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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.
• Are federal agencies covered by the Sunshine Law?
Federal agencies operating in the state do not come under Florida's Sunshine law.
• Does the Sunshine Law apply to the Legislature?
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. Tnformation on the rules governing openness in the Legislature can be obtained from the
respective houses.
� Does the Sunshine Law apply to members-elect?
Members-elect of public boards or commissions are covered by the Sunshine law immediately upon
their election to public off ice.
• What qualifies as a meeting?
T'he 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 atiy gathering, whether formal or casuat, of
two or more members of the same board or commission to discuss some matter on wltich 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.
• Can a public agency hold closed meetings?
T'here 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 ineetings of
some agencies (usually state agencies) may be closed when those agencies are making probable cause
determinations or considering confidential records.
• Does the law require that a public meeting be audio taped?
There is no requirement under the Sunshine law that tape recordings be made by a public boaxd or
commission, but if they are made, they become public records.
• Can a city restrict a citizen's right to speak at a meeting?
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 representa.tive of each side of the issue speak rather than every one
present.
• As a private citizen, can i videotape a public meeting?
A public board may not prohibit a citizen from videotaping a public meeting through the use of
nondisruptive video recording devices.
• Can a board vote by secret ballot?
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
• Can two members of a public board attend social functions together?
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.
• What is a pnblic record?
The Florida Supreme Court has determined that public records are a11 materials made or received by an
agency in connection with officiai 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.
• Can I request public documents over the telephone and do I have to tell why I want them?
Nothing in the public records law requires that a request for public records be in writing or in person,
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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.
• How much can an agency charge for public documents?
The law provides tha.t 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 pubiic record. If the nature and volume of the records to be copied requires
e�rtensive 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.
• Does an agency have to ezplain why it denies access to public records?
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 sta.te in writing the reasons for concluding the record is exempt.
• When does a document sent to a public agency become a public document?
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.
• Are public employee personnel records considered public records?
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.
• Can an agency refuse to ailow public records to be inspected or copied if requested to do so by
the maker or sender of the documents?
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.
� Are arrest records public documents?
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.
• Is an agency required to give out information from public records or produce public records in a
particular form as requested by an individual?
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 accommoda.te a request for information.
� What agency can prosecute violators?
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.
• What is the difference between the Sunshine Amendment and the Sunshine Law?
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
• How can I find out more about the open meetings and public records laws?
Probably the most comprehensive guide to understanding the requirements and exemptions to Florida's
open government laws is the Government-in-the-Sunshine manual compiled by the Attorney General's
Office. The manual is updated each year and is available for purchase through the �irst Amendment
Foundation in Tallahassee. For information on obtaining a copy, contact the First Amendment
Foundation at (850) 224-4555.
3 of 4 12/1/2014 3:25 I
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Florida. Toll Free Numbers:
- Fraud Hotline 1-866-966-7226
- Lemon Law 1-800-321-5366
4 of 4 12/1/2014 3:25 P
FLORIDA COMMISSICJN ON
ETHICS
-,_-
�� �,
GUIDE to the
SUNSHINE AMENDMENT
and
CODE of ETHICS
for Public Officers and Ernployees
2014
State of Florida
COMMISSION ON ETHICS
Morgan R. Bentley, Chair
Sarasota
Michelle Anchors
Ft. Walton Beach
Matthew F. Carlucci
Jacksonville
I, Martin Ford
Vero Beach
Tom Freeman
DeBary
Susan Horovitz Maurer
Ft. Lauderdale
Linda M. Robison
Pompano Beach
Stanley Weston
Jacksonville
Virlindia Doss
Executive Director
P.O. Drawer 15709
Tailahassee, FL 32317-5709
www.ethics.state.fl. us
(850) 488-7864*
*Please direct a11 requests for information to this number.
TABLE OF CONTENTS
I. HISTORY OF FLORIDA'S ETHICS LAWS ............................................................................1
II. ROLE OF `I'�-IE COMI��IISSION ON ETHICS ...........................................................................1
III. TI� 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 Honorazia ............................................................................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 Sta.te 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
10 . Dual Public Employment ..................................................................................................6
C. RESTRICTIONS ON APPOINTING, EMPLOYING, AND C�NTRACTING
WITH RELATIVES ...............................................................................................................6
1. Anti Nepotism Law ........................................................................................... ................6
2. Additional Restrictions .......................................................................................................7
D. POST OFFICEHOLDING & EMPLOYMENT (REVOLVIl�iG DOOR) RESTRICTIONS......7
l.Lobbying By Former Legislators, Sta.tewide Elected Officers,
and Appointed State Officers ..............................................................................................7
2. Lobbying By Former State Employees ...................................................................
...........7
3. Additional Restrictions on Former State Employees .........................................................8
4. Lobbying By Former Local Government Officers and Employees ...................................8
E. VOTING CONFLICTS OF INTEREST ................................................................................8
F. DISCLOSURES .....................................................................................................................9
1. Form 1- Limited Financial Disciosure ..............................................................................9
2. Form 1F - Final Form 1 ......................................................................................................12
3. Form 2- Quarterly Client Disclosure .................................................................................12
4. Form 6- Futl and Public Disclosure ..................................................................................12
5. Form 6F - Final Form 6 ......................................................................................................13
6. Form 9- Quarterly Gift Disclosure ....................................................................................13
7. Form 10 - Annua.l Disclosure of Gifts from Governmental Entities and
Direct Support Organizations and Honorarium Event-Related Expenses .........................13
8. Form 30 - Donor's Quarterly Gift Disclosure ....................................................................14
9. Forms 1X and 6X — Amendments ......................................................................................15
IV. AVAILABII,ITY OF FORMS ...............................................................................................15
V. PENALTIES ...........................................................................................................................15
A. For Violations of the Code of Ethics .....................................................................................15
B. For Violations by Candiclates .................................................................................................15
C. For Violations by Former Officers and Employees ...............................................................16
D . For Lobbyists and Others .......................................................................................................16
E. Felony Convictions: Forfeiture of Retirement Benefits .........................................................16
F. Automatic Penalties for Failure to File Annual Disclosure ....................................................16
VI. ADVISORY OPIl�TIONS ........................................................................................................16
A. Who Can Request an Opinion ................................................................................................16
B. How to Request an Opinion ...................................................................................................17
C. How to Obta.in Published Opinions ........................................................................................17
VII COMPLAINTS ......................................................................................................................17
A. Citizen Involvement ...............................................................................................................17
B. Referrals .................................................................................................................................17
C . Confidentiality ..................................................................................................... .......17
D. How the Complaint Process Works .......................................................................................18
E. Dismissal of Complaint at Any Stage of Disposition .............................................................18
F. Statute of Limita.tions .............................................................................................................19
VIII. EXECUTIVE BRANCH LOBBYING ..................................................................................19
IX. WHIS`I'I.,E-BLOWER'S ACT ................................................................................................19
X. ADDITIONAL INFORMATION ..........................................................................................20
XI . ONLINE TRA]:NING .............................................................................................................20
FLORIDA COMMISSION ON ETHICS
GUIDE TO THE SUNSHINE AMENDMENT
and
CODE OF ETHfCS
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 citizens to protect the public trust against abuse. Our state Constitution was revised
in 7968 to require a code of ethics, prescribed by law, for all state employees and non judicial officers
prohibiting conflict between public duty and private interests.
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 is found in Chapter 112 (Part ftl) 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 o�cials conduat 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 viotations of the Code, were eliminated in 1974 in favor of
administrative enforcement. The Legislature created the Commission on Ethics that year "to senre as guardian
of the standards of conducY' for public officials, state and local. Five of the Commission's nine members are
appointed by the Governor, and tvuo 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 be lobbyist, or hold any public employment during their two-year terms of office. A chair
is seiected from among the members to serve a one-year term and may not succeed himself or herself.
11. ROLE OF THE COMMISSION ON ETHICS
In addition to its constitutiona{ duties regarding the investigation of complaints, the Commission:
• Renders advisory opinions to public officiats;
• Prescribes forms for public disclosure;
• Prepares mailing tists of public officials subject to financial disclosure for use by Supervisors of Elections
and the Commission in distributing forms and notifying delinquent filers;
1
• Makes recommendations to disciplinary officials when appropriate for violations of ethics and d'+sclosure
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; and,
• Administers automatic fines for public officers and employees who fai! to timely file required annuat financial
disclosure.
111. 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
have been simplified, in an effort 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 genera8y to all public o�cers 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 (PSC) members and emptoyees, as well as members of the PSC 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 schoots are subject to
some of the provisions of the Code of Ethics [Sec. 1002.33(26), Fla. Stat.], 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. [Sec. 112.3136, Fla. Stat.].
A. PROHIBITED ACTIONS OR CONDUCT
1. Solicitation and Accepfance 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, o�cial action, or judgment would be influenced by such gift.
[Sec. 112.313(2), Fla. Stat.j
Persons required to fife financial disclosure FORM 1 or FORM 6(see Part I11 F of this brochure), and state
procurement employees, are prohibited from soliciting any gift from a political committee, lobbyist who has
lobbied the official or his or her agency within the past 12 months, or the partner, firm, employer, or principal
of such a lobbyist or from a vendor doing business with the official's agency. [Sec. 112.3148, Fla. Stat.]
Persons required to file FORM 1 or FORM 6, and state procurement employees are prohibited from
directly or indirectly accepting a gift worth more than $100 from such a lobbyist, from a partner, firm,
employer, or principal of the lobbyist, or from a patitical committee or vendor doing business with their agency.
[Sec.112.3148, Fla. Stat.]
However, effective in 2006 and notwithstanding Sec. 112.3148, Fla. Stat., no Executive Branch lobbyist or
principal shall make, directly or indirectiy, and no Executive Branch agency official who files FORM 1 or
FORM 6 shal! knowingly accept, directly or indirectly, any expenditure made for the purpose of fobbying.
2
[Sec. 112.3215, Fla. Stat.] Typically, this would include gifts valued at less than $100 that formerly were
permitted under Section 112.3148, Fta. Stat. Similar rules apply to members and employees o# the
Legislature. However, these laws are not administered by the Commission on Ethics. [Sec. 11.045, Fla. Stat.j
Also, effective May 1, 2013, persons required to file Form 1 or Form 6, and state procurement employees
and members of their immediate families, are prohibited from accepting any gift f�om a political committee.
[Sec. 112.31485, Fla. Stat.j
2. Unauthorized Compensation
Public officers of employees, local government attorneys, and their spouses and minor chi{dren 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 ac#ion. [Sec. 112.313(4),
Fta. 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 or the resources thereof to obtain a special privilege or benefit for
themselves or others. [Sec. 112.313(6), Fla. Stat.]
4. Disc/osure or Use of Certain lnformation
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 position for the personat benefit
of themselves or others. [Sec. 112.313(8), Fla. Stat.]
5. Solicitation orAcceptance ofHonoraria
Persons required to fiie financial disclosure FORM 1 or FORM 6(see Part III F of this brochure), and state
procurement employees, are p�ohibited from soliciting honoraria related to their public offices or duties. [Sec.
112.3149, Fla. Stat.]
Persons required to file FORM 1 or FORM 6, and state procurement employees, are prohibited from
knowingly accepting an honorarium from a political committee, lobbyist who has lobbied the person's agency
within the past 12 months, or the partner, firm, employer, or principal of such a lobbyist, or from a vendor
doing business with fihe official's agency. 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 Itl F
of this brochure. [Sec. 112.3149, Fla. Stat.]
Lobbyists and their partners, firms, employers, and principals, as well as political committees and vendors,
are prohibited from giving an honorarium to persons required to file FORM 1 or FORM 6 and to state
procurement employees. Viotations of this law may result in fines of up to $5,Q00 and prohibitions against
lobbying for up to two years. [Sec. 112.3149, Fla. Stat.]
However, notwithstanding Sec. 112.3149, Fla. Stat., no Executive Branch or legislative lobbyist or principal
shall make, directly or indirectly, and no Executive Branch agency official who files FORM 1 or F�RM 6 shall
3
knowingly accept, directly or indirectly, any expenditure made for the purpose of lobbying. [Sec. 112.3215,
Fta. Stat.] This may include honorarium event related expenses that formerly were permitted under Sec.
112.3149, Fla. Stat. Similar rules apply to members and employees of the Legislature. However, these iaws
are not administered by the Commission on Ethics. (Sec. 11.045, Fla. Stat.]
B. PROHIBITED EMPLOYMENT AND BUSINESS RELATIONSHIPS
1. Doing Business With One's Agency
(a) A public emplayee acting as a purchasing agent, or public officer acting in an o�cial 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 or his or her spouse or child owns more than a 5% interest.
[Sec. 112.313(3), F1a. Stat.]
(b) A public officer or employee, acting in a private capacity, also is prohibited from renting, {easing, 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 Confractual Relationship
(a) A public o�cer 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), Fta. Stat.j
(b) A public officer or employee also is prohibited from holding any employment or having a contractual
relationshi� which will pose a frequently recurring conflict befinreen the official's private interests and public
duties or which will impede the full and faithful discharge of the o�cial's public duties. [Sec. 112.313(7), Fla.
Stat.]
(c) Limited exceptions to this prohibition have been crea#ed 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) and (b), Fla. Stat.]
3. Exemptions—Pursuanf to Sec. 912.313(92), Fla. Stat., 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 caunty.
(b) When the business is awarded by sealed, competitive bidding and neither the officiai nor his or her
spouse or chitd have 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 prio� 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 safe is for legal advertising, utilities service, or for passage on a common
carrier.
4
(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 suppiy within the political subdivision and there is full
disclosure of the o�cial's interest to the goveming body on Commission FORM 4A.
(fl 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 a two-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.
4. Additiona! Exemptions
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 indire�tly
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.] A qualified blind trust established pursuant to Sec. 112.31425, Fla. Stat., may afford
an official protection from conflicts of interest arising from assets placed in the trust.
5. Lobbying State Agencies By Legislators
A member o# the Legisla#ure is prohibited from representing another person or entity for compensation
during his or her term af office before any state agency other than judicial tribunals. [Art. II, Sec. 8(e), Fla.
Const., and Sec. 112.313(9), Fla. Stat.j
6. Employees Ho/ding O�ce
A public employee is prohibited from being a member of the governing body which serves as his or her
employe�. [Sec. 112.313(10), Fla. Stat.]
7. Professional and Occupationa! 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
5
licensing board for the profession or occupation. [Sec. 112.313(11), Fla. Stat.j
8. Contractual Services: Prohibited Employment
A state emp{oyee 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, ar auditing, regarding fiis 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. Loca/ Government Attomeys
Local government attorneys, such as the city attorney or county attorney, and their faw 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 o� 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),
Fta. Stat.]
10. Dual Pub/ic Employment
Candidates and elected officers are prohibited from accepting public employment if they know or should
know it is being oife�ed for the pu�pvse of influence. Furthe�, public employment may �ot be accepted unless
the position was already in existence or was created without the anticipation of the official's interest was
publicly advertised, and the officer had to meet the same qualifications and go through the same hiring
process as other applicants.
For elected public officers already holding public employment, no promotion given for the purpose of
influence may be accepted, nor may promotions that are inconsistent with those given other similarly situated
employees.
C. RESTRICTIONS ON APPOINTING, EMPLOYING, AND CONTRACTING WITH RELATIVES
?. Anti-Nepotism Law
A public o�cial is prohibited ftom seeking for a relative any appointment, employment, promotion or
advancement in the agency in which he or she is serving or over which the o�cial 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 inembers of collegial government bodies. NOTE: This
prohibition does not apply to school districts (except as provided in Sec. 1012.23, Fla. Stat.), community
colleges and state universities, or to appointments of boards, other than those with land-planning or zoning
responsibi{ities, in municipalities of fewer than 35,000 residents. 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, firefighting, or police service providers. [Sec. 112.3135, Fla. Stat.]
6
2. Additional Restrictions
A state employee of the executive or judicial branch 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, or his or her spouse, or 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, and also from lobbying the
executive branch. [Art. II, Sec. 8(e), Fla. Const. and Sec. 112.313(9), Fla. Stat.]
2. Lobbying by Former State Employees
Certain employees of the executive and legislative branches of state government are prohibited from
personalty representing another persan or entity for compensation before the
agency with which they were employed for a period of fin►o 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 empfoyed by the Department of the Lottery having authority over
policy or procurement.
(b) Persons serving in the foliowing position classifications: the Auditor General; the director of the Office
of Prog�am Policy Analysis and Goaernment Accoun#ability (OPPAGA); the Se�geant at A�ms and. Sec�etary
of the Senate; the Sergeant at Arms and Clerk of the House of Representatives; 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, legis(ative analyst, or attorney seroing 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 Parry Office, the House Majority Party Oifice, or the House Minority Party O�ce; 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
normatly 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 a defined employee pf 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 � as well as a civil penalty in an amount equal to the compensation which the person
7
received for the prohibited conduct. [Sec. 112.313(9)(a)5, Fla. Stat.]
3. Add+tianal Restrictions on Former State Employees
A former executive or judicial branch employee or PSC employee is p�ohibited from having employment or
a contractua! relationship, at any time after retirement or termination of employment, with any business entity
(other tha� a pubtic 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 fo�mer executive o� judicial b�anch employee or PSC employee who has reti�ed o� terminated
empfoyment 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 hy the agency head, a former executive or judicial branch employee or P�C 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 appiy to PSC employees who were so employed on or before Dec. 31, 1994.
4. Lobbying by Former Local Govemment Officers and Employees
A person elected to county, municipal, school district, o� 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 o#ficer for finro 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
State public officers are prohibited from voting in an official capacity on any measure which they know
wou{d inure to their own special private gain or loss. A state public officer who abstains, or who votes on a
measure 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 or sibling of a corporate principal by which he or she
is retained, of a relative, or of a business associate, must make every reasonable effort to fife a memorandum
of voting conftict with the recording secretary in advance of the vote. If that is not possible, it must be filed
within 15 days after the vote occurs. The memorandum must disclose the nature of the officer's interest in the
matter.
No county, municipal, or other local public officer shall vote in an official capacity upon any measure which
wouid 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 or
sibling of a corporate principal by which he or she is retained, of a relative, or of a business associate. The
officer must pub{icly 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
8
when voting in that capacity.
No appointed state or local o�cer shaU participate in any matter which would inure to the officer's special
private gain or loss, the special private gain or loss of any principai by whom he or she is retained, of the
parent organization or subsidiary or sibting 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 (Commissipn 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 pubticly at the next meeting.
If the conflict is unknow� or not disclosed p�io� to the meeting, the appointed official must orally disclose
the conflict at the meeting when the conflict becomes known. Also, a written memorandum of votirtg 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.]
A qualified blind trust established pursuant to Sec. 112.31425, Fla. Stat., may afford an official protection
from voting conflicts of interest arising from assets placed in the trust.
F. DISCLOSURES
Conflicts of interest may occur when public officials are in a position to make decisions that affect their
personal financial interests. This is why public officers and employees, as wefl as candidates who run for
pubi+c office, are required to publicly disclose their financial interests. The disclosure process serves to remind
officials of their obligation to put the pubtic 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 faltowing forms are described below to set forth the requirements of the various disclosures and the
steps for correctly providing the information in a time{y manner.
1. FORM 1 -! imited Financial Disclos�re
Who Must File:
Persons required to file FORM 1 include all state officers, local o�cers, candidates for local elective office,
and specified state employees as defined below (other than those o�cers 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.
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2) Appointed members of each board, commission, authority, or council having statewide jurisdiction,
excluding members of solely advisory bodies; but including judicial nominating commission members;
directors of Enterprise Florida, Sc�pps Florida Funding Corporation, and Workforce Florida, and members of
the Council on the Social Status of Black Men and Boys; and govemors and senior managers of Citizens
Property Insurance Corporation and Florida Workers' Compensation Joint Underwriting Association, board
members of the Northeast Florida Regional Transportation Commission, and members of the board of
Triumph Gulf Coast, Inc.
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.
LOCAL OFFlCERS include:
1) Persons elected to office in any potitical subdivision (such as municipalities, counties, and special districts)
and any person appointed to fill a vacancy in such ofFice, unless required to file full disclosure on Form 6.
2} Appointed members of the following boards, councils, commissions, authorities, or other bodies of any
county, municipality, school district, independent special district, or other political subdivision: the governing
body of the subdivision; a community college or junior college district board of trustees; a board having the
power to enforce local code provisions; a planning or zoning board, board of adjustments or appeais,
community redevelopment agency board, or other board having the power to recommend, create, or modify
land planning or zoning within the political subdivision, except for cifiizen advisory committees, technical
coordinating committees, and similar groups who only have the power to make recommendations to planning
or zoning boards; a pension board or retirement board empowered to invest pension or retirement funds or to
determine entitlement to or amount of a pension or other retirement benefit.
3) Any other appointed member of a local government board who is required to file a statement of financial
interests by the appointing authority or the enabling legislation, ordinance, or resolution creating the board.
4) Persons holding any of these positions in local government: mayor; county or city manager; chief
administrative employee or finance director of a county, municipality, or other political subdivision; county or
municipal attorney; chief county or municipal buiiding inspector; county or municipal water resources
coordinator; county or municipal pollution control director; county or municipal environmental control director;
county or municipal administrator with power to grant or deny a land development permit; chief of police; fire
chief; municipal clerk; appointed district school superintendent; community college president; district medical
examiner; purchasing agent (regardless of title) having the authority to make any purchase exceeding $20,000
for the local governmental unit.
5) Members of governing boards of charter schools operated by a city or other public entity.
6) The o�cers, directors, and chief executive officer of a corporation, partnership, or other business entity
that is serving as the chief administrative or executive officer or employee of a political subdivision, and any
business entity employee who is acting as the chief administrative or executive officer or employee of the
political subdivision. (Sec. 112.3136, Fla. Stat.]
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SPECIFIED STATE EMPLOYEE includes:
1) Employees in the Office of the Governor or of a Cabinet member who are exempt from the Career Service
System, excluding secretarial, clerical, and similar positions.
2) The following positions in each state department, commission, board, or council: secretary or state
surgeon general, assistant or deputy secretary, executive director, assistant or deputy executive director, and
anyone having the power normally conferred upon such persons, regardless of title.
3) The following positions in each state department or division: director, assistant or deputy director, bureau
chief, assistant bureau chief, and any person having the power normalfy conferred upon such persons,
regardless of title.
4) Assistant state attorneys, assistant pubtic defenders, criminal conflict and civil regiona! counsel, assistant
criminal conflict and civil regional counsel, public counsel, full-time state employees serving as counset or
assistant counsel to a state agency, judges of compensation claims, administrative law judges, and hearing
officers.
5) The superintendent or director of a state mental health institute established for training and research in the
mental health field, or any major state institution or facility established for corrections, training, treatment, or
rehabilitation.
6) State agency business managers, �nance and accounting directors, personnel officers, grant coordinators,
and purchasing agents (regardless of title) with power to make a purchase exceeding $20,000.
7) The following positions in legistative branch agencies: each employee (other than those employed in
maintenance, clerical, secretarial, or similar positions and legislative assistants exempted by the presiding
o�cer of their house); and each employee of the Commission on Ethics.
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 foans, insurance companies, and utility companies.
When to File:
CANDIDATES for elected local office must fiie 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 fite 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 �le prior to confirmation.
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Where to Fife:
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 Limi�d Financial Disclos �_
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- ��.�arterlv Client Discfos��re
The state officers, local o�cers, and specified state employees listed above, as well as elected
constitutional officers, must fife a FORM 2 if they or a partner or associate of their professionat firm represent
a cfient 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 govemment. 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 repo�table
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 OFFtCERS and SPECIFIED STATE EMPLOYEES file with the Commission on Ethics. [Sec.
112.3145(4), Fla. Stat.]
4. FORM 6- Ful! and Public Disclos�fre
Who Must File:
Persons required by law to file FORM 6 include all elected constitutional officers and candidates for such
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office; the mayor and members of the city council and candidates for these offices in Jacksonville; the Duvai
County Superintendent of Schools; judges of compensation claims (pursuant to Sec. 440.442, Fla. Stat.); and
members of the Florida Housing Finance Corporation Board and the Florida Prepaid Cotlege Board; and
members of expressway authorities, transportation authorities (except the Jacksonville Transportation
Authority), or toll authorities created pursuant to Ch. 348 or 343, or 349, or other general law.
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 fi{e 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, Ffa. Stat.]
5. FORM 6F - Fina/ Form 6 Full and Public DiMlos�!re
This is the disclosure form required to be filed within 60 days afte� 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- Quarterlv 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 �thics on the last day of any calenda� quarter
following the calendar quarter in which he or she received a gift worth more than $100, other than gifts from
relatives, gifts prohibited from being accepted, gifts primarily associated with his or her business or
employment, and gifts otherwise requi�ed 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 tMe gift provided by the donor. [Sec. 112.3148, Fla.
Stat.]
7. FORM 10 - Annc.�al Disclosc!re of Gifts from Govemment Aa _nr_►PC anr� n�rACt-��,���rt n,r�an; at,r,,,� ��•�
_Honoraric.�m Event Related Exnenses
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 more than $100 to a person required to file FORM 1 or FORM 6,
and to state procurement employees, if a public purpose can be shown fbr the gift. Also, a direct-support
organization for a governmental entity may give such a giR 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.
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The governmental entity or direat 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 �ling a statement by July 1 with his or her annual financial disciosure that
describes the gift and lists the donor, the date of the gift, a�d 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.]
tn 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.
The disclosure must be filed by July 1, for expenses received during the previous calendar year, with the
officer's or emptoyee's FORM 1 or FORM 6. State procurement emplqyees file their statements with the
Commission on Ethics. [Sec. 112.3149, Fla. Stat.j
However, notwithstanding Sec. 112.3149, Fla. Stat., no executive branch or legislative lobbyist or principal
shall make, directly or indirectly, and no exeeutive branch agency 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 or hortorarium event related expenses that formerly were permitted under Sections
112.3148 and 112.3149. [Sec. 112.3215, Fla. Stat.j Similar prohibitions apply to legislative o�cials and
empioyees. However, these laws are not administered by #he Commission on Ethics. [Sec. 11.045, Fla. Stat.]
In addition, gifts, which include anything nat primarily related to potitical activities authorized under ch. 106,
are prohibited from pofitical committees. [Sec. 112.31485 Fla. Stat.]
8. FORM 30 - Donor's Quarterlv Gift DisclocurP
As mentianed above, the foflowing persons and entities generally are prohibited from giving a gift worth
more than $100 to a reporting individual (a person required to file FORM 1 or FORM 6) or to a state
procurement employee; a political committee; a iobbyist who lobbies the reporting individual's or procurement
employee's agency, and the partner, firm, employer, or principal of such a lobbyist; and vendors, If such
per5on or entity makes a gift worth befinreen $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 a# the time the gift is made that it witl 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. tf 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 lobbyist or principal shall
make, directly or indirectly, and no executive branch agency official or employee who files FORM 1 or FORM
6 shall knowingly accept, directly or indirectly, any expenditur� made for the purpose of tobbying. This may
include gifts that formerly were permitted under Section 112.3148. [Sec. 192.3215, Fla. Stat.] Similar
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prohibitions apply to legislative officials and employees. However, these laws are not administered by the
Commission on Ethics. [Sec. 11.045, Fla. Stat.] In addition, gifts from political committees are prohibited. [Sec.
112.31485, Fla. Stat.]
9. FORM 1X AND FORM 6X - Amendmen�s to Form 1 and Form 6
These forms are provided for officers or emptoyees 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 fram
the Supervisor of Elections in the county in which they permanentiy reside not later than JUNE 1 of each year.
Newly elected and appointed officials or employees should contact the heads of their agencies for copies of
the form or download it from www.ethics.state.fl.us, as shoutd those persons who are required to fife their final
disclosure statements within 60 days of teaving 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 form or download it from
www.ethics.state.fl.us, 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 also obtain them 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-crimina! Penalties for Violation of the Sunshine Amendment and the Code of Ethics
There are no criminat penafties for violation of the Sunshine Amendment and fihe Code of Ethics. Penalties
for violation of these laws may include: impeachment, removal from office or employment, suspension, public
censure, reprimand, demotion, reduction in salary level, forteiture 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 ofi any pecuniary
benefits received, and triple the value of a gift from a political committee.
B. Penalties for Candidates
CANDIDATES for public office who are found in violation of the Sunshine Amendm�nt 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, and triple the value of a gift received from
a political committee.
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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 penalties: public censure and reprimand,
a civil penalty not to exceed $10,000, and restitution of any pecuniary benefits received, and triple the value of
a gift received from a political committee.
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 two years. Lobbyists, fiheir employers, principals, partners, and firms, and political
committees and committees of continuous existence who give a prohibited giff or hortorarium 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 finro years. Any agent or person acting on
behalf of a political committee giving a prohibited gift is personally liable for a civil penalty of up to triple the
value of the gift.
Executive Branch lobbying firms that fail to timeiy file their quarterly compensation reports may be fined
$50 per day per principal for each day the report is {ate, up to a maximum fine of $5,000 per report.
E. Felony Convicfions: 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. The affenses include embeulement 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.j
F. Automatic Penalties for Failure to File Annual Disclosure
Public officers and empfoyees required to file either Form 1 or Form 6 annual financiat 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 OPINIOIdS
Conflicts of interest may be avoided by greater awareness of the ethics laws on the part of public o�cials
and employees through advisory assistance from the Commission on Ethics.
A. Who Can Requesf an Opinion
Any public officer, candidate for public o�ce, or public employee in Florida who is in doubt about the
applicability of the standards of conduct or disclosure faws 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.
16
B. How to Request an Opinion
Opinions may be requested by letter presenting a question based on a real situation and including a
detailed descrip#ion 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 nama of the persons involved unless they consent to the use
of their names; however, the request and all information pertaining to it is a public record, made available to
the Commission and to members of the pubfic in advance of the Commission's consideration of the question.
C. How to Obtain Published Opinions
All of the Commission's opinions are available for viewing or download at its website:
www. eth ics. state.fl. u s.
VII. COMPLAINTS
A. Citizen lnvolvement
The Commission on Ethics cannot conduct investigations of alleged violations of the Sunshine Amendment
or the Code o# Ethics unless a person files a sworn complaint with the Commission alleging such violation has
occurred, or a referral is received, as discussed below.
lf 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 and available for downioad at www.ethics.state.fl.us. The Commission is
unable to take action based on learning of such misdeeds through newspaper reports, telephone calls, or
letters.
You can obtain a complaint form (FORM 50), by contacting the Commission office at the address or phone
number shown on the inside front cover of this booklet, or you can download it from the Commission's
website; www.ethics.state.fl.us.
8. Referrals
The Commission may accept referrals from: the Governor, the Florida Department of Law Enforcement, a
State Attorney, or a U.S. Attorney. A vote of six of the Commission's nine members is required to proceed on
such a referral.
C. Confidentiality
The complaint or referral, as well as all proceedings and records relating thereto, is eonfidential u�til the
accused requests that such records be made public or until the matter reaches a stage in the Commission's
proceedings where it becomes public. This means that unless fihe 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 or referral to members of the public or press, so long as the compfaint or referral remains in a
confidential stage.
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A COMPl.AINT OR REFERRAL MAY NOT BE FILED WITH RESPECT TO A CANDIDATE ON THE DAY OF
THE ELECTION, OR WITHIN THE 30 CALENDAR DAYS PRECEDIPIG THE ELECTION DATE, UNLESS IT IS
BASED ON PERSONAL INFORMATION OR INFORMATION OTHER THAN HEARSAY.
D. How the Complaint Process Works
Complaints which allege a matter within the Commission's jurisdiction are assigned a tracking number and
Commission staff forwards a copy of the original swom complaint to the accused within five working days of its
receipt. Any subsequent swom amendments to the complaint also are transmitted within five working days of
their receipt.
Once a complaint is filed, it goes through three procedural stages 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 fihe comptaint is #ound 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.
In cases of very minor financial disclosure violations, the official will be allowed an opportunity to correc# or
amend his or her disclosure form. Otherwise, if the complaint is found to be legally sufficient, a preliminary
investigation wilt 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 as to
whether there is probable cause to believe that there has been a violation of any of the ethics laws. (f 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 viofated and, if so,
whether a penatty should be recommended. At this stage, the accused has the right to request a pubfic hearing
(trial) at which evidence is presented or the Commission may order that such a hearing be hefd. Public
hearings usually are held in or near the area where the alieged violation occurred.
When the Commission concludes #hat 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 Commissian determines that a pefson has fiied a complaint with knowledge that the cpmplaint
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
fihey are not paid voluntarily within 30 days.
E. Dismissa! of Complaints At Any Sfage 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 senred 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.]
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F. Statute of Limitations
All swom complaints alleging a violation of the Sunshine Amendment or the Code of Ethics must be filed
with the Commission within five years of the alteged 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 swom complaint is filed with the Commission. If a complaint is filed and the statute of limitations has
run, the complaint will be dismissed. [Sec. 112.3231, Fla. Stat.]
VIII. EXECUTIVE BRA.tdCH 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 annuatly_ 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. [Sec. 112.3215, Fla. Stat.]
Paying an executive branch lobbyist a contingency fee based upon the outcome of any specific executive
branch action, a�d receiving such a fee, is prohibited. A violation of this p�ohibition is a�rst 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 Buitding
111 W. Madison Street
Taliahassee, FL 32399-1425
Phone: 850/922-4987
IX. WHISTLE-BLOWER'S ACT
In 1986, the Legislature enacted a"Whistte-blower's AcY' to protect employees of agencies and
government contractors from adverse personnel actions in retatiation for disclosing information in a sworn
complaint alleging certain types of improper activities. 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. Therefore, a person who has disclosed
19
information alleging improper conduct govemed by this law and wha 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 O�ce of the Govemor; the Department of Legal Affairs; the Florida Commission on Human
Reiations; 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 detaifed
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 111 of Chapter 112,
Florida Statutes.
Additional information about the Commission's #unctions 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 at www.ethics.state.fl.us.
If you are a public officer or employee concerned about your obligations under these laws, 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. TRAINING
Constitutional officers are required to receive a total of four hours training, per calendar year, in the area
of ethics, public records, and open meetings. The Commission on Ethics does not track compliance or certify
providers.
Through a project funded by the Florida Legislature, online training addressing Florida's Code of Ethics,
Sunshine Law, and Pubfic Recorcis Act is available. See www.iog.learnsomething.com for current fees. Bulk
purchase arrangements, incfuding state and local government purchase orders, are available. For more
information, visit www.ethics.state.fl.us.
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