VIII. EXECUTIVE BRANCH LOBBYING ........................................................................................ 17
IX. WHISTLE-BLOWER'S ACT .................................................................................................... 18
X. ADDITIONAL INFORMATION ................................................................................................ 18
XI. ONLINE TRAINING ................................................................................................................. 19
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.
1
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 constitutional officers and state officers and
employees;
• 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 laws 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.
Public Service Commission members and employees, as well as members of the P.S.C.
Nominating Council, are subject to additional ethics standards that are enforced by the
Commission on Ethics under Chapter 350, Florida Statutes. Further, members of the
governing boards of charter schools are subject to some of the provisions of the Code of
Ethics [see § 1002.33 (25), Florida Statutes], as are the officers, directors, chief executive
officers and some employees of business entities that serve as the chief administrative or
executive officer or employee of a political subdivision [See § 112.3136, Florida Statutes].
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.]
2
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.]
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, effective in 2006 and 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 or 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.]
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
3
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
1. 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, goods, 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)(a) & (b), Fla. Stat.]
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.
4
(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 appointing person or by atwo-thirds vote of the appointing body (after disclosure on
Commission 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 or 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 Office
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.]
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
5
member of a state examining or licensing board for the profession or occupation. [Sec.
112.313(11), Fla. Stat.]
8. Contractual Services: Prohibited Employment
A state employee of the executive or 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 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. POST OFFICE HOLDING AND 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.]
6
2. Lobbying by Former State Employees
Certain employees of the executive and legislative branches of State government 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 positions,
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 Government Accountability (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 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)(a)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.]
7
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 do not apply to PSC employees who were so 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 on 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 shall 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 voting conflict on Commission FORM 8B with the
meeting's recording officer within 15 days after the vote occurs disclosing 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 86) 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
8
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.]
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 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; nor 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.
1. 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
(4) All elected public officers (excluding congressional) 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;
9
(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; 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 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.
10
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 file 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.
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.]
11
4. FORM 6 -Full 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; 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 must file with the officer before whom 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 -Final Form 6 Full and 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.
6a 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 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 10 -Annual Disclosure of Gifts from Government Aaencies and Direct-Support
Oraanizations 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
12
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 July 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
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.
The disclosure must be filed by July 1, for expenses 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 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. [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: a political 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 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
13
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 1XAND 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 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.ethics.state.fl.us.
V. PENALTIES
A. Non-criminal 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 following 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 occurred prior to such officer's or
employee's leaving public office or employment may be subject to one or more of the following
14
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
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 on 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.
8. 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, un-ess 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.
15
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 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.ethics.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 stages
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.
16
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
be held. Public hearings usually are held in or near the area where the alleged violation occurred.
When the Commission concludes that a violation 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 At 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.]
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
17
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: 850/922-4987
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 II, 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 rules
are published, and in The Florida Administrative Law Reports, which until 2005 published
many of the Commission's final orders. The Commission's rules, orders, and opinions also are
available electronically on the Internet at www.ethics.state.fl.us.
18
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. See
www.iog.learnsomething.com for current fees. Bulk purchase arrangements, including state and
local government purchase orders, are available. For more information, visit
www.ethics.state.fl. us.
19
McWilliams, Lori
From: Bonni S. Jensen [bsjensen@perryjensenlaw.com]
Sent: Monday, January 04, 2010 5:17 PM
To: McWilliams, Lori
Cc: Angela Twomey; Karen Armenita
Subject: Re: Pension Plan Administrator
Lori,
There are two companies that I am familiar with who provide such services as a third party pension administrator.
http://www. resou rcecenters.com/
http://www.benefits-usa.net/index.cfm?Section=l&Pa~eNum=1
These companies charge based upon the work. For my clients they are between $200 to $3000 per month
Other Funds have their own in-house administrator, who is usually an independent contractor. These types of relation
ships are more expensive, but the administrator would work for only your plan. These individuals are harder to find as
well.
The benefits are that you have someone who knows pensions and their administration, has available forms, knows the
law and has contacts.
The downfall is the cost. For some municipalities there have been issues with dealing with a third party provider - lack of
control, for one. Most, however, are happy to have someone else responsible for the pensions.
Please take a look at the websites and give me a call if you have any questions.
Happy New Year!
PLEASE NOTE NEW EMAIL ADDRESS AND FIRM NAME
* EFFECTIVE IMMEDIATELY
Bonni S. Jensen <bsjensen@perryjensenlaw.com>
Law Offices of Perry & Jensen, LLC
400 Executive Center Drive, Suite 207
West Palm Beach, Florida 33401
Telephone: (561)686-6550
Facsimile: (561)686-2802
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1
~-f ~ sir ~n ~ r ~ ~- ~- I ~ ~ ~.~ 1 ~~ S ~--+~~ ~'~ /~o
McWilliams, Lori wrote:
Bonni,
I know we've discussed this issue briefly in the past, but would like to refresh my memory on your comments. What do
you think it would cost for the pension boards to hire an administrator to run the pension operations? What would be
the benefits versus the downfalls of hiring an administrator?
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