Fla. Admin. Code Title 34 — Commission on Ethics

Chapter 34-5 REVIEW, INVESTIGATION AND HEARING OF COMPLAINTS

Fla. Admin. Code R. 34-5.0001 Scope and Applicability of Chapter

The rules in this Chapter 34-5, F.A.C., shall govern the receipt and disposition of all complaints concerning a breach of public trust under Article II, Section 8(f), Florida Constitution. These rules are the rules of procedures for the constitutional powers of the Commission on Ethics under that provision of the Constitution. On the effective date of this chapter, the rules of procedure of this chapter shall govern disposition of all complaints concerning breach of public trust heretofore received by the Commission, including those concerning violations of Part III of Chapter 112, F.S., and all complaints concerning breach of public trust received after the effective date of this chapter.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), Fla. Const., 112.322, 112.324 FS. History–New 7-13-80, Formerly 34-5.001.

Fla. Admin. Code R. 34-5.0005 Time Periods

In computing any period of time prescribed or allowed by these rules, by order of the Commission, the Chair, or another presiding officer, or by any applicable statute, the time period shall be calculated in accordance with Rule 28-106.103, F.A.C.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-5.0006 Filing and Serving Documents; Facsimile Transmissions

Pleadings and other documents under the rules of this chapter shall be filed and served in accordance with Rule 28-106.104, F.A.C., whether in paper or electronic form, and shall contain the information required by that rule.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-5.0008 Presiding Officer

For the purposes of Commission proceedings under this chapter, the presiding officer shall be the Chair of the Commission or, in the event the Chair is unavailable, the Vice Chair of the Commission.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 7-28-98.

Fla. Admin. Code R. 34-5.001 Staff Procedures Upon Receipt of a Complaint of Breach of Public Trust

(1) Upon receipt of a complaint, staff shall stamp on the face thereof the date on which the complaint was received in the Commission office.

(2) Technical and Clerical Review. Upon receipt of a complaint, the staff of the Commission shall review the complaint to insure that the proper complaint form has been used, that all the information required has been provided, that only one respondent has been named in each complaint form submitted, and that the complaint has been properly signed by the complainant under oath. One or more persons may sign a complaint under oath; however, when the complaint is to be filed under oath in a representative capacity in behalf of an incorporated association or group, the complaint shall include sufficient information to indicate the authority of the person signing the complaint to file such a complaint in behalf of the association or group. If the complaint lacks any of the foregoing, is otherwise incomplete, or alleges a matter or names a person not within the jurisdiction of the Commission on Ethics, the complaint shall be returned to the complainant identifying the defect. The staff shall provide assistance or information to persons seeking to file a complaint, but shall not encourage, solicit or discourage the filing of a complaint. If the complaint is filed in behalf of an unincorporated group or association, the person(s) signing the complaint will be considered to be the complainant(s) rather than the group or association.

(3) Each complaint which is not returned to the complainant shall be assigned a control number which shall be entered on the complaint itself and on a colored folder in which the complaint shall be filed so long as it remains confidential. Any document related to the complaint shall be entered into the complaint file.

(4) Transmittal of Complaint to Respondent. A copy of the original sworn complaint that passes Technical and Clerical Review shall be transmitted to the respondent by certified mail, return receipt requested, by the Commission staff within five days of its receipt. Subsequent sworn amendments to the complaint also shall be transmitted to the respondent within five days of their receipt. If the certified mailing is returned undelivered, personal service of the copy of the complaint may be used in the manner provided by law for service of subpoenas, while maintaining the confidentiality of the complaint to the extent possible under the circumstances.

(5) Unless the complaint is based upon personal information or information other than hearsay, a complaint against a candidate in a general, special, or primary election that is received within the thirty (30) calendar days immediately preceding the date of that election, including Saturdays, Sundays, and holidays, will be returned by the Executive Director to the person filing the complaint, with an explanation of why the complaint is being returned.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Sec. 8(f), (h), Fla. Const., Chapter 2013-36, Section 17, LOF, 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 11-9-77, 7-13-80, 11-26-80, 4-29-81, 2-21-83, Formerly 34-5.01, Amended 2-16-95, 10-29-13, 1-9-25.

Fla. Admin. Code R. 34-5.0015 Jurisdiction of the Commission

Article II, Section 8(f) Florida Constitution, requires the Commission on Ethics “to conduct investigations and make public reports on all complaints concerning breach of public trust by public officers or employees not within the jurisdiction of the judicial qualifications commission.” The rules of this chapter have been promulgated by the Commission to provide the practices and procedures under which the Commission shall exercise this constitutional function. A complaint concerning breach of public trust is any complaint, filed with the Commission in accordance with the rules of this chapter, which alleges that a public officer or employee has violated a provision of the State Constitution, or of Part III, Chapter 112, F.S., or any other statutory provision within the jurisdiction of the Commission. The rules of this chapter also have been promulgated by the Commission to provide the practices and procedures under which the Commission shall exercise its statutory function of investigating complaints of violations of the Code of Ethics for Public Officers and Employees contained in Part III, Chapter 112, F.S.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 9-21-77, Amended 7-13-80, Formerly 34-5.015, Amended 7-28-98, 11-24-15.

Fla. Admin. Code R. 34-5.002 Review for Sufficiency of Allegations of Breach of Public Trust and Order of Preliminary Investigation; Review of Allegations of Failure to Properly Complete Financial Disclosure Forms

(1) Legal Sufficiency Review. After a complaint has been subject to a Technical and Clerical Review, as described in Rule 34-5.001(2), F.A.C., and found to be in proper form, the complaint shall be reviewed by the Executive Director in order to determine whether the complaint is legally sufficient to allege a breach of public trust. Complaints need not be as precise as would be required by the rules of civil procedure in a court of law and shall be deemed sufficient if the complainant under oath upon knowledge or belief alleges matters which, if true, may constitute a breach of public trust, and the allegation of a breach of the public trust is based upon personal knowledge or information other than hearsay. In order to make this determination, the Executive Director may request additional information from the complainant and may obtain information from public records.

(2) Personal Knowledge or Information Other Than Hearsay. For an allegation to be considered legally sufficient, each element of the statute to be investigated, except elements pertaining to mental state, intent, or knowledge of an individual, must be supported by information in the complaint that is based on personal knowledge of the complainant or information other than hearsay.

(a) An allegation will be considered based on information other than hearsay so long as the evidence supporting the allegation is:

1. Information that is not hearsay;

2. Hearsay that is admissible under Sections 90.801 through 90.805, F.S. (e.g., the admission of a public officer); or

3. Hearsay that will likely be admissible under Sections 90.801 through 90.805, F.S. (e.g., a campaign treasurer report that would be admissible with the testimony of a records custodian, as provided by Section 90.803(6)(a), F.S.).

(b) In the case of a complaint filed in a representative capacity on behalf of an incorporated association or group, an allegation of a breach of public trust will be considered legally sufficient only if every element of the statute(s) to be investigated, except elements pertaining to the mental state, intent, or knowledge of an individual, is supported by information in the complaint that is based upon the personal knowledge of the person(s) signing the complaint, the personal knowledge of the individuals(s) who authorized the signing of the complaint, or information other than hearsay.

(c) A determination that a particular allegation in a complaint is legally sufficient to establish a breach of the public trust may be made even when other allegations in the complaint are determined not to be based upon personal knowledge or information other than hearsay.

(3) If the Executive Director finds that the complaint is legally sufficient, the Executive Director shall order an investigation of the complaint.

(4) If the Executive Director finds that the complaint is not legally sufficient, the complaint shall be brought before the Commission in executive session with the recommendations of the Executive Director. The Commission may find the complaint to be sufficient and order an investigation; may find the complaint to be insufficient, dismiss it, and notify the complainant that no investigation will be made; or may take such other action as may be appropriate. In any case where a complaint is found legally insufficient and dismissed, a summary of the reasons for dismissing the complaint together with the complaint itself and all documents related thereto shall become a public record and constitute a public report.

(5) Review of complaints alleging violation of Article II, Section 8(a) or (i), Florida Constitution, or Sections 112.3144 or 112.3145, F.S., due to errors or omissions on an annual CE Form 6 ‒ Full and Public Disclosure of Financial Interests, or CE Form 1 ‒ Statement of Financial Interests.

(a) Effective May 1, 2013, the Commission shall treat an amended annual CE Form 6 ‒ Full and Public Disclosure of Financial Interests, or CE Form 1 ‒ Statement of Financial Interests, filed prior to September 1 of the year in which the disclosure is or was due as the original filing, regardless of whether a complaint has been filed.

(b) If a complaint filed after May 1, 2013, alleges an error or omission on an annual CE Form 6 ‒ Full and Public Disclosure of Financial Interests, or CE Form 1 ‒ Statement of Financial Interests, the Executive Director shall determine whether the complaint contains any allegations other than allegations of an immaterial, inconsequential, or de minimis error or omission on the disclosure form. If the complaint contains no such allegations, the staff shall take no action on the complaint other than to notify the respondent of the complaint. If the respondent files an amended disclosure correcting the error or omission with the Commission within 30 days of the date the notice is mailed, no further action shall be taken. If the respondent does not file an amended disclosure correcting the error or omission with the Commission within 30 days of the date the notice is mailed, the procedures in subsections (1)-(3), above, shall be followed.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., Chapter 2014-183 Sections 3 and 4, LOF, 112.3144, 112.3145, 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, 1-12-82, Formerly 34-5.02, Amended 10-29-13, 10-19-14, 10-21-24.

Fla. Admin. Code R. 34-5.0025 Withdrawal of Complaints

After a complaint has been filed with the Commission, the Commission may permit the complainant(s) to withdraw the complaint only for good cause shown. Withdrawal shall be requested in writing, signed by the complainant(s) and witnessed by a notary public, stating the facts and circumstances constituting good cause. The Executive Director shall prepare a written recommendation regarding disposition of the request which shall be given to the Commission together with the request. “Good cause” shall be determined based upon the legal sufficiency or insufficiency of the complaint to allege a violation of the Code of Ethics or other breach of public trust, the stage in disposition of the complaint arrived at before the request was received, and the reasons given by the complainant(s) for wishing to withdraw the complaint. If withdrawal is permitted, the Commission shall order the complaint dismissed and shall proceed in accordance with Rule 34-5.002, F.A.C. as if the complaint had been found insufficient under that rule.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Sec. 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-21-83, Formerly 34-5.025.

Fla. Admin. Code R. 34-5.0028 Delegation of Authority

The Commission hereby delegates to its investigators the authority to administer oaths and affirmations, delegates the authority to issue subpoenas to its chair and, in the absence or unavailability of the chair, to its vice chair, and authorizes its employees to serve any subpoena issued under the Commission’s authority.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-5.003 Subpoenas During Preliminary Investigation

When an investigation of a complaint is ordered or at any time thereafter, upon recommendation of the Executive Director or upon motion of the Commission, the Commission Chair or other member authorized by the Commission may authorize the issuance of subpoenas or subpoenas duces tecum. Each subpoena shall be signed by the Chair or other member authorized by the Commission and shall state the person, documents, or other things to be subpoenaed. Each subpoena further shall name the person before whom the witness is to give testimony, and shall state in general terms the subject matter of the testimony to be elicited. If documents or other things are to be produced, the subpoena shall describe the same with as much specificity as reasonably practicable. The subpoena shall state clearly on its face that it is issued by the Commission on Ethics in accordance with its authority to investigate complaints of breaches of public trust. Such subpoenas shall be issued for investigative purposes only, and neither the complainant, the respondent, nor their counsel shall be entitled to attend the investigative proceeding at which the witness is to give a sworn statement unless the complainant or respondent is the person subpoenaed.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, 11-26-80, Formerly 34-5.03, Amended 2-19-91, 7-28-98.

Fla. Admin. Code R. 34-5.004 Investigations

(1) Commencement of Investigations. Investigations shall be initiated only as provided above in Rule 34-5.002, F.A.C., provided that information from public records may be obtained by staff prior to the ordering of an investigation to aid in the just and efficient resolution of a complaint. A preliminary investigation must be undertaken within 30 days after the receipt of a technically and legally sufficient complaint to determine whether there is probable cause to believe that a violation has occurred. A complainant may submit an amended complaint up to 60 days after the Commission receives the initial complaint. A probable cause determination is the conclusion of the preliminary investigation. The Commission shall complete the preliminary investigation, including the probable cause determination, no later than 1 year after the beginning of the preliminary investigation.

(2) Investigators. Investigation shall be conducted by Commission staff, by personnel of the Department of Legal Affairs, or by any other person or agency so designated by the Commission.

(3) Scope of Investigation. Investigations shall be limited to the allegations of the complaint, but shall include an investigation of all facts and persons materially related to the complaint at issue.

(4) Evidence of Wrongful Acts Unrelated to the Complaint. If during the course of an investigation evidence of a wrongful act not materially related to the complaint at issue is discovered by the investigator, such evidence shall be reported to the Commission in a separate investigator’s report. The wrongful act shall not be further investigated by the investigator in the absence of a complaint with respect thereto. Upon receipt of a separate investigator's report containing evidence of a wrongful act not materially related to the complaint at issue, the Commission shall: (a) as soon as practicable forward evidence of the commission of a crime to the appropriate law enforcement official; and (b) forward evidence of the commission of any other wrongful act to the appropriate disciplinary or law enforcement official as soon as practicable following the completion of the preliminary investigation. If upon independent investigation the appropriate disciplinary official wishes to file a complaint with the Commission he or she may do so and said complaint shall be received and considered by the Commission in the same manner as any other complaint.

(5) Investigator Contacts with Potential Witnesses. The investigator shall inform the person being interviewed of the confidential nature of the investigation and of the complaint, unless the respondent has waived confidentiality.

(6) Investigator to be Impartial. An investigator shall be impartial and unbiased in the conduct of the preliminary investigation. An investigator shall collect all evidence materially related to the allegations of the complaint, whether such evidence tends to prove or disprove the allegations. If the Commission determines that a public hearing shall be held, however, the investigator is responsible for assisting the Advocate in the proof of the allegations brought against the respondent. If an investigator feels that for any reason he or she cannot be impartial or unbiased during the preliminary investigation then such investigator shall so notify the Executive Director of the Ethics Commission and shall immediately discontinue working in the investigation. If the Commission feels that the investigator cannot be unbiased or impartial at any point of time during the preliminary investigation, the Commission shall terminate any further investigation by the investigator.

(7) Investigator’s Report. Upon the completion of the preliminary investigation, the investigator shall prepare a report to the Commission. The report shall contain a narrative account of all pertinent information obtained through interviews of witnesses, documentary evidence, or other sources and shall include a discussion of any conflicts in the evidence. The report shall not contain any determination or speculation with respect to whether the evidence indicates a breach of public trust. The report shall make no recommendations. A separate report shall be prepared in accordance with subsection (4), above, if necessary.

(a) An investigatory report must be completed no later than 150 days after the beginning of the preliminary investigation.

(b) If, at any one meeting of the Commission held during a given preliminary investigation, the Commission determines that additional time is necessary to adequately complete such investigation, the Commission may extend the time frame to complete the preliminary investigation by no more than 60 days. During such meeting, the Commission shall document its reasons for extending the investigation and transmit a copy of such documentation to the alleged violator and complainant no later than 5 days after the extension is ordered.

(8) Investigatory File. The investigator shall prepare an investigatory file to be maintained in the office of the Commission on Ethics, which file shall contain:

(a) Copies of all documents obtained during the course of the investigation;

(b) Tape recordings of interviews with witnesses and, if no recording is made, a summary of the interview;

(c) A list of the names and addresses of all persons actually interviewed;

(d) Any other relevant documents; and

(e) The investigator’s report(s) to the Commission.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, 1-12-82, Formerly 34-5.04, Amended 2-19-91, 1-9-25.

Fla. Admin. Code R. 34-5.0042 Investigation of Facts and Parties Materially Related to Complaint

History

• Rulemaking Authority Art. II, Sec. 8(f), (h), Fla. Const., 112.322(10), 120.53(1) FS. Law Implemented 112.322, 112.324 FS. History–New 4-29-81, Formerly 34-5.042, Repealed 2-16-95.

Fla. Admin. Code R. 34-5.0043 Investigation of Facts and Parties Materially Related to Complaint

The Commission has the duty to investigate all facts and parties materially related to the complaint at issue.

(1) Facts materially related to the complaint include facts which tend to show:

(a) A separate violation of Art. II, Sec. 8, Fla. Const. or the Code of Ethics by the respondent other than as alleged in the complaint and consisting of separate instances of the same or similar conduct by respondent as alleged in the complaint; or

(b) A separate violation of Art. II, Sec. 8, Fla. Const. or the Code of Ethics by the respondent from that alleged in the complaint which arises out of or in connection with the allegations of the complaint.

(2) Where facts materially related to the complaint are discovered by the investigator during the course of the investigation, the Executive Director shall order an investigation of them and the investigator shall include them in the investigative report. The Advocate may recommend and the Commission may order a public hearing as to those violations of the Code of Ethics which are indicated by such facts. From that point in the proceedings until final disposition of the complaint, such facts shall be treated as if they were initially alleged in the complaint at issue.

(3) A party materially related to the complaint means:

(a) Any other public officer or employee within the same agency as the respondent who has engaged in the same conduct as that alleged against the respondent in the complaint at issue; or

(b) Any other public officer or employee who has participated with the respondent in the alleged violation as a coconspirator or an aider and abettor.

(4) Whenever the investigation of the complaint at issue indicates the existence of a party materially related to the complaint, the Executive Director shall order an investigation of that party. The investigator shall maintain a separate investigatory file and prepare a separate investigative report, neither of which shall be made available to the complainant or to the original respondent. Separate proceedings from the original complaint at issue shall be commenced against such a party, who shall be deemed a “respondent,” by sending to that person a copy of the Executive Director’s order to investigate. From the date the investigation is ordered until final disposition of the matter, the charges against such a party (respondent) shall be treated as if they had been included in a complaint filed against such party. A separate public hearing shall be held on the matter unless consolidation with the original complaint is ordered as provided in Rule 34-5.016, F.A.C.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 2-16-95, Amended 7-30-00.

Fla. Admin. Code R. 34-5.0045 Counsel

(1) Respondent. Respondent may appear on his or her own behalf or may be represented by a lawyer or other qualified representative. All notices and communications to a respondent represented by a lawyer or qualified representative shall be made through the respondent’s lawyer or qualified representative.

(2) Advocate. The Advocate presenting the matter before the Commission shall be an Assistant Attorney General or another attorney designated by the Commission as Advocate. The Advocate represents the Commission in its prosecutorial function.

(3) Complainant. To the limited extent the complainant is entitled to participate or observe Commission proceedings, the complainant may be represented by legal counsel or other qualified representative. All notices and communications to a complainant represented by a lawyer or qualified representative shall be made through complainant's lawyer or qualified representative.

(4) Appearances. Appearances by counsel or other qualified representatives shall be governed by Rules 28-106.105 and 28-106.106, F.A.C. The qualifications of a representative shall be determined in accordance with Rule 28-106.106, F.A.C. Qualified representatives shall observe the standards of conduct specified in Rule 28-106.107, F.A.C.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324, 120.62(2) FS. History–New 7-13-80, Formerly 34-5.12, 34-5.045, Amended 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-5.005 Motions to Dismiss for Lack of Jurisdiction

Within a reasonable time before the hearing specified in Rule 34-5.006, F.A.C. is to be held, respondent may file with the Commission a written motion to dismiss the complaint for lack of jurisdiction which motion shall state with particularity the grounds therefor. The respondent shall simultaneously serve a copy of any such motion upon the Advocate. The Commission shall hear arguments of the respondent and Advocate on such motion prior to the hearing on the complaint specified in Rule 34-5.006, F.A.C. If the Commission finds that it has jurisdiction over matters alleged in the complaint, it shall deny respondent’s motion with respect to those allegations and shall proceed to the hearing. If the Commission finds that it has no jurisdiction over matters alleged in the complaint, it shall order the complaint dismissed with respect to those allegations and shall proceed in accordance with Rule 34-5.002, F.A.C. as if such allegations had been found insufficient under that rule.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.05.

Fla. Admin. Code R. 34-5.006 Probable Cause Determination

(1) Notification of Completion of Investigation. When the investigator’s report is completed, the Executive Director shall notify the respondent that the report is completed and shall send to the respondent a copy of the investigator’s report and a copy of the Executive Director’s order to investigate. The investigatory report must be transmitted to the alleged violator no later than 5 days after completion of the report. The investigatory file and main complaint file shall be open for inspection by the respondent and the respondent’s counsel at that time, and copies may be obtained at no more than cost.

(2) Time to Review Report. The respondent shall be given not less than 14 days from the date of mailing of the investigator’s report, within which time to file with the Commission a written response to the investigator’s report. This time period may be shortened with the consent of the respondent, or without the consent of the respondent when the passage of time could reasonably be expected to render moot the ultimate disposition of the matter by the Commission so long as reasonable notice under the circumstances is given.

(3) Advocate’s Recommendation. The investigatory report must be transmitted to the counsel representing the Commission (the Advocate) no later than 5 days after completion of the report. The Advocate shall review the investigator's report and make a written recommendation to the Commission for disposition of the complaint no later than 15 days after he or she receives the completed investigatory report. The Advocate's shall review the investigator’s report and shall make a written recommendation to the Commission for the disposition of the complaint must include a statement of what charges shall be at issue at the probable cause hearing. A copy of the recommendation must be transmitted shall be furnished to the respondent no later than 5 days after its completion. The respondent shall be given 14 days from the date of mailing of the Advocate’s recommendation to file with the Commission a written response to the recommendation. This time period may be shortened with the consent of the respondent, or without the consent of the respondent when the passage of time could reasonably be expected to render moot the ultimate disposition of the matter by the Commission, so long as the recommendation is furnished to the respondent within a reasonable period of time under the circumstances.

(4) Notice of Probable Cause Hearing and Right to Attend. Upon receipt of the Advocate's recommendation, the Commission shall schedule a probable cause hearing for the next Commission meeting for which notice requirements can be met. The respondent, the complainant(s), their counsel, and the Advocate shall be permitted to attend the hearing at which the probable cause determination is made. Notice of the probable cause hearing shall be sent to the respondent, complainant(s), and Advocate at least 14 days before the hearing. This time period may be shortened with the consent of the respondent, or without the consent of the respondent when the passage of time could reasonably be expected to render moot the ultimate disposition of the matter by the Commission, so long as the notice is furnished within a reasonable period of time under the circumstances.

(5) Scope of Probable Cause Determination. The probable cause determination is the conclusion of the preliminary investigation. The respondent and the Advocate shall be permitted to make brief oral statements in the nature of oral argument to the Commission, based on the investigator’s report, before the probable cause determination. The Commission’s determination shall be based upon the investigator’s report, the Advocate’s recommendation, the complaint, and staff recommendations, as well as any written statements submitted by the respondent and any oral statements made at the hearing. No testimony or other evidence will be accepted at the hearing.

(6) Probable Cause Determination. At its meeting to determine probable cause, the Commission may continue its determination to allow further investigation; may order the issuance of a public report of its investigation if it finds no probable cause to believe that a violation of the Code of Ethics or other breach of public trust has occurred, concluding the matter before it; may order a final, public hearing of the complaint if it finds probable cause to believe that a violation of the Code of Ethics or other breach of public trust has occurred; or may take such other action as it deems necessary to resolve the complaint, consistent with due process of law. In making its determination, the Commission may consider:

(a) The sufficiency of the evidence against the respondent, as contained in the investigator’s report;

(b) The admissions and other stipulations of the respondent, if any;

(c) The nature and circumstances of the respondent’s actions;

(d) The expense of further proceedings; and

(e) Such other factors as it deems material to its decision. If the Commission orders a public hearing of the complaint, the Commission shall determine what charges shall be at issue for the hearing.

(7) Finding of Probable Cause. If the Commission finds probable cause to believe a breach of the public trust has been committed, it must transmit a copy of the order finding probable cause to the complainant and the alleged violator no later than 5 days after the date of the probable cause determination.

(a) Upon request submitted to the Commission in writing, any person whom the Commission finds probable cause to believe has committed a violation is entitled to a public hearing and may elect to have the formal administrative hearing conducted by an administrative law judge in the Division of Administrative Hearings.

(b) If the person does not elect to have a formal administrative hearing by an administrative law judge, the person is entitled to have an informal hearing conducted before the Commission.

(c) Such person is deemed to have waived the right to a formal or informal public hearing if the request is not received within 14 days of the mailing date of the probable cause notification.

(d) If the Commission conducts an informal hearing, it must be held no later than 75 days after the date of the probable cause determination.

(e) If the Commission refers a case to the Division of Administrative Hearings for a formal hearing and subsequently requests that the case be relinquished back to the Commission, or if the administrative law judge assigned to the case relinquishes jurisdiction back to the Commission before a recommended order is entered, the Commission must schedule the case for additional action at the next Commission meeting for which notice requirements can be met. At that Commission meeting, the Commission must complete final action on such case.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, 2-21-83, 11-14-85, Formerly 34-5.06, Amended 2-19-91, 7-7-91, 7-5-92, 7-28-98, 9-4-12, 1-9-25.

Fla. Admin. Code R. 34-5.007 Notification of Manner of Disposition

Upon the Commission’s ordering a public hearing of a complaint or a public report, as provided in Rule 34-5.006, F.A.C. the Executive Director shall so notify the complainant and the respondent in writing. The complainant also shall be provided with a copy of the report of investigation and of the Advocate’s written recommendation.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.07, Amended 2-19-91, 7-5-92, 7-28-98.

Fla. Admin. Code R. 34-5.0075 Amendments to Charges at Public Hearing

History

• Rulemaking Authority Art. II, Sec. 8(f), (h), Fla. Const., 112.322(10), 120.53(1) FS. Law Implemented Art. II, Sec. 8(f), (h), Fla. Const. History–New 4-29-81, Formerly 34-5.075, Repealed 2-16-95.

Fla. Admin. Code R. 34-5.008 Confidentiality

(1) Except as otherwise provided in these rules, the complaint and all staff and Commission activities, proceedings, and documents relating to the complaint shall be confidential until either:

(a) Confidentiality is waived in writing by the respondent; or

(b) The Commission orders the complaint dismissed, as provided in Rule 34-5.002, F.A.C.; or

(c) The Commission orders a public report, or a public hearing, as provided in Rule 34-5.006, F.A.C. When confidentiality is waived, the Commission orders the complaint dismissed, or the Commission orders a public report or a public hearing, all materials relating to the complaint shall become public records available to the public as provided in Chapter 119, F.S., except to the extent the materials are otherwise exempted from disclosure under the public records law.

(2) For the purposes of this rule, the Commission shall be deemed to have ordered a dismissal of the complaint, a public report, or a public hearing at the time the written order or document evidencing that action is filed with the Commission Clerk, rather than at the time the Commission has so voted.

(3) The confidentiality provided by this rule shall not prohibit the Commission or its staff from advising the respondent or the complainant about the status of the complaint proceeding.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 2-5-76, Formerly 34-1.07, Amended 4-11-76, 4-7-77, 9-21-77, 7-13-80, 10-3-84, Formerly 34-5.08, Amended 2-19-91, 7-5-92, 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-5.009 Waiver of Public Hearing

History

• Rulemaking Authority Art. II, Sec. 8(f), (h), Fla. Const., 120.53(1) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-11-76, Amended 4-7-77, Formerly 34-5.09, Repealed 7-13-80.

Fla. Admin. Code R. 34-5.010 Public Hearings

Public hearings may be conducted by the full Commission, by a single Commission member, or by the Division of Administrative Hearings, as directed by the Chair of the Commission after considering the Commission’s workload. The Commission may refer the matter by letter to the Division of Administrative Hearings for the appointment of an administrative law judge. Public hearings held before the Commission or its members shall be governed by the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C. Proceedings before the Commission after the public hearing shall be governed by the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C., if one of the rules of that chapter is applicable, and, if not, by the rules of this chapter.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.10, Amended 2-19-91, 7-28-98.

Fla. Admin. Code R. 34-5.011 Parties to Public Hearings

The person accused of breach of public trust shall be the respondent. Respondent shall be the only party unless consolidation of complaints is granted. The Advocate shall be a full participant in the proceeding and shall present all the evidence relevant to the cause that was produced by the preliminary investigation and such additional evidence as may be obtained through discovery or further investigation.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.11, Amended 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-5.012 Counsel

History

• Rulemaking Authority Art. II, Sec. 8(f), (h), Fla. Const., 120.53(1) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-11-76, Formerly 34-5.12, Repealed 7-13-80.

Fla. Admin. Code R. 34-5.013 Notice of Public Hearing

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.13, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.014 Hearing Panels

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.14, Amended 2-19-91, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.016 Consolidation of Cases

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.16, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.017 Disqualification of Commission Members

(1) Commission members shall be disqualified from sitting as a member of the Commission at either the probable cause hearing or the final public hearing for bias, prejudice, or interest. Disqualification may be raised by a party, by the Advocate, or by any member, but not by the complainant.

(2) Unless good cause is shown, all motions for disqualification shall be filed with the Commission at least 5 days prior to the hearing at which the member is expected to participate. The motion shall be accompanied by an affidavit stating the particular grounds.

(3) Unless denied as untimely, the motion shall be ruled on by the Commission member whose disqualification is sought; the ruling shall be based on the legal sufficiency of the motion and affidavit. If the motion and affidavit are found legally sufficient, the member shall disqualify himself or herself.

History

• Rulemaking Authority Art. II, Section 8(f), (h), Fla. Const., 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.17, Amended 2-16-95.

Fla. Admin. Code R. 34-5.0171 Ex Parte Communications

(1) A commission member shall not initiate nor consider any ex parte communication relative to the merits of a pending complaint proceeding by:

(a) A public employee or official engaged in prosecution or advocacy in connection with the matter;

(b) A party to the proceeding or any person who, directly or indirectly, would have a substantial interest in the proposed action of the Commission, or his or her authorized representative or counsel; or

(c) A complainant or any other individual who has personal knowledge of the facts underlying the proceeding, or his or her authorized representative or counsel.

Nothing in this subsection shall apply to advisory staff members who do not testify on behalf of the Commission in the proceeding or shall prohibit Commission members who are contacted by any of the above persons from referring them to Commission staff or the Commission Advocate.

(2) A commission member who receives such an ex parte communication shall place on the record of the matter all written communications received, all written responses to such communications, and a memorandum stating the substance of all oral communications received and all oral responses made, and shall also advise all parties that such matters have been placed on the record. Any party, including the Advocate, desiring to rebut the ex parte communication shall be allowed to do so, if a request for the opportunity for rebuttal is made within 10 days after notice of the communication.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 11-26-80, Formerly 34-5.171, Amended 2-16-95.

Fla. Admin. Code R. 34-5.018 Subpoenas for Public Hearing

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.18, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.0181 Subpoenas for Discovery; Discovery

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 7-13-80, Amended 11-26-80, Formerly 34-5.181, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.0183 Motions

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 11-26-80, Formerly 34-5.183, Amended 2-16-95, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.0184 Motions in Opposition to Proceeding

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 11-26-80, Formerly 34-5.184, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.0185 Prehearing Conferences

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 9-21-77, Amended 7-13-80, 11-26-80, Formerly 34-5.185, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.0186 Exchange of Witness Lists

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 1-12-82, Formerly 34-5.186, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.019 Procedures for Public Hearings

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 7-13-80, 11-29-83, Formerly 34-5.19, Amended 2-19-91, 2-16-95, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.020 Stipulations, Settlements, and Consent Orders

Informal disposition of the complaint may be made of any proceeding by stipulation, agreed settlement, or consent order between the Advocate and the Respondent, upon approval of the Commission in a public meeting, so long as a public report is made.

(1) The Advocate is not required to present or propose to the Commission a stipulation, settlement, or consent order offer from the Respondent unless the Advocate agrees to the terms of the offer.

(2) Commission staff shall send to the complainant a copy of the proposed stipulation, settlement, or consent order, notify the complainant of the meeting at which the Commission will consider the proposed stipulation or order, and advise the complainant that any written response to the proposed stipulation or order submitted by the complainant will be provided to the Commission for its consideration. If the complainant files a written response, a copy of it will be provided to the Respondent and the Advocate by Commission staff.

(3) At least two-thirds of the members of the Commission present at a meeting must vote to reject or deviate from a stipulation or settlement that is recommended by the Advocate.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const. 112.322, 112.324 FS. History–New 7-13-80, Formerly 34-5.20, Amended 2-16-95, 7-28-98, 1-9-25.

Fla. Admin. Code R. 34-5.0205 Motions to Dismiss Filed by Advocate

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 2-16-95, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.021 Public Report by Full Commission, Single Commission Member or Three-Member Panel of Commissioners, Generally

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.21, Amended 2-16-95, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.022 Recommended Public Report and Recommended Order by Single Commission Member, DOAH Hearing Officer, or Panel of Three Commission Members

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.22, Amended 2-19-95, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.023 Exceptions to Recommended Public Report or Recommended Order

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 2-16-95, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.024 Action on Recommended Public Report or Recommended Order by the Full Commission

(1) Where the hearing has been conducted by a single Commissioner or DOAH administrative law judge, the meeting of the full Commission to consider the recommended public report shall not be an evidentiary “hearing.” No new evidence shall be taken.

(2) As the complainant is not a party, the complainant is not entitled to address the Commission either orally or in writing in response to the recommended order.

(3) In order to assist the Commission in evaluating any exceptions that may have been filed, Commission staff may provide a draft final order analyzing the exceptions. If one is drafted, copies shall be provided to the respondent and the Advocate prior to the final hearing.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 2-16-95, Amended 7-28-98, 7-30-00.

Fla. Admin. Code R. 34-5.025 Transmittal of Public Report

The public report shall be signed by the Chair, shall be transmitted by mail to the respondent and complainant, and shall be made available to the public.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.25, Amended 7-28-98.

Fla. Admin. Code R. 34-5.026 The Record

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, 11-26-80, Formerly 34-5.26, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.027 Prehearings

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-11-76, Amended 4-7-77, Formerly 34-5.27, Repealed 7-13-80.

Fla. Admin. Code R. 34-5.028 Waiver of Rules

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 9-21-77, 7-13-80, Formerly 34-5.28, Repealed 7-28-98.

Fla. Admin. Code R. 34-5.029 Award of Attorney’s Fees in Complaints Filed Before January 1, 1995

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 4-7-77, Amended 7-13-80, 6-10-81, Formerly 34-5.29, Amended 2-19-91, 2-16-95, 7-28-98, Repealed 7-30-00.

Fla. Admin. Code R. 34-5.0291 Award of Attorney’s Fees

(1) If the Commission determines that a person has filed a complaint against a public officer or employee or a candidate for public office with a malicious intent to injure the reputation of such officer or employee or candidate by filing the complaint with knowledge that the complaint contains one or more false allegations or with reckless disregard for whether the complaint contains false allegations of fact material to a violation of the Code of Ethics, the complainant shall be liable for costs plus reasonable attorney’s fees incurred in the defense of the person complained against, including the costs and reasonable attorney’s fees incurred in proving entitlement to and the amount of costs and fees.

(2) The Commission shall make such a determination only upon a petition for costs and attorney’s fees filed with the Commission by the public officer or employee or candidate for public office complained against within 30 days following a dismissal of the complaint. Such petition shall state with particularity the facts and grounds which would prove entitlement to costs and attorney’s fees and shall include the amount of such costs and attorney’s fees expended by, or on behalf of, such petitioner through the date of the filing of the petition. Staff shall forward a copy of said petition to the complainant by certified mail, return receipt requested.

(3) If the facts and grounds alleged in the petition are not sufficient to state a claim for costs and reasonable attorney’s fees, the Commission shall dismiss the petition after an informal proceeding. If the Commission determines that the facts and grounds are sufficient, the Chair after considering the Commission’s workload, shall direct that the hearing of the petition be held before the Division of Administrative Hearings, the full Commission, or a single Commission member serving as hearing officer. Commission hearing officers shall be appointed by the Chair. The hearing shall be a formal proceeding under Chapter 120, F.S., and the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C. All discovery and hearing procedures shall be governed by the applicable provisions of Chapter 120, F.S. and Chapter 28-106, F.A.C. The parties to the hearing shall be the petitioner (i.e., the public officer or employee or candidate for public office who was the respondent in the complaint proceeding) and the complainant(s), who may be represented by legal counsel.

(4) The petitioner has the burden of proving the grounds for an award of costs and attorney’s fees.

(5) If the petition is heard by the full Commission, it shall direct staff to prepare an order complying with Chapter 120, F.S., incorporating its findings and either granting or denying the petition. The draft of that order shall be modified or adopted at the next Commission meeting.

(6) If the petition is heard by a Commission hearing officer or, DOAH administrative law judge, in order to assist the Commission in evaluating any exceptions that may have been filed, Commission staff will provide a draft final order analyzing the exceptions. Copies shall be provided to the parties prior to the final hearing.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.317(7), 112.322, 112.324 FS. History–New 2-16-95, Amended 7-28-98, 7-30-00, 9-4-12, 10-21-24.

Fla. Admin. Code R. 34-5.030 Enforcement of 1977 Disclosure Deadline

History

• Rulemaking Authority Art. II, Section 8(f), (h), Fla. Const., 120.53(1) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322, 112.324 FS. History–New 9-21-77, Formerly 34-5.30, Repealed 7-13-80.

Fla. Admin. Code R. 34-5.031 Substantial Compliance With Deadline for Filing Financial Disclosure

History

• Rulemaking Authority 112.322(10) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.3145, 112.317, 112.324 FS. History–New 9-21-77, Amended 7-13-80, Formerly 34-5.31, Amended 2-16-95, Repealed 7-28-98.

Chapter 34-6 ADVISORY OPINIONS

Fla. Admin. Code R. 34-6.001 General

The Commission on Ethics is authorized to render advisory opinions about the application of the Sunshine Amendment (Article II, Section 8, Florida Constitution), of the Code of Ethics for Public Officers and Employees (Part III, Chapter 112, F.S.), and of Sections 350.031, 350.04, 350.041 and 350.042, F.S. If a person does not have standing to receive an advisory opinion from the Commission, but would have standing to receive a declaratory statement, or if the Commission does not have the authority to render an advisory opinion, but would have the authority to render a declaratory statement, the Commission may issue a declaratory statement.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3215(12), 112.322(3), 350.041(4), 350.043 FS. History–New 4-11-76, Amended 9-21-77, Formerly 34-6.01, Amended 8-7-94, 7-28-98.

Fla. Admin. Code R. 34-6.002 Persons Who May Receive an Advisory Opinion ‒ Standing

(1) A public officer, candidate for public office, or public employee may request an advisory opinion about how Art. II, Sec. 8, Fla. Const., or the Code of Ethics applies to his or her own situation.

(2) A public officer or employee having the power to hire or terminate employees may request an advisory opinion about how the Code of Ethics applies to any such employee or applicant for employment. A public officer having the authority to appoint a person to public office may request an advisory opinion under the Code of Ethics with respect to any such person; where an appointment is made by a commission, council, or board rather than by an individual public officer, the commission, council, or board may request an advisory opinion with respect to any such appointee.

(3) A former public officer or employee may request an advisory opinion concerning any provision of the Code of Ethics or the Sunshine Amendment which might apply to him or her in a post-office holding or post-employment context.

(4) A member of the Public Service Commission or of the Florida Public Service Commission Nominating Council may request an advisory opinion from the Commission as provided in Sections 350.041 and 350.043, F.S.

(5) Any person may request an advisory opinion concerning the applicability and interpretation of Section 112.3215, F.S., to himself or herself in a particular context.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3215(12), 112.322(3), 350.041(4), 350.043 FS. History–New 4-11-76, Amended 9-21-77, 1-23-78, 7-2-80, Formerly 34-6.02, Amended 8-7-94, 7-28-98, 11-24-15.

Fla. Admin. Code R. 34-6.003 Subject Matter of Advisory Opinions

Advisory opinions may be rendered only with respect to the interpretation and applicability of Article II, Section 8, Florida Constitution, of Part III, Chapter 112 or Sections 16.71, 16.715, 350.31, 350.04, 350.041, 350.042, and 350.0605, F.S.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 16.715(1)(d), 112.3215(12), 112.322(3), 350.041(4), 350.043 FS. History–New 4-11-76, Amended 9-21-77, 1-23-78, Formerly 34-6.03, Amended 8-7-94, 1-9-25.

Fla. Admin. Code R. 34-6.004 Form of Requests for Opinions

Requests for opinions shall be in writing and signed by the person making the request or by his or her representative. Requests for opinions shall state the official status of the person making the request and shall state all material facts necessary for the Commission on Ethics to understand the circumstances and render a complete and correct opinion. The person requesting the opinion may at any time furnish the Commission with legal memoranda, additional facts, or any other information relevant to the opinion requested.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322(3), 350.041(4), 350.043 FS. History–New 4-11-76, Formerly 34-6.04, Amended 7-28-98.

Fla. Admin. Code R. 34-6.005 Notion in Florida Administrative Weekly

History

• Rulemaking Authority Art. II, Section 8(f), (h), Fla. Const., 112.322(3), (10), 120.53(1) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322(3) FS. History–New 4-11-76, Formerly 34-6.05, Repealed 8-7-94.

Fla. Admin. Code R. 34-6.006 Receipt of Requests for Advisory Opinions and Withdrawal of Requests

(1) The staff of the Commission shall review each request for an advisory opinion. If the staff determines that the person making the request is not a person who may receive an advisory opinion as provided in Rule 34-6.002, F.A.C. above, the staff shall promptly notify the person making the request that an advisory opinion cannot be rendered. If the person making the request disagrees with the staff’s notification, he or she may request in writing that the Commission decide whether he or she has standing to receive an opinion, in which case the matter shall be agendaed for action at the next available Commission meeting.

(2) If the person seeking the advisory opinion is entitled to receive an advisory opinion, the staff shall promptly acknowledge receipt of the request. The person requesting the opinion shall also be provided with an authorization to sign and return to the Commission, authorizing the Commission to publish the person’s name and that of an employee or appointee about whom the person is authorized to inquire when the opinion is published. In addition, the authorization shall provide for the signature of the person who initiated the request for the opinion, if different from the person requesting the opinion, authorizing the Commission to publish his or her name. The authorization shall state that unless consent is given, these names will not be published.

(3) If at any time after receipt of a request for an opinion the staff or any Commission member believes that additional relevant information is needed, the person requesting the opinion shall be notified and asked to furnish such additional information.

(4) Working drafts of advisory opinions shall be prepared by staff of the Commission, under the supervision of the Executive Director. The Executive Director shall approve the final working draft, or may have alternative working drafts prepared, as appropriate.

(5) When a working draft of the advisory opinion is completed and approved by the Executive Director, it shall be mailed to all Commission members at least ten (10) days prior to the next regularly scheduled meeting of the Commission. The advisory opinion shall be placed on the agenda of the next meeting for consideration by the Commission.

(6) The person requesting the opinion shall be mailed a copy of the working draft or drafts, together with notification of the time and place of the Commission meeting at which the advisory opinion will be agendaed for action, at least seven (7) days prior thereto. The person requesting the opinion shall be advised that the working draft or drafts are not final, and that any additional comments, legal memoranda, or further information relevant to the opinion should be submitted as promptly as possible, but no later than the day prior to the meeting when the advisory opinion will be considered. The person requesting the opinion shall also be advised that he or she may attend the meeting and be heard by the Commission with respect to the opinion.

(7) The person requesting an advisory opinion may not withdraw his request after copies of the working draft of the opinion have been sent to him and to Commission members except with the consent of the Commission for good cause shown. Any advisory opinion issued by the Commission subsequent to an attempted withdrawal of request shall be binding.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 16.715(1)(d), 112.3215(12), 112.322(3), 350.041(4), 350.043 FS. History–New 4-11-76, Amended 4-7-77, 9-21-77, 1-23-78, Formerly 34-6.06, Amended 8-7-94, 7-28-98, 11-24-15, 1-9-25, Technical Change 8-18-25.

Fla. Admin. Code R. 34-6.0065 Emergency Requests for Advisory Opinions

Except in emergency situations or for other good cause shown, no request for an advisory opinion shall be agendaed for Commission action at a public meeting if the request is received after the fifteenth day prior to the meeting. The decision of whether an emergency exists or whether good cause has been shown shall lie within the discretion of the Chairman and the Executive Director, who shall decide whether to agenda the request based upon a written statement from the person(s) requesting the opinion describing the facts and circumstances constituting an emergency or good cause.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3215(12), 112.322(3), 350.041(4), 350.043 FS. History–New 4-21-83, Formerly 34-6.065, Amended 8-7-94, 11-24-15.

Fla. Admin. Code R. 34-6.007 Consideration and Issuance of Advisory Opinions by the Commission

(1) The draft or drafts of the advisory opinion shall be considered as an agenda item by the Commission and adopted in full, amended, modified, or rejected. The Commission may take any other action necessary for the rendition of a full and accurate opinion, including, but not limited to, directions that further information be provided or that further research be undertaken.

(2) Advisory opinions approved by the Commission shall be issued bearing the date and number and be signed by the Chairman. The advisory opinion shall be mailed as soon as practicable to the person who requested the opinion.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3215(12), 112.322(3), 350.041(4), 350.043 FS. History–New 4-11-76, Amended 9-21-77, 7-2-80, Formerly 34-6.07, Amended 8-7-94, 11-24-15.

Fla. Admin. Code R. 34-6.008 Effect of an Advisory Opinion

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3215(10), 112.322(3), 350.041(3), 350.043 FS. History–New 4-11-76, Amended 9-21-77, Formerly 34-6.08, Amended 8-7-94, 7-28-98, Repealed 11-24-15.

Fla. Admin. Code R. 34-6.009 Publication of the Name of the Person Seeking the Advisory Opinion

Advisory opinions shall be published, but the name of the person seeking the advisory opinion, the name of an employee or appointee about whom he or she is authorized to inquire, and the name of the person who initiated the request for the opinion, if different, shall not be published unless consent to the use of these names is received by the Commission.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3215(12), 112.322(3), 350.041(4), 350.043 FS. History–New 4-11-76, Amended 1-23-78, Formerly 34-6.09, Amended 8-7-94, 7-28-98, 11-24-15.

Fla. Admin. Code R. 34-6.010 Publication of Advisory Opinions

Advisory opinions shall be numbered sequentially and dated. The first two digits of the advisory opinion number shall be the last two digits of the year in which the opinion was rendered. Following the year shall be a dash and the number of the opinion. For example, the tenth opinion issued in 1978 will be 78-10, or CEO 78-10.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3215(12), 112.322(3), 350.041(4), 350.043 FS. History–New 4-11-76, Amended 1-12-78, Formerly 34-6.10, Amended 8-7-94.

Fla. Admin. Code R. 34-6.011 Digest of Advisory Opinions

History

• Rulemaking Authority 112.322(10), 120.53(1) FS. Law Implemented Art. II, Section 8(f), (h), Fla. Const., 112.322(3), 350.041(3), 350.043 FS. History–New 4-11-76, Amended 9-21-77, Formerly 34-6.11, Amended 8-7-94, Repealed 7-28-98.

Fla. Admin. Code R. 34-6.012 Copies of Advisory Opinions

History

• Rulemaking Authority 112.322(10), 120.53(1) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322(3), 350.041(3), 350.043 FS. History–New 4-11-76, Formerly 34-6.12, Amended 8-7-94, Repealed 7-28-98.

Fla. Admin. Code R. 34-6.013 Waiver of Rules

History

• Rulemaking Authority 112.322(10), 120.53(1), 120.54(1)(b) FS. Law Implemented 112.322(3), 120.53(1), 120.54, 350.041(3), 350.043 FS. History–New 4-11-76, Formerly 34-8.01, Amended 4-7-77, 9-21-77, Formerly 34-6.13, Amended 8-7-94, Repealed 7-28-98.

Chapter 34-7 ETHICS TRAINING, FORMS AND INSTRUCTIONS

Fla. Admin. Code R. 34-7.001 Procedure for Adopting Forms

History

• Rulemaking Authority Art. II, Section 8(h), Fla. Const., 112.322(10), 120.53(1)(b) FS. Law Implemented 120.53(1), 120.54, 112.3147, 112.3215(13), 112.322 FS., Art. II Section 8(h)(l), Fla. Const. History–New 4-11-76, Amended 4-7-77, 9-21-77, Formerly 34-7.01, Amended 7-10-88, 3-4-91, Repealed 6-28-98.

Fla. Admin. Code R. 34-7.002 Procedure for Adopting Instructions

History

• Rulemaking Authority 112.322(10), 120.53(1), 120.54(1)(b) FS. Law Implemented 120.53(1)(b), 120.54, 112.320 FS. History–New 4-11-76, Formerly 34-8.01, Amended 4-7-77, 9-21-77, Formerly 34-7.02, Amended 7-10-88, 3-4-91, Repealed 6-28-98.

Fla. Admin. Code R. 34-7.010 List of Forms and Instructions

(1) The following forms and instructions are incorporated by reference and are used by the Commission in its dealings with the public:

(a) Form 2, Quarterly Client Disclosure. These are the fields of information required to be utilized by elected constitutional officers, state officers, local officers, and specified employees for compliance with Section 112.3145(6), F.S., as set forth by instructions available at http://www.flrules.org/Gateway/reference.asp?No=Ref-15821. Revised 1/2024.

(b) Form 50, Complaint. To be utilized by persons wishing to file a complaint against any public officer, public employee or candidate for public office alleging a violation of any provision of Part III, Chapter 112, F.S. or to be utilized by persons wishing to file a complaint which alleges any other breach of public trust on the part of a public officer or employee who is not within the jurisdiction of the Judicial Qualifications Commission. http://www.flrules.org/Gateway/reference.asp?No=Ref-17237. Revised 11/2024.

(c) Form 3A, Statement of Interest in Competitive Bid for Public Business. To be utilized by persons wishing to do business with their agency or to have employment or a contractual relationship with a business entity doing business with their agency, provided that the business is awarded under a system of sealed, competitive bidding, under Section 112.313(12)(b), F.S. Effective 1/2007.

(d) Form 4A, Disclosure of Business Transaction, Relationship, or Interest. To be utilized by advisory board members who wish to have certain conflicts of interest waived by their appointing authority as provided in Section 112.313(12), F.S.; to be utilized by persons wishing to do business with their agency, or to have employment or a contractual relationship with a business entity doing business with their agency, where the business entity involved is the only source of supply within the political subdivision, under Section 112.313(12)(e), F.S.

(e) Form 8A, Memorandum of Voting Conflict for State Officers. To be utilized by public officers serving at the State level of government for compliance with Section 112.3143, F.S. http://www.flrules.org/Gateway/reference.asp?No=Ref-03278. Effective 11/2013.

(f) Form 8B, Memorandum of Voting Conflict for County, Municipal, and Other Local Public Officers. To be utilized by public officers serving at local levels of government for compliance with Section 112.3143, F.S. http://www.flrules.org/Gateway/reference.asp?No=Ref-03279. Effective 1/2013.

(g) Form 9, Quarterly Gift Disclosure. To be utilized by persons who are required to file Form 1 or Form 6 and by State procurement employees for compliance with the quarterly gift disclosure requirements of Section 112.3148(8), F.S. http://flrules.org/Gateway/reference.asp?No=Ref-19596. Effective 7/2026.

(h) Form 10, Annual Disclosure of Gifts from Governmental Entities and Direct Support Organizations and Honorarium Event Related Expenses. To be utilized by persons who are required to file Form 1 or Form 6 and by State procurement employees for compliance with the gift disclosure requirements of Section 112.3148(6), F.S., and the honorarium disclosure requirements of Section 112.3149(6), F.S. http://flrules.org/Gateway/reference.asp?No=Ref-19587. Effective 7/2026.

(i) Form 30, Donor’s Quarterly Gift Disclosure. To be utilized by political committees, lobbyists (persons who for compensation sought to influence the governmental decisionmaking, proposal, or recommendation of an agency), and the partners, firms, principals, and employers of lobbyists for compliance with the gift disclosure requirements of Section 112.3148(5), F.S. https://www.flrules.org/Gateway/reference.asp?No=Ref-07114. Revised 6/2016.

(2) Any of the above forms and instructions may be obtained without cost upon request to the Florida Commission on Ethics, Post Office Drawer 15709, Tallahassee, Florida 32317-5709 and may also be downloaded from the Commission’s website: www.ethics.state.fl.us.

History

• Rulemaking Authority Art. II, Section 8(i), Fla. Const., 112.3144, 112.3145, 112.3147, 112.3215(14), 112.322(9), 115.324(1)(a) FS. Law Implemented Art. II, Section 8(a), (f), (h), Fla. Const., 112.313(9), (12), 112.31425, 112.3143, 112.3144, 112.31446, 112.3145, 112.3148, 112.31485, 112.3149, 112.3215, 112.324(1)(a) FS. History–New 4-11-76, Formerly 34-7.10-7.22, 8.10, Amended 2-23-77, 4-7-77, 5-17-77, 10-20-77, 2-25-79, 1-29-80, 4-29-81, 1-12-82, 3-25-82, 2-21-83, Formerly 34-7.10, Amended 7-10-88, 3-4-91, 10-6-91, 10-29-91, 12-22-91, 7-5-92, 10-15-92, 12-6-92, 11-10-93, 12-27-93, 11-21-94, 2-16-95, 12-26-95, 1-27-97, 1-1-98, 1-1-99, 1-1-00, 12-4-00, 12-21-00, 10-14-01, 11-22-01, 1-1-02, 1-1-03, 1-1-04, 1-1-05, 1-1-06, 6-15-06, 1-1-07, 1-1-10, 8-18-10, 1-1-11, 1-19-11, 11-4-13, 1-1-15, 11-24-15, 7-5-16, 1-9-17, 1-9-20, 4-8-21, 1-1-24, 11-28-24, 7-9-26.

Fla. Admin. Code R. 34-7.011 Form 2, Quarterly Client Disclosure

History

• Rulemaking Authority 112.322(10), 120.53(1), 120.54(1)(b) FS. Law Implemented 120.53(1)(b), 120.54, 112.320 FS. History–New 4-11-76, Formerly 34-8.01, Amended 4-7-77, 9-21-77, Formerly 34-7.02, Amended 7-10-88, 3-4-91, Repealed 6-28-98.

Fla. Admin. Code R. 34-7.012 Form 3, Disclosure of Specified Business Interests

History

• Rulemaking Authority 120.53(1)(b) FS. Law Implemented 112.3147, 112.313(9) FS. History–New 4-11-76, Formerly 34-7.12, Repealed 9-21-77.

Fla. Admin. Code R. 34-7.013 Form 4, Memorandum of Voting Conflict

History

• Rulemaking Authority 120.53(1)(b) FS. Law Implemented 112.3147, 112.3143 FS. History–New 4-11-76, Formerly 34-7.13, Repealed 9-21-77.

Fla. Admin. Code R. 34-7.014 Form 5, Request for Other Concurrent Employment by Full-Time Legislative Employees

History

• Rulemaking Authority 120.53(1)(b) FS. Law Implemented 112.3147, 112.3141(2) FS. History–New 4-11-76, Formerly 34-7.14, Repealed 9-21-77.

Fla. Admin. Code R. 34-7.021 Form 51, Warning

History

• Rulemaking Authority 120.53(1)(b) FS. Law Implemented 112.324 FS. History–New 4-11-76, Formerly 34-7.22, Repealed 9-21-77.

Fla. Admin. Code R. 34-7.025 Ethics Training Course Content

(1) Constitutional officers, elected municipal officers, commissioners of community redevelopment agencies created under Part III of Chapter 163, F.S., and elected local officers of independent special districts, as defined in Section 189.012, Florida Statutes, including any person appointed to fill a vacancy for an unexpired term of such elective office of an independent special district, are required by Section 112.3142, F.S., to complete four (4) hours of ethics training each calendar year.

(2)(a) In addition to receiving training on Florida’s public records laws (Chapter 119, F.S.) and open meetings laws (Chapter 286, F.S.), constitutional officers, elected municipal officers, commissioners of community redevelopment agencies created under Part III of Chapter 163, F.S., and elected local officers of independent special districts, as defined in Section 189.012, Florida Statutes, including any person appointed to fill a vacancy for an unexpired term of such elective office of an independent special district, are required to obtain ethics training that is derived from Article II, Section 8, Florida Constitution, “Ethics in Government,” and Chapter 112, Part III, F.S., the “Code of Ethics for Public Officers and Employees.”

(b) Providers may develop and offer courses using a “menu” approach to fulfill agency-specific training needs. Subjects that must be covered in training shall include one or more of the following:

1. Doing business with one's own agency;

2. Conflicting employment or contractual relationships;

3. Misuse of position;

4. Disclosure or use of certain information;

5. Gifts and honoraria, including solicitation and acceptance of gifts, and unauthorized compensation;

6. Post-officeholding restrictions;

7. Restrictions on the employment of relatives;

8. Voting conflicts when the constitutional officer is a member of a collegial body and votes in his or her official capacity;

9. Financial disclosure requirements, including the automatic fine and appeal process;

10. Commission procedures on ethics complaints and referrals;

11. The importance of and process for obtaining advisory opinions rendered by the Commission.

12. Known efforts by foreign countries of concern to target and influence subnational governments, including, but not limited to, the Chinese Communist Party's United Front Strategy;

13. How to identify, recognize, and report suspected foreign influence campaigns; and

14. Enhanced penalties for violations relating to gifts from foreign countries of concern as defined in s. 286.101(1), F.S., or designated foreign terrorist organizations as defined in s. 775.32(1), F.S., under s. 112.313(2)(b), F.S.

(3)(a) Each member of the governing body of a county, municipality, or special district that operates a commercial service airport is required by Section 332.0075(4)(b), F.S., to complete four (4) hours of ethics training each calendar year addressing, at a minimum, Article II, Section 8, Florida Constitution, “Ethics in Government,” and Chapter 112, Part III, F.S., the “Code of Ethics for Public Officers and Employees,” as well as the public records and public meeting laws of this state.

(b) Constitutional officers and elected municipal officers who are members of the governing bodies of commercial service airports, and who complete the ethics training required by Section 112.3142, F.S., shall be considered in compliance with the training required by Section 332.0075(4)(b), F.S.

(4) Providers are encouraged to seek accreditation from The Florida Bar for courses offered pursuant to Sections 112.3142 and 332.0075(4)(b), F.S., so that attendees who are members of The Florida Bar may also obtain continuing legal education credit for course attendance.

History

• Rulemaking Authority 112.322(9), 112.3142 FS. Law Implemented 112.3142, 332.0075 FS. History–New 9-10-13, Amended 1-8-15, 1-9-20, 4-8-21, 1-4-24, 8-27-26.

Chapter 34-8 DISCLOSURE OF FINANCIAL INTERESTS

Fla. Admin. Code R. 34-8.001 General

(1) The Commission on Ethics has the responsibility pursuant to Article II, Section 8, Florida Constitution, to prescribe forms for disclosure of income sources and amounts and the rules under which such forms are to be filed, which rules shall include disclosure of secondary sources of income. In addition, the Commission is authorized by Section 112.3147, F.S., to prescribe forms required for use in making the disclosures required by Article II, Section 8, Florida Constitution, and by Section 112.322(9), F.S., to adopt rules interpreting the disclosures established by Article II, Section 8, Florida Constitution. The forms for full and public disclosure shall be prescribed in accordance with the rules of this chapter and adopted by reference herein.

(2) As used in this chapter and as referenced in the electronic filing system created and maintained by the Commission as provided in Section 112.31446, F.S., unless the context otherwise requires:

(a) “CE Form 6 – Full and Public Disclosure of Financial Interests” means the fields of information required to complete the full and public disclosure requirements of Section 8, Art. II of the State Constitution, as set forth by the instructions available at https://flrules.org/gateway/reference.asp?No=Ref-18508 (1/2026).

(b) “CE Form 6F – Final Full and Public Disclosure of Financial Interests” means the fields of information required to complete the final disclosure statement required by Section 112.3144(10), F.S., as set forth by the instructions available at https://flrules.org/gateway/reference.asp?No=Ref-18510 (1/2026).

(c) “CE Form 6X – Amendment to Full and Public Disclosure of Financial Interests” means the fields of information required on an amendment to a full and public disclosure of financial interest submitted pursuant to Section 112.3144(11), F.S., as set forth by the instructions available at https://flrules.org/gateway/reference.asp?No=Ref-18512 (1/2026).

(d) "CE Form 1 – Statement of Financial Interests" means the fields of information required to complete the statement of financial interests requirements of s. 112.3145, Florida Statutes, as set forth by the instructions available at https://flrules.org/gateway/reference.asp?No=Ref-18514 (1/2026).

(e) "CE Form 1F – Final Statement of Financial Interests" means the fields of information required to complete the final disclosure statement required by s. 112.3145(2)(b), Florida Statutes, as set forth by the instructions available at

https://flrules.org/gateway/reference.asp?No=Ref-18516 (1/2026).

(f) "CE Form 1X – Amendment to Statement of Financial Interests" means the fields of information required on an amendment to a statement of financial interests submitted pursuant to s. 112.3145(13), Florida Statutes, as set forth by the instructions available at https://flrules.org/gateway/reference.asp?No=Ref-18518 (1/2026).

History

• Rulemaking Authority Art. II, Section 8, Fla. Const., 112.3144, 112.31446, 112.3145, 112.3147, 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.3144, 112.3145 FS. History–New 4-7-77, Formerly 34-8.01, Amended 8-7-94, 11-7-01, 1-1-22, 1-1-23, 1-1-24, 4-11-24, 1-1-25, 1-1-26.

Fla. Admin. Code R. 34-8.002 General Rules for Filing the CE Form 6 – Full and Public Disclosure of Financial Interests

(1) Every person who holds an office specified in Rule 34-8.003, F.A.C., must file full and public disclosure of his or her financial interests with the Commission by July 1 of each year during which he or she is in office, and every person who held an office specified in Rule 34-8.003, F.A.C., on December 31st of a year must file full and public disclosure of his or her financial interests with the Commission by July 1 of the following year, except that candidates who have already filed with a qualifying officer as part of qualifying are not required to also file with the Commission. Full and public disclosure of financial interests means completing, through the electronic filing system created and maintained by the Commission as provided in Section 112.31446, F.S., a sworn disclosure filing, identified in the system as the CE Form 6 – Full and Public Disclosure of Financial Interests, showing net worth, assets, liabilities, and sources of income. The instructions for completing the Full and Public Disclosure of Financial Interests (1/2026) http://flrules.org/Gateway/reference.asp?No=Ref-18509, are incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us. A candidate for an elective office specified in Rule 34-8.003, F.A.C., or otherwise specified by law must file this information prior to or at the time he or she qualifies as a candidate.

(2) If the due date prescribed in the Constitution or by statute falls on a Saturday, Sunday, or legal holiday designated in Section 110.117, F.S., then the due date shall be extended to the next day which is not a Saturday, Sunday, or legal holiday designated in Section 110.117, F.S.

(3) Pursuant to Section 112.3144(2), F.S., public officers and employees required to file the CE Form 6 – Full and Public Disclosure of Financial Interests with the Commission on Ethics must file electronically through the electronic filing system. The filer may include attachments or other supporting documentation when filing a disclosure.

(4) When submitting qualifying papers, an incumbent in an elective office or a candidate holding another position subject to the annual filing requirement may submit either a copy of the CE Form 6 – Full and Public Disclosure of Financial Interests filed with the Commission, or the verification or receipt of filing generated by the electronic filing system at the time of submission. Candidates not subject to the annual filing requirement must use the electronic filing system to complete and print a CE Form 6 – Full and Public Disclosure of Financial Interests to be submitted to the officer before whom he or she qualifies.

History

• Rulemaking Authority Art. II, Section 8, Fla. Const., 112.3144, 112.31445, 112.31446, 112.3145, 112.3147, 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.3144 FS. History–New 4-7-77, Amended 10-3-84, Formerly 34-8.02, Amended 8-7-94, 7-2-00, 11-7-01, 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, 1-1-16, 1-1-17, 1-1-18, 1-1-19, 1-1-20, 1-1-21, 1-1-22, 1-1-23, 1-1-24, 4-11-24, 1-1-25, 1-1-26.

Fla. Admin. Code R. 34-8.003 Persons Required to File Full and Public Disclosure

The following officers and candidates have been specified by Article II, Section 8, Florida Constitution, to file full and public disclosure:

(1) All elected constitutional officers and all candidates for elected constitutional offices, which offices include the Governor; the Lieutenant Governor; the members of the Cabinet; the members of the Legislature; State Attorneys; Public Defenders; Clerks of the Circuit Courts; Sheriffs; County Tax Collectors, Property Appraisers and Supervisors of Elections; County Commissioners; all elective offices in a chartered county government, the duties of which office consist of performing the duties of any of the above constitutional offices; Superintendents of Schools if elected; and members of District School Boards.

(2) Each person holding statewide elective office who is not elected to one of the offices listed above in subsection 34-8.003(1), F.A.C.

(3) Mayors and the elected members of the govering body of a municipality.

(4) Each member of the Commission on Ethics.

(5) Such other public officers, candidates, and employees as are required by law to file full and public disclosure.

History

• Rulemaking Authority Art. II, Section 8, Fla. Const., 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.3144 FS. History–New 4-7-77, Amended 9-21-77, 10-3-84, Formerly 34-8.03, Amended 8-7-94, 10-12-15, 1-1-24.

Fla. Admin. Code R. 34-8.004 Disclosure of Net Worth, Assets and Liabilities

The Commission shall prescribe a part of the CE Form 6 – Full and Public Disclosure of Financial Interests for disclosure of net worth, assets and liabilities which satisfies the financial interest requirements of Article II, Section 8 of the Florida Constitution, as amended by Part III, Chapter 112, F.S. This disclosure filing shall provide space for the specific identification and value of each asset which exceeds $1,000.00 in value and for the name and address of the creditor for each liability which exceeds $1,000.00 in amount and its amount, and shall require a statement of the value of the reporting person’s net worth as of December 31st of the preceding year or a more current date. The disclosure filing shall provide for the officer’s or candidate’s written declaration, as provided for under Section 92.525(2), F.S., and electronic signature verifying the information contained in the completed filing. The disclosure filing for disclosure of net worth, assets and liabilities prescribed pursuant to this rule shall be used by any officer, employee, or candidate required to file full and public disclosure of his or her financial interests pursuant to Article II, Section 8 of the Florida Constitution.

History

• Rulemaking Authority Art. II, Section 8, Fla. Const., 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.3144, 112.312 FS. History–New 4-7-77, Amended 10-3-84, Formerly 34-8.04, Amended 8-7-94, 1-1-22.

Fla. Admin. Code R. 34-8.005 Disclosure of Sources and Amounts of Income

The Commission shall prescribe as part of the CE Form 6 – Full and Public Disclosure of Financial Interests provisions for the disclosure of sources and amounts of income and for the disclosure of secondary sources of income as required by Article II, Section 8 of the Florida Constitution.

(1) The filing for disclosure of income sources shall provide for the disclosure of the name and address of each source of income which exceeds $1,000.00 received by the officer or candidate or by any person for the officer’s or candidate’s benefit and use during the previous tax year. The filing also shall provide for disclosure of the amount of income received from each source and shall provide for the officer’s or candidate’s written declaration, as provided for under Section 92.525(2), F.S., and electronic signature verifying the information contained in the completed filing.

(2) For the purpose of reporting income on a CE Form 6 – Full and Public Disclosure of Financial Interests, the filer may submit a federal income tax return, provided he or she includes all attachments and schedules associated with the federal income tax return.

(3) A “secondary source of income” shall mean any one customer, client or other source of income which provides in excess of 10% of the total income of a business entity, as shown on that business entity’s most recently filed income tax return, during the previous tax year in which a person subject to full and public disclosure of financial interests own in excess of five percent (5%) of the business entity’s total assets or capital stock and from which such person derived in excess of $1,000.00 income during the previous tax year.

(4) The filing for disclosure of secondary sources of income shall provide for the officer’s or candidate’s written declaration, as provided for under Section 92.525(2), F.S., and electronic signature verifying the information contained in the completed filing.

(5) If disclosure of identifying information regarding a source of income or secondary source of income will violate confidentiality or privilege pursuant to law or rules governing attorneys, a filer, who is also an attorney, may indicate he or she has a legal client meeting the disclosure criteria without providing further information about the client. The filer in such circumstances may write "Legal Client" in the disclosure fields without providing any further information.

History

• Rulemaking Authority Art. II, Section 8, Fla. Const., 112.3144, 112.3147, 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const. History–New 4-7-77, Formerly 34-8.05, Amended 1-1-22, 1-1-24, 4-11-24.

Fla. Admin. Code R. 34-8.006 Income Valuation

The method of determining one’s income for purposes of disclosure under this chapter shall be in accordance with this rule. Each person who is required to file a full and public disclosure of financial interests must file a sworn statement disclosing all sources and amounts of income in excess of $1,000.00 and shall follow federal income tax principles pursuant to the Internal Revenue Code of 1954, Title 26, United States Code, as amended.

History

• Rulemaking Authority Art. II, Section 8, Fla. Const., 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const. History–New 5-17-77, Formerly 34-8.06, Amended 1-1-22.

Fla. Admin. Code R. 34-8.007 Choosing to File Copy of Income Tax Return

History

• Rulemaking Authority Art. II, Section 8, Fla. Const., 112.3144, 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const. History–New 5-17-77, Formerly 34-8.07, Amended 8-7-94, 7-2-00, 11-7-01, 1-1-12, 10-12-15, Repealed 1-1-22.

Fla. Admin. Code R. 34-8.008 Final Filing Using the CE Form 6F

(1) Each person who is required to file full and public disclosure of financial interests shall, within 60 days of leaving his or her public position, complete and file through the electronic filing system created and maintained by the Commission as provided in Section 112.31446, F.S., a final disclosure statement covering the period between January 1 of the year in which the person leaves and his or her last day in the position, unless he or she takes another position within that 60-day period which requires full and public disclosure. The final filing shall be identified in the system as the CE Form 6F – Final Full and Public Disclosure of Financial Interests. The instructions for completing the Final Full and Public Disclosure of Financial Interests (1/2026), http://flrules.org/Gateway/reference.asp?No=Ref-18511, are incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us. The filer may include attachments or other supporting documentation when filing a disclosure.

(2) If the due date prescribed for a final filing falls on a Saturday, Sunday, or legal holiday designated in Section 110.117, F.S., then the due date shall be extended to the next day which is not a Saturday, Sunday, or legal holiday designated in Section 110.117, F.S.

(3) Pursuant to Section 112.3144(2), F.S., public officers and employees required to file the CE Form 6F – Final Full and Public Disclosure of Financial Interests with the Commission on Ethics must file electronically through the electronic filing system.

History

• Rulemaking Authority Art. II, Section 8, Fla. Const., 112.3144, 112.31446, 112.3147, 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.3144(5) FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, 1-1-16, 1-1-17, 1-1-18, 1-1-19, 1-1-20, 1-1-21, 1-1-22, 1-1-23, 1-1-24, 4-11-24, 1-1-25, 1-1-26.

Fla. Admin. Code R. 34-8.009 Amended Filing Using the CE Form 6X

(1) At any time after submitting the CE Form 6 – Full and Public Disclosure of Financial Interests, a person may amend his or her original disclosure filing to add to or modify the information originally reported. Filers shall complete an amended filing through the electronic filing system created and maintained by the Commission as provided in Section 112.31446, F.S., which will allow them to access and complete the disclosure filing identified in the system as the CE Form 6X – Amendment to the Full and Public Disclosure of Financial Interests. The instructions for completing the Amendment to the Full and Public Disclosure of Financial Interests (1/2026), http://flrules.org/Gateway/reference.asp?No=Ref-18513, are incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us. The filer may include attachments or other supporting documentation when filing a disclosure.

(2) If the amendment is the subject of a complaint filed against the reporting person, the Commission shall consider the timing of the amendment as a mitigating factor, as provided in Section 112.3144, F.S.

(3) For the purpose of reporting income on a CE Form 6X – Amendment to Full and Public Disclosure of Financial Interests, the filer may submit a federal income tax return, provided he or she includes all attachments and schedules associated with the federal income tax return.

History

• Rulemaking Authority Art. II,, Section 8, Fla. Const., 112.3144, 112.31446, 112.3147, 112.322(9) FS. Law Implemented Art. II,, Section 8, Fla. Const., 112.3144(7) FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, 1-1-16, 1-1-17, 1-1-18, 1-1-20, 1-1-21, 1-1-22, 1-1-24, 4-11-24, 1-1-25, 1-1-26.

Fla. Admin. Code R. 34-8.010 A Guide to the Sunshine Amendment and Code of Ethics for Public Officers, Candidates and Employees

History

• Rulemaking Authority 120.53(1)(b) FS. Law Implemented 120.53(1)(b), 112.3143, 112.3145, 112.3147, 112.230, 112.322(2)(a), 112.324 FS. History–New 4-11-76, Amended 2-23-77, Formerly 34-8.10, Repealed 9-21-77.

Fla. Admin. Code R. 34-8.011 Penalties for Late Filing

(1) Upon determining that a CE Form 6 – Full and Public Disclosure of Financial Interests has not been filed by the due date, Commission staff shall send a notice by email notifying the delinquent person of the failure to timely file, and shall redeliver the notice on a weekly basis by email as long as the person remains delinquent.

(2) Upon determining that the Full and Public Disclosure of Financial Interests has been filed after the due date or that the maximum fine has accrued, Commission staff shall send a notice by email notifying the filer of the amount of the payment due for the accrued fine, and of the filer’s right to appeal or dispute the fine as provided in Rule 34-8.015, F.A.C.

(3) The fine shall be $25.00 per day for each late day, up to a maximum of $1,500.00. Commission staff shall determine the amount of the fine due, once electronic filing goes active, based upon when the CE Form 6 – Full and Public Disclosure of Financial Interests was submitted through the electronic filing system created and maintained by the Commission as provided in Section 112.31446, F.S.

(4) The fine must be paid within 30 days after the notice of payment due is transmitted, unless appeal is made to the Commission as provided in Rule 34-8.015, F.A.C. Commission staff shall deposit all fine moneys into the General Revenue Fund.

(5) Where a fine is not appealed, or is appealed but is not waived, the Commission will, following entry of its final order pursuant to Rule 34-8.015, F.A.C., attempt to determine whether the individual owing such fine currently serves as a public officer or employee. If the individual owing the fine is a public officer or employee, the Commission may notify the Chief Financial Officer or the governing body of the appropriate county, municipality, or special district of the total amount of the fine and request salary withholding to recover the fine.

(6) If payment of the fine cannot be obtained through salary withholding and the fine remains unpaid for more than 60 days, the Commission may refer the unpaid fine to the appropriate collection agency, as directed by the Chief Financial Officer, to utilize any collection methods provided by law.

(7) If the individual owing the fine is no longer a public officer or employee, or if the Commission is unable to determine whether the individual is a public officer or employee, the Commission may, six months after the order becomes final, seek garnishment of any wages to satisfy any unpaid portion of the fine.

History

• Rulemaking Authority 112.3144, 112.322(9) FS. Law Implemented 112.3144, 112.31455 FS. History–New 11-7-01, Amended 10-12-15, 1-1-22, 1-1-24.

Fla. Admin. Code R. 34-8.015 Appeal of Statutory Fines: Hearings, Unusual Circumstances

(1) A person who chooses to appeal or dispute a fine imposed in accordance with Section 112.3144, F.S., shall file with the Commission a notice of appeal within 30 days of the date the notice of payment due is transmitted, setting out with specificity the unusual circumstances surrounding the failure to file by the due date. The notice of appeal may be accompanied by any documentation or evidence supporting the claim, but must be received by the Commission no later than 30 days after the date the notice of payment due is transmitted.

(2) Failure to timely file a notice of appeal as described herein shall constitute a waiver of any such entitlement. A final order of waiver shall be promptly entered by the chair of the Commission.

(3) A person who seeks a hearing before the Commission shall include in the notice of appeal a separate request for hearing. If no request for hearing is included in the notice of appeal, the Commission’s determination shall be based on the notice and any supporting information and shall be final agency action. If a separate request for hearing is included in the notice, notice of hearing shall be provided and the Commission’s determination after hearing shall be final agency action. Failure to appear in accordance with the notice of hearing shall constitute a waiver of such entitlement, and the Commission shall dispose of the case on the written record before it.

(4) “Unusual circumstances” means uncommon, rare or sudden events over which the reporting individual had no control and which directly result in the failure to act in accordance with the filing requirements. Circumstances which allow for time in which to take those steps necessary to assure compliance with the filing requirements shall be deemed not to constitute unusual circumstances.

History

• Rulemaking Authority 112.3144, 112.322(9) FS. Law Implemented 112.3144 FS. History–New 11-7-01, Amended 10-12-15.

Fla. Admin. Code R. 34-8.202 General Rules for Filing the CE Form 1 – Statement of Financial Interests

(1) A person who was a local officer as defined in Section 112.3145, F.S., except for those local officers specified in Section 112.3144(1)(d), F.S., on December 31st of a year must file by July 1 of the following year a statement of financial interests on the form prescribed by the Commission, CE Form 1 – Statement of Financial Interests. A statement of financial interests means completing, through the electronic filing system created and maintained by the Commission as provided in s. 112.31446, a disclosure filing, identified in the system as the CE Form 1 – Statement of Financial Interests. The instructions for completing the Statement of Financial Interests (1/2026), http://flrules.org/Gateway/reference.asp?No=Ref-18515, are incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us.

(2) A person who was a state officer or a specified state employee as defined in Section 112.3145, F.S., on December 31st of a year must file electronically with the Commission by July 1 of the following year a statement of financial interests , as defined in and pursuant to the instructions, incorporated by reference in subsection 34-8.202(1), F.A.C., except that candidates who, pursuant to law, are required to file a statement of financial interests must electronically complete the filing prior to or at the time they qualify as candidates

(3) A person who assumes a public position defined in Section 112.3145, F.S., as a state officer, specified state employee, or local officer must file electronically within 30 days of taking that position a statement of financial , as defined in and pursuant to the instructions incorporated by reference in subsection 34-8.202(1), F.A.C., provided that any person whose appointment is subject to confirmation by the Senate shall electronically file prior to confirmation hearings or within 30 days from the date of appointment, whichever comes first. The disclosure statement of a state officer or specified state employee must be filed with the Commission.

(4) If the due date prescribed by statute for a filing under subsection (1), (2), or (3), above, falls on a Saturday, Sunday, or legal holiday designated in Section 110.117, F.S., then the due date shall be extended to the next day which is not a Saturday, Sunday, or legal holiday designated in Section 110.117, F.S.

(5) Pursuant to s. 112.3145(2)(e), Florida Statutes, local officers, state officers, and specified state employees required to file the statement of financial interests with the Commission on Ethics must file electronically through the electronic filing system. The filer may include attachments or other supporting documentation when filing a disclosure.

(6) When submitting qualifying papers, an incumbent in an elective office or a candidate holding another position subject to the annual filing requirement may submit a copy of the CE Form 1 – Statement of Financial Interests filed with the Commission, or a verification or receipt of the filing, with the officer before whome he or she qualifies. Candidates not subject to an annual filing requirement must use the electronic filing system to complete and print a CE Form 1 – Statement of Financial Interests to be submitted to the officer before whom he or she qualifies.

History

• Rulemaking Authority 112.3145, 112.31445, 112.31446, 112.3147, 112.322(9) FS. Law Implemented 112.3145, 112.312(10) FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, 1-1-16, 1-1-17, 1-1-18, 1-1-19, 1-1-20, 1-1-21, 1-1-22, 1-1-23, 1-1-24, 4-11-24, 1-1-25, 1-1-26.

Fla. Admin. Code R. 34-8.208 Final Filing Using the CE Form 1F

(1) Each person who is required to file a statement of financial interests (CE Form 1) shall, within 60 days of leaving his or her public position, complete and submit through the electronic filing system created and maintained by the Commission as provided in s. 112.31446 a final statement covering the period between January 1 of the year in which the person leaves and his or her last day in the position, unless he or she takes another position within that 60 day period which requires filing either a statement of financial interests or full and public disclosure covering that disclosure period.

(2) The final filing shall be identified in the system as the CE Form 1F – Final Statement of Financial Interests. The instructions for completing the Final Statement of Financial Interests (1/2026), http://flrules.org/Gateway/reference.asp?No=Ref-18517, are incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us. The filer may include attachments or other supporting documentation when filing a disclosure.

(3) Pursuant to s. 112.3145(2)(e), Florida Statutes, local officers, state officers, and specified state employees required to file the CE Form 1F – Final Statement of Financial Interests must file electronically through the electronic filing system.

(4) If the due date for a final filing falls on a Saturday, Sunday, or legal holiday designated in Section 110.117, F.S., then the due date shall be extended to the next day which is not a Saturday, Sunday, or legal holiday designated in Section 110.117, F.S.

History

• Rulemaking Authority 112.3145, 112.31446, 112.3147, 112.322(9) FS. Law Implemented 112.3145 FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, 1-1-16, 1-1-17, 1-1-18, 1-1-19, 1-1-20, 1-1-21, 1-1-22, 1-1-23, 1-1-24, 1-1-25, 1-1-26.

Fla. Admin. Code R. 34-8.209 Amended Filing Using the CE Form 1X

(1) At any time after submitting the CE Form 1 – Statement of Financial Interests, a person may amend his or her original disclosure filing to add to or modify the information originally reported. Filers shall complete an amended filing through the electronic filing system created and maintained by the Commission as provided in s. 112.31446, Florida Statutes, which will allow them to access and complete the disclosure filing identified in the system as the CE Form 1X – Amendment to Statement of Financial Interests. The instructions for completing the Amendment to Statement of Financial Interests (1/2026) http://flrules.org/Gateway/reference.asp?No=Ref-18519, is incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us. The filer may include attachments or other supporting documentation when filing a disclosure.

(2) Amendments received before September 1 of the year in which disclosure is due shall be treated as the original filing. If an amendment is received after September 1 and the subject of a complaint filed against the reporting person, the Commission shall consider the timing of the amendment as a mitigating factor, as provided in Section 112.3145, F.S.

History

• Rulemaking Authority 112.3145(13), 112.31446, 112.3147, 112.322(9) FS. Law Implemented 112.3145(9) FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, 1-1-16, 1-1-17, 1-1-18, 1-1-20, 1-1-21, 1-1-22, 1-1-24, 4-11-24, 1-1-25, 1-1-26.

Fla. Admin. Code R. 34-8.210 Penalties for Late Filing

(1) Upon determining that a CE Form 1 – Statement of Financial Interests has not been filed by the due date, Commission staff shall send a notice by email notifying the delinquent person of the failure to timely file, and shall redeliver the notice on a weekly basis by email as long as the person remains delinquent.

(2) Upon determining that the Statement of Financial Interests has been filed after the due date or that the maximum fine has accrued, Commission staff shall send a notice by email notifying the filer of the amount of the payment due for the accrued fine, and of the filer's right to appeal or dispute the fine as provided in Rule 34-8.215, F.A.C.

(3) The fine shall be $25 per day for each late day, up to a maximum of $1,500. Commission staff shall determine the amount of the fine due based upon when the CE Form 1 – Statement of Financial Interests was submitted through the electronic filing system created and maintained by the Commission as provided in s. 112.31446, F.S.

(4) The fine must be paid within 30 days after the notice of payment due is transmitted, unless appeal is made to the Commission as provided in Rule 34-8.215, F.A.C. Commission staff shall deposit all fine moneys into the General Revenue Fund.

(5) Where a fine is not appealed, or is appealed but is not waived, the Commission will, following entry of its final order pursuant to Rule 34-8.215, F.A.C., attempt to determine whether the individual owing such fine currently serves as a public officer or employee.

(a) If the individual owing the fine is a public officer or employee, the Commission may notify the Chief Financial Officer or the governing body of the appropriate county, municipality, or special district of the total amount of the fine and request salary withholding to recover the fine.

(6) If payment of the fine cannot be obtained through salary withholding and the fine remains unpaid for more than 60 days, the Commission may refer the unpaid fine to the appropriate collection agency, as directed by the Chief Financial Officer, to utilize any collection methods provided by law.

(7) If the individual owing the fine is no longer a public officer or employee, or if the Commission is unable to determine whether the individual is a public officer or employee, the Commission may, six months after the order becomes final, seek garnishment of any wages to satisfy any unpaid portion of the fine.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3145, 112.31455 FS. History–New 11-7-01, Amended 10-12-15, 1-1-24.

Fla. Admin. Code R. 34-8.215 Appeal of Statutory Fines: Hearings, Unusual Circumstances

(1) A person who chooses to appeal or dispute a fine imposed in accordance with Section 112.3145, F.S., shall file with the Commission a notice of appeal within 30 days of the date the notice of payment due is transmitted, setting out with specificity the unusual circumstances surrounding the failure to file by the due date. The notice of appeal may be accompanied by any documentation or evidence supporting the claim, but must be received by the Commission no later than 30 days after the date the notice of payment due is transmitted.

(2) Failure to timely file a notice of appeal as described herein shall constitute a waiver of any such entitlement. A final order of waiver shall be promptly entered by the Commission.

(3) A person desiring a hearing before the Commission shall include in the notice of appeal a separate request for hearing. If no request for hearing is included in the notice of appeal, the Commission’s determination shall be based on the notice and any supporting information and shall be final agency action. If a separate request for hearing is included in the notice, notice of hearing shall be provided and the Commission’s determination after hearing shall be final agency action. Failure to appear in accordance with the notice of hearing shall constitute a waiver of such entitlement, and the Commission shall dispose of the case on the written record before it.

(4) “Unusual circumstances” means uncommon, rare or sudden events over which the reporting individual had no control and which directly result in the failure to act in accordance with the filing requirements. Circumstances which allow for time in which to take those steps necessary to assure compliance with the filing requirements shall be deemed not to constitute unusual circumstances.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.3145 FS. History–New 11-7-01, Amended 10-12-15.

Chapter 34-9 HEARINGS GRANTED IN ABSENCE OF SWORN COMPLAINT

Fla. Admin. Code R. 34-9.001 Procedures for Public Hearings, Generally

Public hearings requested and conducted pursuant to Section 112.322(2), F.S., shall be governed by the rules of Chapter 34-9 of the F.A.C., the Uniform Rules of the Administration Commission in Chapter 28-106, F.A.C. and Section 112.322(2), F.S.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-23-77, Amended 9-21-77, Formerly 34-9.01, Amended 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-9.0015 Time Periods

In computing any period of time prescribed or allowed by these rules, by order of the Commission, the Chair, or another presiding officer, or by any applicable statute, the time period shall be calculated in accordance with Rule 28-106.103, F.A.C.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-9.0016 Filing and Serving Documents; Facsimile Transmissions

Pleadings and other documents under the rules of this chapter shall be filed and served in accordance with Rule 28-106.104, F.A.C., whether in paper or electronic form, and shall contain the information required by that rule.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-9.0017 Presiding Officer

For the purposes of Commission proceedings under Section 112.322(2), F.S., the presiding officer shall be the Chair of the Commission or, in the event the Chair is unavailable, the Vice Chair of the Commission.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 7-28-98.

Fla. Admin. Code R. 34-9.002 Parties to the Proceeding; Counsel; Qualified Representative

The public officer or employee who petitions for a hearing under provisions of this chapter shall be the Petitioner. Petitioner may appear on his own behalf or may be represented by a lawyer or other qualified representative of his choice. All notices and communications to a Petitioner represented by an attorney or qualified representative shall be made through that attorney or qualified representative. The Commission shall be represented by a Solicitor, assigned by and in the discretion of the Commission. The Solicitor shall present at the public hearing all evidence relevant to the cause that was produced by the investigation. No intervenor shall be permitted. Appearances by counsel or other qualified representatives shall be governed by Rules 28-106.105 and 28-106.106, F.A.C. The qualifications of a representative shall be determined in accordance with Rule 28-106.106, F.A.C. Qualified representatives shall observe the standards of conduct specified in Rule 28-106.107, F.A.C.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2), 120.62(2) FS. History–New 2-23-77, Formerly 34-9.06, Amended 9-21-77, Formerly 34-9.02, Amended 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-9.003 Contents of Petition

A petition for hearing pursuant to Section 112.322(2), F.S., shall contain a statement of the public office or employment held by Petitioner; a statement of the specific allegations made against Petitioner which form the basis of the petition, when and by whom they were made; and a statement of the facts and circumstances which make the allegations of such gravity as to affect the general welfare of the state and the ability of Petitioner effectively to discharge the duties of the office or employment.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 9-21-77, Formerly 34-9.03, Amended 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-9.004 Staff Procedures Upon Receipt of Request for Hearing in Absence of Sworn Complaint

(1) Upon receipt of a petition by any public officer or employee seeking a hearing before the Ethics Commission to present oral or written testimony pursuant to Section 112.322(2), F.S., in response to allegations made against such person that he or she engaged in conduct violative of the Code of Ethics, Part III, Chapter 112, F.S., or engaged in any other breach of the public trust, staff shall stamp on the face thereof the date on which the petition was received and the petition shall be assigned a control number which shall be entered on the petition itself and on a folder in which the petition shall be filed as a public record.

(2) Upon receipt of a petition for a hearing pursuant to Section 112.322(2), F.S., the staff of the Commission shall review the petition to determine if sufficient detail has been submitted by the Petitioner to enable the Commission to judge whether the allegations accuse Petitioner of engaging in conduct violative of the Code of Ethics or constituting any other breach of the public trust and whether the allegations are of such gravity as to affect the general welfare of the state and the ability of Petitioner to effectively discharge the duties of office. If the petition is incomplete or insufficient to allow such a determination, a copy of the petition shall be returned to Petitioner with a request for additional information. The staff shall provide assistance or information to persons petitioning for a hearing, but shall not in any manner encourage, solicit or discourage a petition for hearing.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-23-77, Formerly 34-9.03, Amended 9-21-77, Formerly 34-9.04, Amended 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-9.005 Written Analysis of Sufficiency of Petition

(1) The Executive Director shall review the Petition and make a written analysis (1) of whether the allegations made against Petitioner, if true, would constitute a violation of any provision of the Code of Ethics or any other breach of the public trust and, if so, which provisions, and (2) as to the gravity of the allegations and their effect upon the general welfare of the state as well as upon the ability of the Petitioner to effectively discharge the duties of office. The allegations made against Petitioner need not be as precise as would be required by the rules of civil procedure in a court of law. A petition shall not be deemed legally insufficient because it is based upon evidence which would be hearsay evidence in a court of law. Based upon this analysis, the Executive Director shall recommend that the petition for hearing either be granted or denied or that additional information be provided by Petitioner.

(2) A copy of the written analysis shall be sent to Petitioner at least seven (7) days prior to bringing it before the Commission in public meeting for Commission disposition, provided such period may be shortened with the written consent of Petitioner.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-3-77, Formerly 34-9.04, Amended 9-21-77, Formerly 34-9.05, Amended 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-9.006 Commission Disposition of Petition

(1) In a public hearing, the Commission shall find the petition to be legally sufficient and grant a public hearing if a majority of those members present and voting consider that the allegations, if true, would constitute a violation of the Code of Ethics or any other breach of the public trust and that the allegations are of such gravity as to affect the general welfare of the state and the ability of the Petitioner to discharge effectively the duties of his or her office. The Commission shall find the petition to be legally insufficient and deny the petition (1) if Petitioner lacks standing; (2) if the allegations which gave rise to the petition would not, if true, constitute a violation of the Code of Ethics or any other breach of the public trust; or (3) if a majority of the Commission present and voting fails to consider the allegations to be of such gravity as to affect the general welfare of the state and the ability of the Petitioner effectively to discharge the duties of his or her office.

(2) If the Commission grants a public hearing of the matters alleged, the Commission shall specify whether the hearing shall be before the full Commission, before a single Commissioner as hearing officer, or before the Division of Administrative Hearings; shall determine which provisions of law will be at issue at the hearing; and shall order an investigation to determine whether in fact Petitioner did violate those provisions.

(3) The Executive Director shall notify Petitioner of the Commission’s action on the petition not later than five (5) days following such action.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-23-77, Amended 9-21-77, Formerly 34-9.06, Amended 2-16-95, 7-28-98, 11-24-15.

Fla. Admin. Code R. 34-9.0065 Rules Governing the Proceedings

Investigations shall be governed by the rules of this Chapter 34-9, F.A.C. Public hearings held before the Commission or its members shall be governed by the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C. Proceedings before the Commission after the public hearing shall be governed by the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C., if one of the rules of that chapter is applicable, or by the remaining rules of this chapter.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 7-28-98.

Fla. Admin. Code R. 34-9.007 Investigations

(1) Investigators. Investigations may be conducted by Commission staff, by personnel of the Department of Legal Affairs, or by any other person or agency so designated by the Executive Director.

(2) Scope of Investigation. Investigations shall be limited only to encompass facts and persons materially related to the issues defined by the Commission in its order granting the public hearing, but shall include all facts and persons reasonably calculated to lead to evidence admissible at the public hearing.

(3) Investigator to be Impartial. An investigator shall be impartial and unbiased in the conduct of the investigation. An investigator shall collect all evidence within the limits of the scope of the investigation, whether such evidence within the limits of the scope of the investigation, whether such evidence tends to prove or disprove the allegations. The investigator’s duty is to ascertain the truth. If an investigator feels that for any reason he or she cannot be impartial or unbiased, then such investigator shall so notify the Executive Director and shall immediately discontinue working on the investigation. If the Executive Director feels that the investigator cannot be unbiased or impartial at any time during the investigation, the Executive Director shall terminate any further investigation by the investigator.

(4) Investigative Report. Upon completion of a thorough investigation, the investigator(s) shall prepare a report to the Commission. The report shall contain summaries of statements made to the investigator(s) by witnesses and copies of all documents received by the investigator(s) which are material to the issues in question. The report shall not contain any determination or speculation or recommendation as to whether Petitioner violated the Code of Ethics. A copy of the investigative report shall be sent to Petitioner upon its completion. Documents shall be appropriately labeled and indexed for quick reference.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 9-21-77, Formerly 34-9.07.

Fla. Admin. Code R. 34-9.0075 Delegation of Authority

The Commission hereby delegates to its investigators the authority to administer oaths and affirmations, delegates the authority to issue subpoenas to its chair and, in the absence or unavailability of the chair, to its vice chair, and authorizes its employees to serve any subpoena issued under the Commission’s authority.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2), (4) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-9.012 Disqualification of Commission Members

(1) Commission members shall be disqualified from sitting either as a member of the Commission or as the hearing officer for bias, prejudice, or interest. Disqualification may be raised by the Petitioner, by the Solicitor, or by any member.

(2) Unless good cause is shown, all motions for disqualification shall be filed with the Commission at least 5 days prior to the hearing at which the member is expected to participate. The motion shall be accompanied by an affidavit stating the particular grounds.

(3) Unless denied as untimely, the motion shall be ruled on by the Commission member whose disqualification is sought; the ruling shall be based on the legal sufficiency of the motion and affidavit. If the motion and affidavit are found legally sufficient, the member shall disqualify himself or herself.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-23-77, Formerly 34-9.09, Amended 9-21-77, Formerly 34-9.12, Amended 2-16-95, 7-28-98.

Fla. Admin. Code R. 34-9.0121 Ex Parte Communications

(1) A commission member shall not initiate nor consider any ex parte communication relative to the merits of a pending complaint proceeding by:

(a) A public employee or official engaged in prosecution or advocacy in connection with the matter;

(b) A party to the proceeding or any person who, directly or indirectly, would have a substantial interest in the proposed action of the Commission, or his or her authorized representative or counsel; or

(c) Any other individual who has personal knowledge of the facts underlying the proceeding, or his or her authorized representative or counsel.

Nothing in this subsection shall apply to advisory staff members who do not testify on behalf of the Commission in the proceeding or shall prohibit Commission members who are contacted by any of the above persons from referring them to Commission staff or the Commission Solicitor.

(2) A commission member who receives such an ex parte communication shall place on the record of the matter all written communications received, all written responses to such communications, and a memorandum stating the substance of all oral communications received and all oral responses made, and shall also advise all parties that such matters have been placed on the record. Any party, including the Solicitor, desiring to rebut the ex parte communication shall be allowed to do so, if a request for the opportunity for rebuttal is made within 10 days after notice of the communication.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-16-95.

Fla. Admin. Code R. 34-9.0153 Action on Recommended Order by the Full Commission

(1) Where the hearing has been conducted by a single Commissioner or DOAH administrative law judge, the meeting of the full Commission to consider the recommended order shall not be an evidentiary “hearing” No new evidence shall be taken.

(2) In order to assist the Commission in evaluating any exceptions that may have been filed, Commission staff may provide a draft final order analyzing the exceptions. If one is drafted, copies shall be provided to the Petitioner and the Solicitor prior to the final hearing.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-16-95, Amended 7-28-98, 11-24-15.

Fla. Admin. Code R. 34-9.016 Final Action

Adoption by the Commission of findings and recommendations for disciplinary action shall constitute final Commission action. The final order shall be signed by the Chair and shall be transmitted by mail to the petitioner and to the proper disciplinary official or body as provided by Section 112.324, F.S.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented 112.322(2) FS. History–New 2-23-77, Formerly 34-9.13, Amended 9-21-77, Formerly 34-9.16, Amended 2-16-95, 7-28-98.

Chapter 34-12 EXECUTIVE BRANCH LOBBYIST REGISTRATION

Fla. Admin. Code R. 34-12.010 Purpose and Scope of Rules

(1) The purpose of this chapter is to implement the provisions of Section 112.3215, F.S.

(2) The rules of this chapter shall apply to the functions and proceedings of the Commission on Ethics under Section 112.3215, F.S., including registration of persons who lobby agencies of the Executive Branch or the Constitution Revision Commission, reports which must be filed by lobbying firms, opinions which may be requested from the Commission concerning the application of Section 112.3215, F.S., and proceedings involving complaints of a violation of the provisions of Section 112.3215, F.S. The rules do not apply to any of the other functions of the Commission under Article II, Section 8, Florida Constitution, under Part III, Chapter 112, F.S., or under provisions of law other than Section 112.3215, F.S.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 1-4-94, 7-2-00, 6-15-06.

Fla. Admin. Code R. 34-12.015 Prohibitions

(1) No lobbyist or principal shall make, directly or indirectly, and no agency official or employee shall knowingly accept, directly or indirectly, any expenditure made for the purpose of lobbying.

(2) No person shall provide compensation for lobbying to any individual or business entity that is not a lobbying firm.

(3) No person who is a “lobbyist” as defined in Section 112.3215(1)(h), F.S., and this rule chapter may lobby an agency until such person has registered as a lobbyist with the Commission.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 6-15-06.

Fla. Admin. Code R. 34-12.020 Definitions

As used in this chapter, unless the context otherwise requires:

(1) “Agency” means the Governor, Governor and Cabinet, or any department, division, bureau, board, commission, or authority of the Executive Branch, or the Constitution Revision Commission.

(2) “Agency official or employee” means an officer, employee, or other individual of the Executive Branch or the Constitution Revision Commission who is required by law to file full (CE Form 6) or limited (CE Form 1) public disclosure of his or her financial interests, but does not mean officers or employees of political subdivisions of the State.

(3) “Compensation” means a payment, distribution, loan, advance, reimbursement, deposit, salary, fee, retainer, or anything of value provided or owed to a lobbying firm, directly or indirectly, by a principal for any Executive Branch lobbying activity.

(4) “Expenditure” means a payment, distribution, loan, advance, reimbursement, deposit, or anything of value made by a lobbyist or principal, directly or indirectly, for the purpose of lobbying. A contribution to a political party regulated under Chapter 103, F.S., or a contribution or an expenditure reported pursuant to Chapter 106, F.S., or its federal law counterpart, is not an expenditure for purposes of Section 112.3215, F.S., and this rule chapter.

(5) “Governmental entity” includes water management districts, regional planning councils, community college districts, counties, municipalities, special districts, and other political subdivisions of the State.

(6) “Lobbies” or “lobbying” means seeking, on behalf of another person, to influence an agency with respect to a decision of the agency in the area of policy or procurement or an attempt to obtain the goodwill of an agency official or employee.

(7) “Lobbying firm” means a business entity, including an individual contract lobbyist, that receives or becomes entitled to receive any compensation for the purpose of lobbying, where any partner, owner, officer, or employee of the business is a lobbyist. An association, a governmental entity, a corporation, or other business entity that does not derive compensation from principals for lobbying is not a “lobbying firm,” and neither are its employee-lobbyists considered to be a “lobbying firm.”

(8) “Person” means individuals, children, firms, associations, joint ventures, partnerships, estates, trusts, business trusts, syndicates, fiduciaries, corporations, and all other groups or combinations.

(9) “Policy” means a plan or course of action which is applicable to a class of persons, proceedings, or other matters, and which is designed to influence or determine the subsequent decisions and actions of an agency, such as any plan or course of action which would constitute a “rule” as defined in Section 120.52, F.S. The term does not include the adjudication or determination of any rights, duties, or obligations of a person made on a case-by-case basis, such as would be involved in the issuance or denial of a license, permit, or certification or in a disciplinary action or investigation involving a person.

(10) “Principal” means the person, firm, corporation, governmental entity, or other entity which has employed or retained a lobbyist. When an association has employed or retained a lobbyist, the association is the principal. The members of the association are not principals of the lobbyist merely because of their membership in the association.

(11) “Procurement” means the purchase or acquisition of any property, interest in property, or services by an agency.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 1-4-94, 7-2-00, 6-15-06.

Fla. Admin. Code R. 34-12.030 Computation of Time

In computing any period of time prescribed or allowed by these rules, by order of a presiding officer, or by any applicable statute, the time period shall be calculated in accordance with Rule 28-106.103, F.A.C.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 6-28-98.

Fla. Admin. Code R. 34-12.100 “Lobbyist” Defined

As used in this chapter and except as excluded in this chapter, “lobbyist” means a person who is employed and receives payment, or who contracts for economic consideration, for the purpose of lobbying, or a person who is principally employed for governmental affairs by another person or governmental entity to lobby an agency on behalf of that other person or governmental entity.

(1) An employee of a principal is not a “lobbyist” unless the employee is principally employed for governmental affairs. “Principally employed for governmental affairs” means that one of the principal or most significant responsibilities of the employee to the employer is overseeing the employer’s various relationships with government or representing the employer in its contacts with government.

(2) One who is not an employee of a principal is a “lobbyist” if he is retained as an independent contractor or otherwise for payment or economic consideration by a person or governmental entity to lobby an agency on behalf of that person or governmental entity.

(3) If a corporation, partnership, firm, or other business organization is retained for payment or economic consideration to lobby an agency on behalf of another person or governmental entity, only the members, partners, associates, or employees of the organization who personally lobby in behalf of that person or governmental entity are “lobbyists.”

(4) A person who lobbies an agency in behalf of himself or in behalf of a business entity in which he has an ownership interest is not a “lobbyist” unless he comes within one of the above descriptions.

(5) The terms “payment” or “economic consideration” do not include receiving only reimbursement for actual travel, lodging, and meal expenses.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 1-4-94, 1-1-97, 6-15-06.

Fla. Admin. Code R. 34-12.110 Exclusions for Judicial Proceedings

“Lobbyist” does not include an attorney or any other person who represents a client in a judicial proceeding.

(1) Representation of a client in a judicial proceeding includes all oral and written communications with an agency or any of its representatives which relate to the proceeding.

(2) For purposes of this rule, a judicial proceeding does not commence until a complaint, petition, indictment, information, or other pleading initiating the proceeding has been filed. Therefore, an attorney or other person representing a client who lobbies an agency regarding matters which in the future may result in a judicial proceeding may be a “lobbyist” for purposes of this chapter if he is seeking to influence the agency with respect to a decision of the agency in the area of “policy,” as defined in subsection 34-12.020(9), F.A.C.

(3) A judicial proceeding is not concluded until the court or tribunal loses jurisdiction over the proceeding. Therefore, an attorney or other person who represents a client before an executive branch agency regarding matters on which a court or judicial tribunal has jurisdiction to take action is not a “lobbyist.”

(4) A “judicial proceeding” includes a proceeding before a judge of compensation claims involving workers’ compensation or birth-related neurological injuries.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.120 Exclusions for Administrative Proceedings as to Lobbying Activities Involving Water Management Districts

“Lobbyist” does not include an attorney or other person who represents a client in a formal administrative proceeding conducted pursuant to Chapter 120, F.S., or in any other formal hearing before an agency.

(1) Formal administrative proceedings conducted pursuant to Chapter 120, F.S., and other formal hearings before an agency include:

(a) Formal and informal proceedings under Sections 120.569 and 120.57, F.S., after the filing of a petition or request for hearing which initiates the proceeding;

(b) Rule challenge proceedings under Section 120.56, F.S., after the filing of the petition or request with the Division of Administrative Hearings;

(c) Declaratory statement proceedings under Section 120.565, F.S., after the filing of the petition for a declaratory statement;

(d) Bid protest proceedings under Section 120.57(3), F.S., after the filing of a formal written protest; and

(e) All other hearings of an agency of a similar nature to a hearing governed by a provision of Chapter 120, F.S., after the filing of the petition, complaint, or request which initiates the proceeding.

(f) An attorney or other person representing a client who lobbies an agency regarding matters which in the future may result in an administrative proceeding described in paragraphs (a) through (e) above may be a “lobbyist” for purposes of this chapter if he is seeking to influence the agency with respect to a decision of the agency in the area of “policy,” as defined in subsection 34-12.020(9), F.A.C.

(2) Representation of a client in one of the types of administrative proceedings and formal hearings described in subsection (1) includes all oral and written communications with an agency or any of its representatives which relate to the proceeding or hearing.

(3) An appearance in behalf of a client at a publicly noticed hearing or workshop conducted by the agency regarding a proposed agency rule constitutes the representation of a client in a formal hearing before the agency. However, communications with agency personnel in behalf of a client which seek to influence the agency’s decision regarding the proposed rule and which are outside of such a hearing or workshop are not exempted on this basis.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented Chapter 2014-183, Section 6, LOF, 112.3215, 112.3261 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.125 Exclusions for Administrative Proceedings

[Notice: This rule replaces Rule 34-12.120, F.A.C., except with respect to lobbying activities involving water management districts. Chapter 2014-183, Section 6, Laws of Florida, created Section 112.3261, F.S., “Lobbying before water management districts; registration.” That section provides that “lobbies” means seeking, on behalf of another person, to influence a water management district with respect to a decision of the district in an area of policy or procurement or an attempt to obtain the goodwill of a district official or employee. The term “lobbies” shall be interpreted and applied consistently with the rules of the commission implementing Section 112.3215, F.S. As Rule 34-12.125, F.A.C., was not in existence when the Legislature enacted Section 112.3261, F.S., on May 2, 2014, the rule is not incorporated by reference into Section 112.3261, F.S.]

“Lobbyist” does not include an attorney or other person who represents a client in a formal administrative proceeding conducted pursuant to Chapter 120, F.S., or in any other formal hearing before an agency.

(1) Formal administrative proceedings conducted pursuant to Chapter 120, F.S., and other formal hearings before an agency include:

(a) Formal and informal proceedings under Sections 120.569 and 120.57, F.S., after the filing of a petition or request for hearing which initiates the proceeding;

(b) Rule challenge proceedings under Section 120.56, F.S., after the filing of the petition or request with the Division of Administrative Hearings;

(c) Declaratory statement proceedings under Section 120.565, F.S., after the filing of the petition for a declaratory statement;

(d) Bid protest proceedings under Section 120.57(3), F.S., after the filing of a formal written protest;

(e) Rulemaking proceedings under Section 120.54. F.S., after the publication of the notice of rule development pursuant to Section 120.54(2), F.S., or the filing of a petition to initiate rulemaking pursuant to Section 120.54(7), F.S., and,

(f) All other hearings of an agency of a similar nature to a hearing governed by a provision of Chapter 120, F.S., after the filing of the petition, complaint, or request which initiates the proceeding.

(g) An attorney or other person representing a client who lobbies an agency regarding matters which in the future may result in an administrative proceeding described in subsections (a) through (f) above may be a “lobbyist” for purposes of this rule if he or she is seeking to influence the agency with respect to a decision of the agency in the area of “policy,” as defined in subsection 34-12.020(9), F.A.C.

(2) Representation of a client in one of the types of administrative proceedings and formal hearings described in subsection (1) includes all oral and written communications with an agency or any of its representatives which relate to the proceeding or hearing.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented Chapter 2014-183, Section 6, LOF, 112.3215, 112.3261 FS. History‒New 10-19-14.

Fla. Admin. Code R. 34-12.130 Exclusion for Officers or Employees of Agencies or Legislative or Judicial Branch Entities

An officer or employee of a state agency or a legislative or judicial branch entity is excluded from being a “lobbyist” when acting on its behalf in the normal course of his or her duties.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented Chapter 2014-183, Section 6, L.O.F., 112.3215, 112.3261, FS. History–New 10-12-89, Amended 1-4-94, 7-2-00, 12-21-00.

Fla. Admin. Code R. 34-12.140 Exclusion for Confidential Informants

“Lobbyist” does not include a confidential informant who is providing, or wishes to provide, confidential information to be used for law enforcement purposes.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 1-4-94.

Fla. Admin. Code R. 34-12.150 Exclusion for Category One Purchases

“Lobbyist” does not include a person who lobbies to procure a contract pursuant to Chapter 287, F.S., which contract does not exceed category one as provided in Section 287.017(1), F.S.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 1-4-94.

Fla. Admin. Code R. 34-12.160 Examples of Lobbying Activities Involving Water Management Districts

As used in this rule, “lobbying” activities include, for example:

(1) The representation of a client in communications with the Office of the Governor with respect to legislative matters.

(2) Seeking to influence the content of an agency’s request for proposals or specifications for the purchase of goods or services on behalf of another person or governmental entity, unless in regard to the category of purchases described in Rule 34-12.150, F.A.C.

(3) Seeking to influence the priority given by an agency to the purchase of land or to a construction project on behalf of another person or governmental entity.

(4) Seeking to influence an agency’s decision regarding a proposed rule in behalf of a client through communications with agency personnel outside of a publicly noticed agency hearing or workshop.

(5) Seeking to influence an agency in behalf of a person or governmental entity with respect to policies of the agency.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented Chapter 2014-183, Section 6, L.O.F., 112.3215, 112.3261 FS. History–New 10-12-89, Amended 1-4-94, 10-19-14.

Fla. Admin. Code R. 34-12.165 Examples of Lobbying Activities

[Notice: This rule replaces Rule 34-12.160, F.A.C., except with respect to lobbying activities involving water management districts. Chapter 2014-183, Section 6, Laws of Florida, created Section 112.3261, F.S., “Lobbying before water management districts; registration.” That section provides that “lobbies” means seeking, on behalf of another person, to influence a water management district with respect to a decision of the district in an area of policy or procurement or an attempt to obtain the goodwill of a district official or employee. The term “lobbies” shall be interpreted and applied consistently with the rules of the commission implementing Section 112.3215, F.S. As Rule 34-12.165, F.A.C., was not in existence when the Legislature enacted Section 112.3261, F.S., on May 2, 2014, the rule is not incorporated by reference into Section 112.3261, F.S.]

As used in this rule, “lobbying” activities include, for example:

(1) The representation of a client in communications with the Office of the Governor with respect to legislative matters.

(2) Seeking to influence the content of an agency’s request for proposals or specifications for the purchase of goods or services on behalf of another person or governmental entity, unless in regard to the category of purchases described in Rule 34-12.150, F.A.C.

(3) Seeking to influence the priority given by an agency to the purchase of land or to a construction project on behalf of another person or governmental entity.

(4) Seeking to influence an agency’s decision regarding a proposed rule in behalf of a client through communications with agency personnel prior to the publication of a notice of rule development pursuant to Section 120.54(2), F.S., or the filing of a petition to initiate rulemaking pursuant to Section 120.54(7), F.S.

(5) Seeking to influence an agency in behalf of a person or governmental entity with respect to policies of the agency.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented Chapter 2014-183, Section 6, L.O.F., 112.3215, 112.3261 FS. History‒New 10-19-14.

Fla. Admin. Code R. 34-12.170 Examples of Activities Not Constituting Lobbying Involving Water Management Districts

As used in this chapter, “lobbying” activities do not include, for example:

(1) Participation at a bid conference held by an agency after bid specifications have been set and announced by the agency.

(2) The mere submission of a bid or proposal in response to an agency’s solicitation of bids or request for proposals.

(3) A request for information about an agency’s procedures, forms, budget, budget proposal, programs, or other requirements in behalf of another.

(4) Appearances before an agency and communications with an agency which are initiated by the agency’s request, such as a response to an agency’s request for information, an appearance in response to an agency subpoena, or a quotation of prices or description of materials or services available in response to an agency’s inquiry.

(5) Advice or services communicated to an agency which arise out of an existing contractual obligation to the agency to render the advice or services provided.

(6) Representation of a client before an agency where the agency’s decision relates to the grant or denial of a permit, license, or certification, or may result in an order imposing or recommending the imposition of disciplinary action against the client.

(7) Representation of a client at a publicly noticed hearing or workshop conducted by an agency regarding a proposed agency rule.

(8) Representation of a person before an agency where the person provides only reimbursement for actual travel, lodging, and meal expenses, rather than compensation, remuneration, or a commission for the representation.

(9) Communications with an agency by an expert consultant retained by a person to gather, analyze, or disseminate information required by the agency, when made in connection with the person’s application for a permit, license, or certification.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented Chapter 2014-183, Section 6, L.O.F., 112.3215, 112.3261 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.175 Examples of Activities Not Constituting Lobbying

[Notice: This rule replaces Rule 34-12.170, F.A.C., except with respect to lobbying activities involving water management districts. Chapter 2014-183, Section 6, Laws of Florida, created Section 112.3261, F.S., “Lobbying before water management districts; registration.” That section provides that “lobbies” means seeking, on behalf of another person, to influence a water management district with respect to a decision of the district in an area of policy or procurement or an attempt to obtain the goodwill of a district official or employee. The term “lobbies” shall be interpreted and applied consistently with the rules of the commission implementing Section 112.3215, F.S. As Rule 34-12.175, F.A.C., was not in existence when the Legislature enacted Section 112.3261, F.S., on May 2, 2014, the rule is not incorporated by reference into Section 112.3261, F.S.]

(1) Participation at a bid conference held by an agency after bid specifications have been set and announced by the agency.

(2) The mere submission of a bid or proposal in response to an agency’s solicitation of bids or request for proposals.

(3) A request for information about an agency’s procedures, forms, budget, budget proposal, programs, or other requirements in behalf of another.

(4) Appearances before an agency and communications with an agency which are initiated by the agency’s request, such as a response to an agency’s request for information, a response to an agency’s request for or invitation to submit comments on a draft or proposed rule, an appearance in response to an agency subpoena, or a quotation of prices or description of materials or services available in response to an agency’s inquiry.

(5) Advice or services communicated to an agency which arise out of an existing contractual obligation to the agency to render the advice or services provided.

(6) Representation of a client before an agency where the agency’s decision relates to the grant or denial of a permit, license, or certification, or may result in an order imposing or recommending the imposition of disciplinary action against the client.

(7) Representation of a client in a rulemaking following the publication of a notice of rule development pursuant to Section 120.54(2), F.S., or the filing of a petition to initiate rulemaking pursuant to Section 120.54(7), F.S., including but not limited to representation at a publicly noticed hearing or workshop conducted by an agency regarding a proposed agency rule.

(8) Representation of a person before an agency where the person provides only reimbursement for actual travel, lodging, and meal expenses, rather than compensation, remuneration, or a commission for the representation.

(9) Communications with an agency by an expert consultant retained by a person to gather, analyze, or disseminate information required by the agency, when made in connection with the person’s application for a permit, license, or certification.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented Chapter 2014-183, Section 6, L.O.F., 112.3215, 112.3261 FS. History‒New 10-19-14.

Fla. Admin. Code R. 34-12.180 Engendering “Goodwill.”

(1) Activities by a lobbyist which do not involve directly attempting to influence a specific decision of an agency in the area of policy or procurement may nonetheless be considered “lobbying” pursuant to Section 112.3215, F.S., and this rule chapter, where an expenditure is made by a lobbyist or principal for the personal benefit of an agency official or employee. Such expenditures will be considered to have been for the purpose of engendering goodwill, unless the agency official or employee is a relative of the lobbyist or principal paying for the expenditure.

(2) For purposes of this rule, “relative” means a person who is related to an agency official or employee as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, mother-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother, half-sister, grandparent, great grandparent, grandchild, great grandchild, step grandparent, step great grandparent, step great grandchild, engaged to be married to the agency official or employee, or who otherwise holds himself or herself out as or is generally known as the person whom the agency official or employee intends to marry or with whom the agency official or employee intends to form a household, or any other natural person having the same legal residence as the agency official or employee.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 1-4-94.

Fla. Admin. Code R. 34-12.190 Indirect Expenditures

(1) Where an expenditure is made to a person other than the agency official or employee by a lobbyist or principal, where the expenditure or the benefit of the expenditure ultimately is received by the agency official or employee, and where the expenditure is provided with the intent to benefit the agency official or employee, such expenditure will be considered a prohibited indirect expenditure to the agency official or employee.

(2) Where an expenditure or the benefit of an expenditure is made to an agency official or employee by someone other than a lobbyist or principal, but the expenditure has been provided by or paid for by a lobbyist or principal who intends thereby to benefit the agency official or employee, such expenditure will be considered a prohibited indirect expenditure to the agency official or employee.

(3) Factors which the Commission will consider in determining whether a prohibited indirect expenditure has been made include but are not limited to:

(a) The existence or nonexistence of communications by the lobbyist or principal, or by the intervening third person, indicating the lobbyist’s or principal’s intent to make or convey the expenditure to the agency official or employee rather than to the intervening third person;

(b) The existence or nonexistence of any relationship between the lobbyist or principal and the third person, independent of the relationship between the lobbyist or principal and the agency official or employee, that would motivate an expenditure to the third person;

(c) The existence or nonexistence of any relationship between the third person and the agency official or employee that would motivate the expenditure;

(d) Whether the same or similar expenditures have been or are being provided to other persons having the same relationship to the lobbyist or principal as the third person;

(e) Whether, under the circumstances, the third person had full and independent decision-making authority to determine whether the agency official or employee, or another, would receive the benefit of the expenditure;

(f) Whether the third person was acting with the knowledge or consent of, or under the direction of, the lobbyist or principal;

(g) Whether there were or were intended any payments or bookkeeping transactions between the third person and the lobbyist or principal reimbursing the third person for the expenditure; and

(h) The degree of ownership or control the lobbyist or principal has over the third person.

(4) The provisions of this rule may be illustrated by the following examples:

Example 1: A law firm which lobbies the agency of Agency Employee A (“A”) invites all of its attorneys to attend a weekend retreat. The attorneys are encouraged to bring their spouses or significant others at the firm’s expense. A is married to an attorney in the firm and has been asked by her spouse to attend the retreat. The lodging, meals, and entertainment provided to A for the weekend retreat would not be considered a prohibited indirect expenditure to A because the firm’s invitation was to A’s spouse through his employment with the firm.

Example 2: Agency Official B (“B”) hosts a turkey shoot attended by other agency officials and employees. Lobbyists who lobby the agency of B give money to a third person, who is not an agency official or employee, to pay for the food and beverages which will be served at the turkey shoot. B orders and prepares the food and beverages. The money provided to the third person by the lobbyists would be a prohibited indirect expenditure to B, because it was given with the intent of benefiting B and his guests at the turkey shoot.

Example 3: Agency Official C (“C”) and C’s spouse have arranged to take a trip to New York City. A lobbyist who lobbies C’s agency meets with the spouse and offers her theater tickets. The lobbyist and C’s spouse know each other only through the lobbyist’s involvement with C. The theater tickets would be a prohibited indirect expenditure to C.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 6-15-06.

Fla. Admin. Code R. 34-12.200 Lobbyist Registration Requirements

(1) A person who is a “lobbyist” as defined in Section 112.3215(1)(h), F.S., and this rule chapter may not lobby an agency until he or she has registered as a lobbyist with the Commission. Registration may be made by electronic means at www.floridalobbyist.gov or on CE Form 20, Executive Branch Lobbyist Registration. Registration shall require the registrant to disclose, under oath, the following:

(a) Name, business address, and telephone number;

(b) Name, business address, and telephone number of each principal represented by the registrant;

(c) Name, business address, and telephone number of the lobbying firm on behalf of which the registrant is representing the principal, if any;

(d) His or her area of interest;

(e) The agencies before which he or she will appear; and

(f) The existence of any direct or indirect business association, partnership, or financial relationship with any employee of an agency which he or she lobbies, or intends to lobby.

(2) The registrant shall pay an annual registration fee of $25.00 for each principal represented, which will be deposited into the Executive Branch Lobbyist Registration Trust Fund. The fee is payable only once on a calendar year basis and there will be no charge if the lobbyist amends his or her registration to lobby additional agencies on behalf of the same principal.

(3) The registrant shall include a separate statement signed by the principal or the principal’s representative that the registrant is authorized to represent the principal. On this statement, the principal will also identify and designate its main business using the 6-digit NAICS code published in the North American Industry Classification System–United States. Classification system information can be obtained by contacting the NAICS Association, 129 Lakeshore Drive, Rockaway, NJ 07866, or by visiting its website: www.naics.com.

(4) Any changes to the information provided on the registration form must be reported to the Commission in writing within 15 days.

(5) A person convicted of a felony after January 1, 2006 may not register as a lobbyist until:

(a) The person has been released from incarceration and any post-conviction supervision;

(b) The person has paid all court costs and court-ordered restitution; and

(c) The person has had his or her civil rights restored.

(6) In the event that a lobbyist who has registered with the Commission undertakes to represent a new principal, or to represent a principal for whom he or she previously has registered before an agency for which he or she had not registered, a new registration shall be made before lobbying the agency in behalf of that principal.

(7) Registration by electronic means may be made via the Lobbyist Registration and Compensation Reporting system available at www.floridalobbyist.gov or by using CE Form 20, Executive Branch Lobbyist Registration, Effective 1/2015 http://www.flrules.org/Gateway/reference.asp?No=Ref-04834. The CE Form 20 and instructions may be obtained without cost from the Lobbyist Registration Office, 111 West Madison Street, Room G-68, Tallahassee, Florida 32399, Telephone (850)922-4990.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 12-6-92, 6-15-06, 8-18-10, 8-18-10, 1-1-13, 1-8-15, 11-24-15.

Fla. Admin. Code R. 34-12.210 Effective Date of Registration

A lobbyist’s registration to lobby a particular agency on behalf of a particular client shall be effective upon completion of the registration process provided by the Lobbyist Registration and Compensation Reporting system available at www.floridalobbyist.gov or receipt by the Commission or other office established to administer lobbyist registration of the completed registration form identified in Rule 34-12.200, F.A.C., submission of a statement signed by the principal or principal’s representative providing that the registrant is authorized to represent the principal, and payment of the annual lobbyist registration fee.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 10-6-91, 7-5-92, 12-6-92, 1-8-15.

Fla. Admin. Code R. 34-12.300 Registration Forms

History

• Rulemaking Authority 112.3215, 112.322(10) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 10-6-91, 1-1-97, Repealed 6-15-06.

Fla. Admin. Code R. 34-12.310 Registration Fees

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 10-6-91, 1-1-97, 11-24-97, 1-1-02, Repealed 6-15-06.

Fla. Admin. Code R. 34-12.320 Filing Registration Forms and Fees

History

• Rulemaking Authority 112.3215, 112.322(10) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 7-5-92, 1-4-94, 1-1-97, Repealed 6-15-06.

Fla. Admin. Code R. 34-12.330 Annual Renewals

(1) Each lobbyist must renew his or her registration to lobby an agency on behalf of a principal on a calendar year basis by electronic means at www.floridalobbyist.gov or by filing a CE Form 20-R, Lobbyist Renewal Form, and payment of the annual registration fee of $25.00 for each principal represented.

(2) CE Form 20-R, Executive Branch Lobbyist Renewal, effective 1/2017, http://www.flrules.org/Gateway/reference.asp?No=Ref-07718 or by electronic means via the Lobbyist Registration and Compensation Reporting system available at www.floridalobbyist.gov. To be utilized by lobbyists to renew their annual registration as an Executive Branch lobbyist. The Form 20-R is generated by the Lobbyist Registration Office and may be obtained without cost from the Lobbyist Registration Office, 111 West Madison Street, Room G-68, Tallahassee, Florida 32399, Telephone (850)922-4990.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 10-6-91, 7-5-92, 12-6-92, 1-1-97, 11-24-97, 1-1-02, 6-15-06, 8-18-10, 1-1-13, 1-8-15, 11-24-15, 1-9-17.

Fla. Admin. Code R. 34-12.340 Cancellation of Registration

The principal of a lobbyist may cancel the lobbyist’s registration by providing written notice to the Commission that the lobbyist is no longer authorized to represent that principal. A lobbyist must cancel his or her registration with the Commission upon termination of his or her contract or other such employment relationship with his or her principal. Such cancellation must be provided promptly by written notice to the Commission and until received, the lobbying firm will continue to be responsible for filing all required compensation reports. In the event of a cancellation before the end of the year for which the lobbyist has paid the annual registration fee, no portion of the fee will be refunded to the lobbyist.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 12-6-92, 8-7-94, 1-1-97, 6-15-06.

Fla. Admin. Code R. 34-12.400 Compensation Reporting Requirements

(1) Each lobbying firm shall file a CE Form 24, Executive Branch Quarterly Compensation Report, with the Commission on Ethics for each calendar quarter during any portion of which one or more of the firm’s lobbyists were registered to represent a principal. Pursuant to Section 112.32155, F.S., compensation reports must be filed electronically. The Quarterly Compensation Report shall include:

(a) Full name, business address, and telephone number of the lobbying firm;

(b) Name of each of the firm’s lobbyists; and

(c) Total compensation provided or owed to the lobbying firm from all principals for the reporting period, reported in one of the following categories:

1. • 0 -

2. $1 to $49,999

3. $50,000 to $99,999

4. $100,000 to $249,999

5. $250,000 to $499,999

6. $500,000 to $999,999

7. $1 million or more

(2) For each principal represented by the lobbying firm’s lobbyists, the Quarterly Compensation Report shall also include:

(a) Full name, business address, and telephone number of the principal;

(b) Total compensation provided or owed to the lobbying firm for the reporting period, reported in one of the following categories:

1. • 0 -

2. $1 to $9,999

3. $10,000 to $19,999

4. $20,000 to $29,999

5. $30,000 to $39,999

6. $40,000 to $49,999

7. $50,000 or more. When this category is selected, the specific dollar amount of the compensation must be reported, rounded up or down to the nearest $1,000.

(c) For lobbying work subcontracted from another lobbying firm and not directly from the principal originating the work, the employing lobbying firm shall be treated as the reporting lobbying firm’s principal, but the name and address of the principal originating the work shall also be provided.

(3) Compensation “provided or owed” shall be reported using the accrual basis of accounting.

(4) Compensation provided or owed for lobbying activities as defined in subsection 34-12.020(6), F.A.C., and as described in Rule 34-12.160, F.A.C., should be reported. Compensation provided or owed for activities that are excluded, as provided in Rules 34-12.110, 34-12.120 and 34-12.130, F.A.C., and as described in Rule 34-12.170, F.A.C., is not required to be reported.

(5) The senior partner, officer, or owner of the lobbying firm filing the Quarterly Compensation Report shall certify:

(a) To the veracity and completeness of the information submitted on the Quarterly Compensation Report;

(b) That no compensation has been omitted from the Quarterly Compensation Report by deeming such compensation as “consulting services,” “media services,” “professional services,” or anything other than compensation; and

(c) That no officer or employee of the lobbying firm has made an expenditure in violation of Section 112.3215, F.S., as amended by Chapter 2005-359, Laws of Florida.

(6) For each principal represented by two or more lobbying firms, the Commission shall aggregate quarterly and annually the compensation reported as provided or owed to lobbying firms by the principal by aggregating the reported ranges and specific dollar amounts.

(7) CE Form 24, Executive Branch Quarterly Compensation Report. Effective 6/2006. CE Form 24 must be created and submitted through the Lobbyist Registration and Compensation Reporting system, not later than 11:59 p.m. (Eastern Time) on the date of the filing deadline. Proof of electronic filing will be by electronic receipt indicating the date and time that the report was submitted. The Lobbyist Registration and Compensation Reporting system may be accessed at www.floridalobbyist.gov.

History

• Rulemaking Authority 112.3215, 112.32155, 112.322(9) FS. Law Implemented 112.3215, 112.32155 FS. History–New 10-12-89, Amended 7-5-92, 12-6-92, 1-4-94, 1-1-97, 12-21-00, 6-15-06, 8-18-10, 1-8-15.

Fla. Admin. Code R. 34-12.405 Penalties for Late Filing

(1) Upon determining that a Quarterly Compensation Report is late, the person designated to review the timeliness of reports shall immediately notify the lobbying firm of its failure to timely file the report and that a fine is being assessed for each late day. The fine shall be $50 per day per report for each late day up to a maximum of $5,000 per late report.

(2) Upon receipt of the late-filed report, the person designated to review the timeliness of reports shall determine the amount of the fine due based upon the earliest of the following:

(a) When a report is actually received by the lobbyist registration and reporting office; or

(b) When the electronic receipt issued pursuant to Section 112.32155, F.S., is dated.

(3) After the person designated to review the timeliness of reports has calculated the amount of the fine that has been assessed against a lobbying firm, the lobbying firm will be notified of the amount of the payment due.

(4) Such fine shall be paid within 30 days after the notice of payment due is transmitted by the lobbyist registration office, unless appeal is made to the Commission. The monies shall be deposited into the Executive Branch Lobby Registration Trust Fund.

(5) A fine shall not be assessed against a lobbying firm the first time any reports for which the lobbying firm is responsible are not timely filed. However, to receive the one-time fine waiver, all reports for which the lobbying firm is responsible must be filed within 30 days after the notice that any reports have not been timely filed is transmitted by the lobbyist registration office. A fine shall be assessed for any subsequent late-filed reports.

(6) The person designated to review the timeliness of reports shall notify the Commission of the failure of a lobbying firm to file a report after notice or of the failure of a lobbying firm to pay the fine imposed.

(7) Fines imposed by the Commission that remain unpaid 60 days after the notice of payment due is transmitted or 60 days after the Commission renders its final order shall be transmitted to the Department of Financial Services for collection.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 1-1-97, Amended 11-24-97, 12-21-00, 6-15-06, 1-8-15.

Fla. Admin. Code R. 34-12.407 Appeal of Statutory Fines: Hearings, Unusual Circumstances

(1) A lobbying firm wishing to appeal or dispute a fine imposed in accordance with Section 112.3215(5)(d)5., F.S., shall file with the Commission on Ethics a notice of appeal within 30 days of the date of the notice of payment due is transmitted by the lobbyist registration office, setting out with specificity the unusual circumstances surrounding the failure to file on the designated due date. The notice of appeal may be accompanied by any documentation or evidence supporting the claim.

(2) Failure to timely file a notice of appeal as described herein shall constitute a waiver of any such entitlement. A final order of waiver shall be promptly entered by the chairman of the Commission on Ethics without the necessity of any further action being taken by the Commission.

(3) A lobbying firm desiring a hearing before the Commission shall include in the notice of appeal a separate request for hearing. If no request for hearing is included in the notice of appeal, the Commission’s determination shall be based on the notice and any supporting information and shall be final agency action. If a separate request for hearing is included in the notice, notice of hearing shall be provided and the Commission’s determination after hearing shall be final agency action. Failure to appear in accordance with the notice of hearing shall constitute a waiver of such entitlement, and the Commission shall dispose of the case on the written record before it.

(4) “Unusual circumstances” means uncommon, rare or sudden events over which the actor has no control and which directly result in the failure to act in accordance with the filing requirements. Circumstances which allow for time in which to take those steps necessary to assure compliance with the filing requirements shall be deemed not to constitute unusual circumstances.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 1-1-97, Amended 12-21-00, 6-15-06.

Fla. Admin. Code R. 34-12.410 Expenditure Report Form

History

• Rulemaking Authority 112.3215, 120.53 FS. Law Implemented 112.3215 FS. History–New 10-12-89, Repealed 1-4-94.

Fla. Admin. Code R. 34-12.420 Notification of Compensation Reporting Deadlines

Following each quarterly reporting period, the Commission will send to each lobbying firm that has one or more currently registered lobbyists a notice stating that a compensation report must be filed on or before the specified date.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 7-5-92, 12-6-92, 1-4-94, 8-7-94, 1-1-97, 12-21-00, 6-15-06, 1-8-15.

Fla. Admin. Code R. 34-12.430 Lobbyist’s Expenditure Reports

History

• Rulemaking Authority 112.3215, 112.322(10) FS. Law Implemented 112.3215 FS. History–New 1-4-94, Amended 1-1-97, 11-24-97, 12-21-00, Repealed 6-15-06.

Fla. Admin. Code R. 34-12.440 Consolidated Expenditure Report

History

• Rulemaking Authority 112.3215 FS. Law Implemented 112.3215 FS. History–New 1-4-94, Repealed 1-1-97.

Fla. Admin. Code R. 34-12.450 Expenditure Catefories

History

• Rulemaking Authority 112.3215, 112.322(10) FS. Law Implemented 112.3215 FS. History–New 1-4-94, Amended 12-21-00, Repealed 6-15-06.

Fla. Admin. Code R. 34-12.460 Calculating Amounts of Expenditures

History

• Rulemaking Authority 112.3215, 112.322(10) FS. Law Implemented 112.3215 FS. History–New 1-4-94, Repealed 6-15-06.

Fla. Admin. Code R. 34-12.500 Agency Responsibilities

Each agency should take reasonable steps to inform its employees who are likely to be approached by a lobbyist of the registration requirements of Section 112.3215, F.S., and to advise those employees to inform persons who may be required to register as lobbyists that:

(1) They may be subject to the requirement of registering as a lobbyist with the Commission or other office established to administer lobbyist registration; and

(2) They should contact the Commission or other office established to administer lobbyist registration for registration forms, if not available at the agency, and for further information about the requirements of the registration law.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 12-6-92.

Fla. Admin. Code R. 34-12.600 Advisory Opinion Requests

Any person, when in doubt about the applicability and interpretation of Section 112.3215, F.S., to himself in a particular context, may submit in writing the facts of the situation to the Commission with a request for an advisory opinion to establish the standard of duty. An advisory opinion shall be rendered by the Commission which, until amended or revoked, shall be binding on the conduct of the person who sought the opinion, unless material facts were omitted or misstated in the request.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.610 Form of Requests for Opinions

Requests for opinions shall be in writing and signed by the person making the request or by his representative. Requests for opinions shall state all material facts necessary for the Commission to understand the circumstances and render a complete and correct opinion. The person requesting the opinion may, at any time, furnish the Commission with legal memoranda, additional facts, or any other information relevant to the opinion requested.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.620 Receipt of Requests for Opinions; Commission Staff Action

(1) If the Executive Director determines that the person making the request for an opinion does not have standing to receive an advisory opinion, the Executive Director shall notify the person making the request that an advisory opinion cannot be rendered. If the person seeking the opinion has standing to receive an advisory opinion, the Executive Director shall acknowledge receipt of the request.

(2) If additional information would be of assistance in preparing the opinion, the person requesting the opinion shall be notified and asked to furnish such additional information.

(3) A working draft of an opinion shall be prepared by staff of the Commission, under the supervision of the Executive Director. The Executive Director shall approve the final working draft, or may have alternative working drafts prepared, as appropriate.

(4) When a working draft of the advisory opinion is completed and approved by the Executive Director, it shall be sent to all Commission members at least ten days prior to the meeting of the Commission at which it will be considered. The person requesting the opinion shall be provided a copy of the working draft or drafts and shall be notified of the time and place of the Commission meeting at which the opinion will be agendaed for consideration. The person requesting the opinion shall be advised that the working draft or drafts are not final and that any additional comments, legal memoranda, or further information relevant to the opinion should be submitted as promptly as possible, but no later than the day before the meeting when the advisory opinion will be considered. The person requesting the opinion may attend the meeting and be heard by the Commission with respect to the opinion.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 6-28-98.

Fla. Admin. Code R. 34-12.630 Consideration and Issuance of Opinions by Commission; Reconsideration of Opinions

(1) The draft or drafts of the advisory opinion shall be considered as an agenda item by the Commission and adopted in full, amended, modified, or rejected. The Commission may take any other action necessary for the rendition of a full and accurate opinion, including, but not limited to, directions that further information be provided or that further research be undertaken.

(2) The advisory opinion shall be finally approved by the Commission by majority vote. The opinion shall be numbered, dated, and signed by the Chair. The advisory opinion shall be mailed to the person who requested the opinion.

(3) A person requesting an advisory opinion may request reconsideration of the opinion by filing with the Commission a request for reconsideration within 15 days of the date the opinion was rendered. The request for reconsideration shall set forth material facts and circumstances which were not before the Commission in its deliberations on the request or which were misstated in the opinion. If the Commission finds that these facts and circumstances would alter the opinion, the Commission may order its staff to redraft the final opinion or to prepare a new working draft of the opinion for later consideration. If the Commission finds that these facts and circumstances would not alter the opinion, it shall deny the request for reconsideration and so notify the person requesting the opinion by letter.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 6-28-98.

Fla. Admin. Code R. 34-12.640 Effect of an Advisory Opinion

Until amended or revoked, an advisory opinion shall be binding on the conduct of the person who sought the opinion, or with reference to whom the opinion was sought, unless material facts were omitted or misstated in the request for the opinion.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.650 Publication of Advisory Opinions

Advisory opinions relating to lobbying executive branch agencies shall be published together with other advisory opinions rendered by the Commission, as provided in Rule 34-6.010, F.A.C. The first two digits of the advisory opinion number shall be the last two digits of the year in which the opinion was rendered. Following the year shall be a dash and the number of the opinion. For example, the tenth opinion issued in 1989 will be 89-10, or CEO 89-10.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.660 Records Retention and Inspection

(1) Each lobbyist, each lobbying firm, and each principal shall preserve for a period of 4 years all accounts, bills, receipts, computer records, books, papers, and other documents and records necessary to substantiate lobbying compensation.

(2) Any documents and records retained pursuant to Section 112.3215, F.S., may be subpoenaed for audit by the Legislative Auditing Committee pursuant to Section 11.40, F.S., and such subpoena may be enforced in circuit court.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 1-4-94, Amended 6-15-06.

Fla. Admin. Code R. 34-12.700 Complaint Proceedings, Generally

Commission proceedings on sworn complaints alleging that a lobbyist has failed to register, has failed to submit a compensation report, or that a lobbyist or principal has knowingly submitted false information in any report or registration required to be filed by Section 112.3215, F.S., shall be governed by the procedures set forth in Rules 34-12.700 through 34-12.760, F.A.C.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 1-4-94, 11-24-15.

Fla. Admin. Code R. 34-12.705 Parties

The Commission’s proceedings under these rules relating to investigation of complaints are preliminary to agency action and therefore do not determine the substantial interests of any party. However, the following persons shall be considered to be “parties” to the limited extent that under these rules they are entitled to notice and the opportunity to attend, participate in, or observe Commission complaint proceedings:

(1) The Respondent, who shall be the person who is the subject of the complaint;

(2) The Complainant(s), who shall be the person(s) who signed the sworn complaint; and

(3) The Advocate, who shall be an Assistant Attorney General or another attorney designated by the Commission. No intervenors shall be permitted.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.710 Counsel

(1) The Respondent and the Complainant may be represented by an attorney or by a qualified representative. After a written notice of appearance of the party’s representative has been received by the Commission, all notices and communications to a party shall be made to the party’s representative, and the party’s representative shall be entitled to exercise the rights granted to the party under these rules.

(2) Appearances by counsel or other qualified representatives shall be governed by Rules 28-106.105 and 28-106.106, F.A.C. The qualifications of a representative shall be determined in accordance with Rule 28-106.106, F.A.C. Qualified representatives shall observe the standards of conduct specified in Rule 28-106.107, F.A.C.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215, 120.62(2) FS. History–New 10-12-89, Amended 6-28-98.

Fla. Admin. Code R. 34-12.715 Staff Procedures Upon Receipt of a Complaint

(1) Safeguarding Confidential Materials. Upon receipt of a sworn complaint, staff shall stamp on the face thereof the date on which the complaint was received in the Commission office. Each complaint received shall be assigned a control number which shall be entered on the complaint itself and on a colored folder in which the complaint shall be filed so long as it remains confidential. Any document related to the complaint shall be entered into the complaint file.

(2) Technical and Clerical Review. Upon receipt of a complaint, staff of the Commission shall review the complaint to insure that the proper complaint form has been used, that all the information required has been provided, that only one Respondent has been named in each complaint form submitted, and that the complaint has been properly signed by the Complainant under oath. One or more persons may sign a complaint under oath; however, when the complaint is to be filed under oath in a representative capacity, the complaint shall include sufficient information to indicate the Complainant’s authority to file the complaint in behalf of the corporation, association, group, organization, or other entity. If the complaint lacks any of the foregoing or is otherwise incomplete, the complaint shall be returned to the Complainant with instructions on remedying the defect. Commission staff shall provide assistance or information to persons seeking to file a complaint, but shall not encourage, solicit, or discourage the filing of a complaint.

(3) Transmittal of Complaint to Respondent. A copy of the sworn complaint shall be transmitted to the Respondent by certified mail, return receipt requested, prior to any Commission or staff action on the complaint. Subsequent sworn amendments to the complaint also shall be transmitted to the Respondent in the same manner. If the certified mailing is returned undelivered, personal service of the copy of the complaint may be used in the manner provided by law for service of subpoenas, while maintaining the confidentiality of the complaint to the extent possible under the circumstances.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.720 Review for Sufficiency of Allegations and Order of Preliminary Investigation

(1) After the complaint has been reviewed and found to be in proper form, the complaint shall be reviewed by the Executive Director in order to determine whether the Commission has jurisdiction over the complaint. Complaints need not be as precise as would be required by the rules of civil procedure in a court of law and shall be deemed sufficient if the Complainant, under oath upon knowledge of belief, alleges matters which, if true, may constitute a violation of Section 112.3215, F.S. A complaint shall not be insufficient because it is based upon hearsay evidence. In order to make this determination, the Executive Director may request additional information from the Complainant and may obtain information from public records.

(2) If the Executive Director finds that the complaint is sufficient to invoke the jurisdiction of the Commission, the Executive Director shall order an investigation of the complaint and the parties shall be notified accordingly.

(3) If the Executive Director finds that the complaint is not sufficient to invoke the jurisdiction of the Commission, the parties shall be notified and the complaint shall be brought before the Commission in executive session with the recommendations of the Executive Director. The Commission may find the complaint to be sufficient and order an investigation; may find the complaint to be insufficient and dismiss it without investigation; or may take such other action as may be appropriate. The parties shall be notified of the Commission’s action.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.725 Withdrawal of Complaints

After a complaint has been filed with the Commission, the Commission may permit the Complainant to withdraw the complaint only for good cause shown. A request for withdrawal shall be in writing, signed by the Complainant and witnessed by a notary public, and shall state the facts and circumstances constituting good cause. The Executive Director shall prepare a written recommendation regarding disposition of the request, which shall be provided to the Commission together with the request. “Good cause” shall be determined based upon the legal sufficiency or insufficiency of the complaint to allege a violation of the law, the stage of disposition of the complaint before the request was received, the reasons given by the Complainant for wishing to withdraw the complaint, and the public welfare. If withdrawal is permitted, the Commission shall order the complaint dismissed and shall proceed in accordance with Rule 34-12.720, F.A.C., as if the complaint had been dismissed under that rule.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.728 Delegation of Authority

The Commission hereby delegates to its investigators the authority to administer oaths and affirmations, delegates the authority to issue subpoenas to its chair and, in the absence or unavailability of the chair, to its vice chair, and authorizes its employees to serve any subpoena issued under the Commission’s authority.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 6-28-98.

Fla. Admin. Code R. 34-12.730 Subpoenas During Preliminary Investigation

At any time after an investigation of a complaint has been ordered, upon recommendation of the Executive Director or upon motion of the Commission, the Commission Chair or other member authorized by the Commission may authorize the issuance of subpoenas or subpoenas duces tecum. Each subpoena shall be signed by the Chair or another member authorized by the Commission and shall state the person, documents, or other things to be subpoenaed. Each subpoena further shall name the person before whom the witness is to give testimony and the proceeding for which the subpoena is issued. If documents or other things are to be produced, the subpoena shall describe them with as much specificity as reasonably practicable. The subpoena shall state on its face the authority under which it is issued. Such subpoenas shall be issued for investigative purposes only, and neither the Complainant, the Respondent, or their representatives shall be entitled to attend the investigative proceeding at which the witness is to give a statement unless the Complainant or Respondent is the person subpoenaed.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 6-28-98.

Fla. Admin. Code R. 34-12.735 Investigations

(1) Investigators. Investigation shall be conducted by Commission staff, by personnel of the Department of Legal Affairs, or by any other person or agency so designated by the Commission. An investigator shall be impartial and unbiased in the conduct of the investigation. If an investigator feels that for any reason he or she cannot be impartial or unbiased, then the investigator shall so notify the Executive Director and shall immediately discontinue working on the investigation. If the Executive Director or the Commission concludes that the investigator cannot be unbiased or impartial, the investigator shall be relieved of any further responsibilities for that investigation.

(2) Scope of Investigation. Investigations shall be limited to evidence relating to the potential violations alleged in the complaint as determined in the order to investigate entered by the Executive Director or the Commission.

(3) Investigator’s Contacts with Potential Witnesses. Except when obtaining copies of public records, the investigator shall inform the person being interviewed of the confidential nature of the complaint and of the investigation, unless the Respondent has waived confidentiality.

(4) Investigative File. The investigator shall prepare an investigative file containing: copies of all documents obtained during the course of the investigation; tape recordings of interviews with witnesses which have been recorded; summaries or notes of interviews which have not been recorded; and any other materials of probative value to the issues investigated.

(5) Report of Investigation. Upon the completion of the investigation, the investigator shall prepare a report to the Commission. The report shall contain a narrative account of all pertinent information obtained through interviews of witnesses, documentary evidence, or other sources, and shall include a discussion of any conflicts in the evidence. The report shall make no recommendation as to whether a violation is indicated by the evidence.

(6) Notification of Completion of Investigation. The Executive Director shall send to the Respondent and the Complainant a copy of the report of investigation by certified mail, return receipt requested.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.740 Motions to Dismiss for Lack of Jurisdiction

The Respondent may file a written motion to dismiss the complaint for lack of jurisdiction stating with particularity the grounds therefor. A copy shall be served on the Advocate, who may file a written response within ten days of service of the motion. The Commission shall hear the arguments of the Respondent and Advocate on such a motion immediately prior to the probable cause hearing. If the Commission finds that it has jurisdiction over any matters alleged in the complaint, it shall deny the Respondent’s motion with respect to those allegations and shall proceed to the probable cause hearing of those matters over which it finds it has jurisdiction. If the Commission finds that it has no jurisdiction over any matter alleged in the complaint, it shall order the complaint dismissed and shall proceed in accordance with Rule 34-12.720, F.A.C., as if the complaint had been found insufficient and dismissed without investigation.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.745 Advocate’s Recommendation

The Advocate shall review the report of investigation and make a written recommendation to the Commission as to whether there is probable cause to believe that the Respondent violated Section 112.3215, F.S. A copy of the recommendation shall be sent by certified mail, return receipt requested, to the Respondent and the Complainant no later than 14 days prior to the probable cause hearing.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.750 Probable Cause Hearing

(1) Notice of Hearing. The Respondent and the Complainant shall be given at least 14 days notice of the probable cause hearing.

(2) Scope of Hearing. The probable cause hearing is the conclusion of the preliminary investigation. The Respondent and the Advocate shall be permitted to make brief oral statements in the nature of oral argument to the Commission, based on the investigator’s report, before the probable cause determination. The Commission’s determination shall be based upon the investigator’s report, the Advocate’s recommendation, the complaint, and staff recommendations, as well as any written statements submitted by the respondent and any oral statements made at the hearing. No testimony or other evidence will be accepted at the hearing.

(3) Disposition of Complaint. At the probable cause hearing the Commission may find that there is probable cause to believe that the Respondent committed one or more violations of Section 112.3215, F.S.; may find that there is no probable cause to believe that the Respondent violated Section 112.3215, F.S., and dismiss the complaint; or may continue the hearing to allow further investigation. The Commission may also dismiss a complaint at any stage of disposition if it determines that the public interest is not served by proceeding futher, in which case the Commission must issue a public report stating with particularity its reasons for the dismissal.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89, Amended 7-2-00, 1-4-24.

Fla. Admin. Code R. 34-12.755 Notification of Probable Cause Determination

The Commission’s order finding probable cause or finding no probable cause shall be sent to the Respondent and the Complainant by certified mail, return receipt requested. If the Commission finds probable cause to believe a violation occurred, copies of the complaint, of the report of investigation, and of the Commission’s order shall be sent to the Governor and Cabinet.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Fla. Admin. Code R. 34-12.760 Confidentiality

The complaint and all Commission and staff activities, proceedings, and documents relating to a complaint are confidential, notwithstanding any provision of Chapters 119, 120 and 286, F.S., unless confidentiality is waived in writing by the Respondent.

(1) When a complaint is dismissed without investigation as provided in Rule 34-12.720, F.A.C., the complaint, the Executive Director’s recommendation, and the Commission’s order dismissing the complaint will become public records available to the public upon the filing of the order with the Clerk of the Commission; the remainder of the file and the investigative file will remain confidential.

(2) When a complaint is dismissed with a finding of no probable cause, the complaint, the report of investigation, and the Commission’s order will become public records available to the public upon the filing of the order with the Clerk of the Commission; the remainder of the file and the investigative file will remain confidential.

(3) When the Commission finds probable cause to believe that a violation has occurred, all documents made or received in the disposition of the complaint shall become public records available to the public upon the filing of the Commission’s order with the Clerk of the Commission.

History

• Rulemaking Authority 112.3215, 112.322(9) FS. Law Implemented 112.3215 FS. History–New 10-12-89.

Chapter 34-13 GIFTS AND HONORARIA

Fla. Admin. Code R. 34-13.100 Purpose

(1) The purpose of this chapter is to provide notice and guidance to public officials, candidates, employees, and local government attorneys, as well as the general public, by implementing the provisions in the Code of Ethics for Public Officers and Employees (Chapter 112, Part III, F.S.) regarding the prohibitions to and reporting of the receipt of gifts, honoraria, and expenses related to honorarium events. To a limited extent, the rules of this chapter also are intended to provide notice of how other provisions in the Code of Ethics may apply in this context.

(2) The Commission on Ethics will utilize the provisions contained in this chapter in advisory opinions requests, complaint proceedings, and referrals coming before the Commission.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.3149 FS. History–New 4-16-92, Amended 1-11-16.

Fla. Admin. Code R. 34-13.110 Organization of Rule Chapter

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.31485, 112.3149 FS. History–New 4-16-92, Repealed 1-11-16.

Fla. Admin. Code R. 34-13.120 Persons Who Are Subject to the Law

In general, the following persons are subject to various provisions of the Code of Ethics regarding gifts, things of value, honoraria, and expenses related to honorarium events.

(1) Public officers, whether elected or appointed and including members of advisory boards, at any level of government in Florida other than the federal government, except judges. This includes governmental units at the local or State level; any State, regional, county, municipal, or district governmental entity; any public school, community college, or State university; or any department, commission, authority, district, political subdivision, or other such governmental agency.

(2) Public employees at any level of government in Florida other than the federal government, including the governmental units described above.

(3) Candidates for elective public office, whether State or local.

(4) Spouses, minor children, parents and siblings of public officers and public employees.

(5) Persons who are paid a salary, fee, or otherwise receive compensation for lobbying any State or local governmental official or agency, the employers and principals of any such lobbyists, and the partners and firms of such lobbyists. The compensation which is paid does not have to be specifically designated for the purpose of lobbying.

(6) Vendors.

(7) Political committees as defined under the Florida elections laws.

(8) Local government attorneys, as defined in Section 112.313(16), F.S.

(9) Other persons as designated by law.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.31485, 112.3149 FS. History–New 4-16-92, Amended 2-27-95, 1-11-16.

Fla. Admin. Code R. 34-13.130 General Statement of the Law Regarding Gifts, Things of Value, Honoraria, and Honorarium Event Related Expenses

The Code of Ethics contains both provisions that prohibit soliciting, giving, or accepting certain gifts, honoraria, and honorarium event related expenses and provisions that require the public disclosure of gifts, honoraria, and honorarium event related expenses under certain circumstances.

(1) All public officers, public employees, local government attorneys, candidates, and others as designated by law, are subject to the prohibition in Section 112.313(2), F.S., against soliciting or accepting anything of value based upon any understanding that their official action would be influenced thereby.

(2) All public officers, local government attorneys, public employees, and others as designated by law, and their spouses and minor children, are subject to the prohibition in Section 112.313(4), F.S., against accepting any thing of value when they know or should know that it is given to influence their official action.

(3) All public officers and employees, and others as designated by law, are subject to the prohibition in Section 112.313(7), F.S., against having certain conflicting employment or contractual relationships. While the acceptance of a gift will not usually create an employment or contractual relationship, the acceptance of an honorarium or the payment of expenses related to an honorarium event may constitute an employment or contractual relationship which could create a prohibited conflict of interest pursuant to Section 112.313(7), F.S. For example, if you are hired on a long-term contract to have a recurring requirement to speak at certain events, that could present a conflict under Section 112.313(7), F.S.

(4) In addition, persons who are classified as “reporting individuals” or as “procurement employees” are subject to the extensive prohibitions and disclosure requirements in Sections 112.3148, 112.31485, and 112.3149, F.S., that pertain to receiving gifts, honoraria, and expenses related to an honorarium event. The rules of this chapter are primarily intended to assist in the interpretation of these prohibitions and disclosures. Reporting individuals and procurement employees are also subject to the ban in Section 112.3215, F.S., on accepting expenditures, which is addressed in Chapter 34-12, F.A.C.

(5) Lobbyists, the employers and principals of lobbyists, the partners and firms of lobbyists, political committees, and vendors doing business with the agency of a reporting individual or procurement employee also are subject to the extensive prohibitions and disclosure requirements in Sections 112.3148, 112.31485, and 112.3149, F.S., that pertain to giving gifts, honoraria, and expenses related to an honorarium event. Lobbyists and the principals of lobbyists are also subject to the ban in Section 112.3215, F.S., on making expenditures, which is addressed in Chapter 34-12, F.A.C.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.31485, 112.3149 FS. History–New 4-16-92, Amended 2-27-95, 1-11-16.

Fla. Admin. Code R. 34-13.140 General Considerations for Reporting Individuals and Procurement Employees

(1) First, persons in this category should determine whether they can solicit or accept a gift, honorarium, or the payment of honorarium event related expenses, according to the following general principles.

(a) No gift, honorarium, or payment of honorarium event related expenses can be accepted:

1. If it is based on the understanding that the person’s official action would be influenced thereby;

2. If the person knows, or with the exercise of reasonable care should know, that it is being given to influence the person’s official action.

(b) No gift may be accepted from a political committee, unless it is primarily related to contributions, expenditures, or other political activities authorized pursuant to Chapter 106, F.S.

(c) No honorarium may be accepted from a political committee. No honorarium event related expenses can be accepted from a political committee unless such expenses are primarily related to contributions, expenditures, or other political activities authorized pursuant to Chapter 106, F.S.

(d) If the acceptance of an honorarium or the payment of expenses related to an honorarium event involves an employment or contractual relationship, it may be prohibited if it presents a conflict of interest.

(e) In addition, the person may be prohibited from soliciting a gift or accepting a gift from a lobbyist, from the partner, firm, employer, or principal of a lobbyist, or from a vendor doing business with the person’s agency. Gifts from close relatives and certain other persons in close relationships are not restricted by this prohibition and may be solicited or accepted. However, a gift to the spouse, parent, child, or sibling of a reporting individual or procurement employee from a lobbyist who lobbies the agency of the reporting individual or procurement employee, from the partner, firm, employer, or principal of a lobbyist, or from a political committee or vendor, may be prohibited or may be treated as an indirect gift to the reporting individual or procurement employee. Specific rules about when these prohibitions apply are contained in Rules 34-13.300 through 34-13.320, F.A.C.

(f) The person also may be prohibited from soliciting an honorarium or accepting an honorarium or expenses related to an honorarium event from a lobbyist, from the partner, firm, employer, or principal of a lobbyist, or from a political committee or vendor. Specific rules about when these prohibitions apply are contained in Rules 34-13.610 through 34-16.620, F.A.C.

(2) Secondly, if it is determined that the gift, honorarium, or the payment of honorarium event related expenses can be solicited or accepted, then persons in this category should determine whether public disclosure must be made, according to the following general principles.

(a) Gifts worth over $100 should be disclosed on a quarterly basis, except for gifts from close relatives and certain other persons in close relationships. Gifts worth over $100 from certain governmental entities or from certain private organizations supporting governmental entities should be disclosed on an annual basis. Gifts worth $100 or less do not have to be reported by the person receiving them. Specific rules about these disclosure requirements are contained in Rule 34-13.410, F.A.C.

(b) The payment of expenses related to an honorarium event by a lobbyist, by the partner, firm, employer, or principal of a lobbyist, or by a vendor should be disclosed on an annual basis. Specific rules about when this disclosure requirement applies are contained in Rule 34-13.710, F.A.C.

(c) The payment by a political committee of expenses related to an honorarium event is prohibited unless primarily related to contributions, expenditures, or other political activities authorized pursuant to chapter 106, F.S. In such a case, the payment should be disclosed on an annual basis.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.31485, 112.3149 FS. History–New 4-16-92, Amended 1-11-16.

Fla. Admin. Code R. 34-13.150 General Considerations for Public Officers and Employees Who Are Not Reporting Individuals or Procurement Employees

(1) Persons in this category should determine whether they can solicit or accept a gift, honorarium, or the payment of honorarium event related expenses, according to the following general principles.

(a) No gift, honorarium, or payment of honorarium event related expenses can be accepted if it is based on the understanding that the person’s official action would be influenced thereby or if the person knows, or with the exercise of reasonable care should know, that it is being given to influence the person’s official action.

(b) If the acceptance of an honorarium or the payment of expenses related to an honorarium event involves an employment or contractual relationship, it may be prohibited if it presents a conflict of interest.

(2) Public officers and employees who are not reporting individuals or procurement employees are not required by the Code of Ethics to publicly disclose any gift, honorarium, or the payment of honorarium event related expenses.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.3149 FS. History–New 4-16-92, Amended 1-11-16.

Fla. Admin. Code R. 34-13.160 General Considerations for Lobbyists, Their Partners, Firms, Employers, and Principals, and Political Committees, and Vendors

(1) Persons and entities in this category first should determine whether they can give or provide a gift or honorarium, or pay honorarium event related expenses, according to the following general principles.

(a) The person or entity may be prohibited from giving a gift to a public officer, employee, or candidate who is a reporting individual or a procurement employee. Specific rules about when these prohibitions apply are contained in Rules 34-13.310 through 34-13.320, F.A.C.

(b) The person or entity also may be prohibited from providing an honorarium or paying for expenses related to an honorarium event to or on behalf of a public officer, employee, or candidate who is a reporting individual or a procurement employee. Specific rules about when these prohibitions apply are contained in Rule 34-13.630, F.A.C.

(2) If it is determined that the gift, honorarium, or the payment of honorarium event related expenses can be given or made, then persons and entities in this category secondly should determine whether public disclosure must be made, according to the following general principles.

(a) Gifts to reporting individuals and procurement employees valued over $25, but not more than $100, may be required to be reported by the person or entity to the reporting individual or procurement employee and be publicly disclosed on a quarterly basis. Gifts over $100 from certain governmental entities or from certain private organizations supporting governmental entities may need to be disclosed to the recipient on an annual basis. Specific rules about these disclosure requirements are contained in Rules 34-13.420 through 34-13.430, F.A.C.

(b) The payment of expenses related to an honorarium event to a reporting individual or procurement employee may need to be reported to the recipient within 60 days of the event. Specific rules about this disclosure requirement are contained in Rule 34-13.720, F.A.C.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148, 112.31485, 112.3149 FS. History–New 4-16-92, Amended 1-11-16.

Fla. Admin. Code R. 34-13.200 “Donor” and “Donee” Defined

(1) A “donor” is the person or entity who provides or pays for a gift, whether directly or indirectly.

(2) A “donee” is the person who receives the gift, or on whose behalf the gift is made.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148, 112.3149 FS. History–New 4-16-92.

Fla. Admin. Code R. 34-13.210 General Definition of “Gift.”

(1) For the purposes of Section 112.3148, F.S., “gift” means that which is accepted by a donee or by another on the donee’s behalf, or that which is paid or given to another for or on behalf of a donee, directly, indirectly, or in trust for his benefit or by any other means, for which equal or greater consideration is not given within 90 days of receipt of the gift.

(a) Where the donee has used his official position to render services on behalf of his public agency, such services will not constitute any part of the consideration in determining whether a gift from a person or entity other than the donee’s public agency has been received.

(b) Where the donee is being reimbursed or provided by his public agency for travel or expenses incurred in the performance of public duties, the donee has not received a gift when a public purpose for the expense exists. Salary, benefits, services, fees, or other expenses received by a public officer or employee from his or her public agency do not constitute gifts.

(c) Substantiation of equal or greater consideration having been given is the responsibility of the donee. In substantiating or justifying whether equal or greater consideration has been given by the donee to the donor, the donee should be able to provide information demonstrating the following factors:

1. Where the donee has provided items of merchandise, supplies, raw materials, or finished goods to the donor, the fair market value of the goods shall constitute consideration.

2. Where the donee has performed individual labor or effort for the benefit of the donor as consideration, the donee should be able to demonstrate:

a. The length of time it took to provide the service;

b. The value of the service provided, if ascertainable, which is reasonable and customarily charged in the community; and

c. Whether persons performing similar services for the benefit of the donor received a comparable gift from the donor.

3. Consideration will not include a promise to repay the donor unless the promise is in writing and enforceable, and is executed within 90 days of receipt of the gift.

(2) For purposes of Section 112.31485, F.S., “gift” means any purchase, payment, distribution, loan, advance, transfer of funds, or disbursement of money or anything of value that is not primarily related to contributions, expenditures, or other political activities authorized pursuant to Chapter 106, F.S.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148, 112.31485, 112.3149 FS. History–New 4-16-92, Amended 10-7-04, 1-11-16.

Fla. Admin. Code R. 34-13.212 Specific Examples of What May Constitute a Gift

A “gift” includes any of the following:

(1) Real property.

(2) The use of real property.

(3) Tangible or intangible personal property. For purposes of the definition of “gift,” intangible personal property means money; all evidences of debt owed; all evidences of ownership in a corporation; all evidences of ownership in other business organizations having multiple owners; and all other forms of property where value is based upon that which the property represents rather than its own intrinsic value.

(4) The use of tangible personal property or intangible personal property, as defined above.

(5) A preferential rate or terms on a debt, loan, goods, or services, which rate is below the customary rate and is not either a government rate available to all other similarly situated government employees or officials or a rate which is available to similarly situated members of the public by virtue of occupation, affiliation, age, religion, sex, or national origin.

(6) Forgiveness of an indebtedness.

(7) Transportation, other than that provided to a public officer or employee by an agency in relation to officially approved governmental business, lodging, or parking.

(8) Food or beverage.

(9) Membership dues.

(10) Entrance fees, admission fees, or tickets to events, performances, or facilities.

(11) Plants, flowers, or floral arrangements.

(12) Services provided by persons pursuant to a professional license or certificate.

(13) Other personal services for which a fee is normally charged by the person providing the services.

(14) Any other similar service or thing having an attributable value not already provided for in this rule.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148, 112.3149 FS. History–New 4-16-92, Amended 7-30-00.

Fla. Admin. Code R. 34-13.214 Specific Examples of What Does Not Constitute a Gift

The following are specifically excluded from being a “gift,” for purposes of Section 112.3148, F.S.:

(1) Salary, benefits, services, fees, commissions, expenses, or other things associated primarily with the donee’s employment or business or service as an officer or director of a corporation or organization. “Associated primarily with the donee’s employment or business” means associated with the donee’s principal employer or business occupation and unrelated to the donee’s public position.

(2) Contributions or expenditures reported pursuant to the campaign financing law (Chapter 106, F.S.), campaign-related personal services provided without compensation by individuals volunteering their time, or any other contribution or expenditure by a political party as long as it is not an indirect gift from a prohibited source.

(3) An honorarium or an expense related to an honorarium event paid to a person or his spouse.

(4) An award, plaque, certificate, or similar personalized item given in recognition of the donee’s public, civic, charitable, or professional service.

(5) An honorary membership in a service or fraternal organization presented merely as a courtesy by such organization.

(6) The use of a public facility or public property, made available by a governmental entity, for a public purpose.

(7) Transportation provided to a public officer or employee by an agency in relation to officially approved governmental business.

(8) Gifts provided directly or indirectly by a state, regional, or national organization which promotes the exchange of ideas between, or the professional development of, government officials or employees, and whose membership is primarily composed of elected or appointed public officials or staff, to members of that organization or officials or staff of a governmental agency that is a member of that organization.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148, 112.3149 FS. History–New 4-16-92, Amended 7-30-00, 10-7-04, 1-11-16.

Fla. Admin. Code R. 34-13.220 “Honorarium” Defined

(1) “Honorarium” means a payment of money or anything of value, directly or indirectly, to a reporting individual or procurement employee, or to any other person on his behalf, as consideration for:

(a) A speech, address, oration, or other oral presentation by the reporting individual or procurement employee, regardless of whether presented in person, recorded, or broadcast over the media. “Speech, address, oration, or other oral presentation” means a formal address, lecture, panel discussion, or other presentation which a reporting individual or procurement employee has been invited to make to a gathering of persons. Examples of documents which evidence a speech, address, oration, or other oral presentation made by a reporting individual or procurement employee include but are not limited to:

1. Correspondence received by the reporting individual or procurement employee in advance of the event inviting him or her to make a speech, address, oration, or other oral presentation;

2. Correspondence exchanged in advance of the event confirming the speech, address, oration, or other oral presentation to be made by the reporting individual or procurement employee;

3. A printed agenda or program distributed to persons attending the event which lists the speech, address, oration, or other oral presentation to be made by the reporting individual or procurement employee; and

4. Correspondence received by the reporting individual or procurement employee after the event thanking him or her for having made a speech, address, oration, or other oral presentation.

(b) A writing by the reporting individual or procurement employee, other than a book, which has been or is intended to be published.

(2) The term “honorarium” does not include:

(a) Payment for services related to employment held outside the reporting individual’s or procurement employee’s public position which resulted in the person becoming a reporting individual or procurement employee.

(b) Any ordinary payment or salary received in consideration for services related to the reporting individual’s or procurement employee’s public duties.

(c) A campaign contribution reported pursuant to the campaign financing law (Chapter 106, F.S.).

(d) The payment or provision of actual and reasonable transportation, lodging, and food beverage expenses related to the honorarium event, including any event or meeting registration fee, for a reporting individual or procurement employee and spouse.

(3) To the extent that the transportation, lodging, and food and beverages provided or paid for exceed “actual and reasonable expenses,” this amount constitutes an honorarium. Factors which the Commission will consider in determining the reasonableness of honorarium event related expenses include but are not limited to:

(a) The distance the reporting individual or procurement employee was required to travel to attend the event or function;

(b) The mode of transportation which was utilized by the reporting individual or procurement employee to travel to and from the event or function;

(c) The length of the speech or oral presentation made by the reporting individual or procurement employee;

(d) The length of the event or function where the reporting individual or procurement employee spoke;

(e) The time of day that the reporting individual or procurement employee made the speech or oral presentation;

(f) Participation by the reporting individual or procurement employee at other events or presentations reasonably necessary to the presentation made by the reporting individual or procurement employee; and

(g) Whether the honorarium event related expenses received by the reporting individual or procurement employee are comparable to the expenses incurred by other persons attending the event.

(h) Travel and per diem guidelines contained in Section 112.061, F.S.

(i) The provisions of this subsection may be illustrated by the following example:

EXAMPLE: Where XYZ Association, which employs a lobbyist who lobbies the agency of Reporting Individual A (“A”), holds its annual convention at a location within an hour’s drive of the residence of A, and where A has been invited to speak at the annual convention during a luncheon and that is the only convention event which A attends, it would not be considered reasonable for XYZ Association to pay A’s lodging, food and beverage expenses for any night of the convention.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.3149 FS. History–New 4-16-92, Amended 2-27-95.

Fla. Admin. Code R. 34-13.230 “Honorarium Event” Defined

An “honorarium event” means a meeting or function, or a series of related meetings or functions such as a convention held over several days, where the reporting individual or procurement employee has been invited to make a speech, address, oration, or other oral presentation, as defined in Rule 34-13.220, F.A.C.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148, 112.3149 FS. History–New 4-16-92.

Fla. Admin. Code R. 34-13.240 “Lobbyist” Defined

(1) A “lobbyist” means any natural person who is paid a salary, fee, or is otherwise compensated for seeking, at the time a gift, honorarium, or the payment or provision of expenses related to an honorarium event is solicited or offered, to influence the governmental decisionmaking of, or to encourage of passage, defeat, or modification of any proposal or recommendation by, a reporting individual or procurement employee in an official capacity or the individual’s or employee’s agency.

(2) A “lobbyist” also means any natural person who was paid a salary, fee, or was otherwise compensated for seeking and sought, within the 12 months preceding the time a gift, honorarium, or the payment or provision of expenses related to an honorarium event is solicited or offered, to influence the governmental decisionmaking of, or to encourage the passage, defeat, or modification of any proposal or recommendation by, a reporting individual or procurement employee in an official capacity or the individual’s or employee’s agency.

(3) “Governmental decisionmaking” and “the passage, defeat, or modification of any proposal or recommendation” include, but are not limited to, decisions, proposals, and recommendations in the areas of procurement, policymaking, investigation, or adjudication.

(4) One is “seeking to influence” or “seeking to encourage” when one has the intent to affect a decision, proposal, or recommendation and takes any action that directly or indirectly furthers or communicates one’s intention. A purely informational request made to an agency representative and not intended in any way to directly or indirectly affect a decision, proposal, or recommendation of an officer or employee of an agency does not constitute seeking to influence governmental decisionmaking or seeking to encourage the passage, defeat, or modification of a proposal or recommendation.

(5) With respect to an agency that has established by rule, ordinance, or law a registration process for persons seeking to influence decisionmaking or to encourage the passage, defeat, or modification of any proposal or recommendation by such agency or an employee or official of the agency, the term “lobbyist” includes only a person who is required to be registered as a lobbyist in accordance with such rule, ordinance, or law or who was during the preceding 12 months required to be registered as a lobbyist in accordance with such rule, ordinance, or law. At a minimum, such a registration system must require the registration of, or must designate, persons as “lobbyists” who engage in the same activities as require registration to lobby the Legislature under Section 11.045, F.S.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.3149 FS. History–New 4-16-92, Amended 2-27-95.

Fla. Admin. Code R. 34-13.250 “Procurement Employee” Defined

A “procurement employee” is defined in Sections 112.3148(2)(e) and 112.3149(1)(e), F.S.

(1) “Commodity” means any of the various supplies, materials, goods, merchandise, equipment, and other personal property, including a mobile home, trailer, or other portable structure with floor space of less than 3,000 square feet, purchased, leased, or otherwise contracted for by the State and its agencies, excluding commodities purchased for resale. Printing of publications is a commodity when let upon contract pursuant to Section 283.33, F.S., whether purchased for resale or not. “Commodity” also includes interest on deferred-payment commodity contracts approved pursuant to Section 287.063, F.S., entered into by an agency for the purchase of other commodities. A prescribed drug, medical supply, or device required by a licensed health care provider as a part of providing health services involving examination, diagnosis, treatment, prevention, medical consultation, or administration for clients at the time the service is provided is not considered to be a commodity.

(2) “Contractual service” is defined in Section 287.012, F.S.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148, 112.3149 FS. History–New 4-16-92, Amended 7-30-00, 1-11-16.

Fla. Admin. Code R. 34-13.260 “Relative” Defined

“Relative” means an individual who is related to the subject individual as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, half sister, grandparent, great grandparent, grandchild, great grandchild, step grandparent, step great grandparent, step grandchild, step great grandchild, foster parent or foster child as described in Section 112.312(21), F.S., person who is engaged to be married to the subject individual or who otherwise holds himself or herself out as or is generally known as the person whom the subject individual intends to marry or with whom the subject individual intends to form a household, or any other natural person having the same legal residence as the subject individual.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148, 112.3149 FS. History–New 4-16-92, Amended 7-9-26.

Fla. Admin. Code R. 34-13.270 “Reporting Individual” Defined

(1) A “reporting individual” means any individual who is required by law to file either full or limited disclosure of his financial interest. The Commission has promulgated CE Form 1, Statement of Financial Interests, for use in making the disclosures required by Section 112.3145, F.S., and CE Form 6, Full and Public Disclosure of Financial Interests, for use in making the disclosures required under Article II, Section 8, Florida Constitution. Lists of persons required to file each form can be found on each form.

(2) For purposes of Section 112.3148, F.S., the “agency” of a candidate, upon qualifying, is:

(a) The agency to which the individual seeks election if the candidate is not already a public officer or employee.

(b) The agency to which the individual was elected to serve, whether or not the individual has formally taken office.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.313, 112.3148, 112.31485, 112.3149 FS. History–New 4-16-92, Amended 10-7-04, 1-11-16.

Fla. Admin. Code R. 34-13.300 Prohibition Against Soliciting Gifts

(1) A reporting individual or procurement employee is prohibited from soliciting any gift, food, or beverage from a lobbyist who lobbies the individual’s or employee’s agency, from the partner, firm, employer, or principal of such a lobbyist, or from a political committee or vendor doing business with the individual’s or procurement employee’s agency, where such gift, food, or beverage is for the personal benefit of the individual or employee, another reporting individual or procurement employee, or any parent, spouse, child, or sibling of the individual or employee.

(2) This prohibition applies as of the time of the solicitation.

(3) This prohibition does not apply to gifts solicited from a relative of the reporting individual or procurement employee, regardless of whether the relative is a lobbyist or the partner, employer, or principal of a lobbyist, or a vendor.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.3148 FS. History–New 4-16-92, Amended 1-11-16.

Fla. Admin. Code R. 34-13.310 Prohibitions Against Accepting and Giving Gifts

(1) A reporting individual or procurement employee, or any other person on the individual’s or employee’s behalf, is prohibited from knowingly accepting, directly or indirectly, a gift from a lobbyist who lobbies the individual’s or employee’s agency, or directly or indirectly on behalf of the partner, firm, employer, or principal of such a lobbyist, or from a vendor doing business with the individual’s or employee’s agency, if he knows or reasonably believes that the gift has a value in excess of $100.

(2) A vendor; a lobbyist who lobbies a reporting individual’s or procurement employee’s agency; the partner, firm, employer, or principal of a lobbyist; or another on behalf of the lobbyist or partner, firm, principal, or employer of the lobbyist or vendor is prohibited from giving, either directly or indirectly, a gift that has a value in excess of $100 to the reporting individual or procurement employee or any other person on his behalf.

(3) A reporting individual, or his or her parent, spouse, child, or sibling, is prohibited from soliciting or knowingly accepting, directly or indirectly, anything of value that is not primarily related to contributions, expenditures, or other political activities authorized pursuant to Chapter 106, F.S., from a political committee.

(4) A political committee is prohibited from giving anything of value that is not primarily related to contributions, expenditures, or other political activities authorized pursuant to Chapter 106, F.S., to a reporting individual or procurement employee, or his or her parent, spouse, child, or sibling.

(5) The prohibitions expressed in this rule apply as of the time the gift is given by the donor.

(6) Reasonable inquiry shall be made by the reporting individual or procurement employee of the source of the proposed gift to determine whether it is prohibited.

(7) Where a gift is to be provided by multiple donors, the value of the gift provided by any one donor is equal to the portion of the gift’s value attributable to that donor based upon the donor’s contribution to the gift. The value of the portion provided by any lobbyist, partner, firm, employer or principal of a lobbyist, or vendor cannot exceed $100, and the reporting individual or procurement employee cannot accept the gift if the value of that portion of the gift exceeds $100.

(8) Indirect Gifts.

(a) Where a gift is provided to a person other than the reporting individual or procurement employee by a political committee or vendor, by a lobbyist who lobbies the agency of the reporting individual or procurement employee, or by the partner, firm, employer, or principal of a lobbyist, where the gift or the benefit of the gift ultimately is received by the reporting individual or procurement employee, and where the gift is provided with the intent to benefit the reporting individual or procurement employee, such gift will be considered an indirect gift to the reporting individual or procurement employee.

(b) Where a gift or the benefit of a gift is provided to a reporting individual or procurement employee by someone other than a political committee, a lobbyist, or the partner, firm, employer, or principal of a lobbyist, or a vendor, but the gift or the expense of the gift has been provided by or paid for by a political committee, a vendor, or a lobbyist, or the partner, firm, employer, or principal of a lobbyist, who intends thereby to benefit the reporting individual or employee, such gift will be considered an indirect gift to the reporting individual or procurement employee.

(c) Factors which the Commission will consider in determining whether an indirect gift has been made include but are not limited to:

1. The existence or nonexistence of communications by the donor indicating the donor’s intent to make or convey the gift to the reporting individual or procurement employee rather than to the intervening third person;

2. The existence or nonexistence of any relationship between the donor and the third person, independent of the relationship between the donor and the reporting individual or procurement employee, that would motivate a gift to the third person;

3. The existence or nonexistence of any relationship between the third person and the reporting individual or procurement employee that would motivate the gift.

4. Whether the same or similar gifts have been or are being provided to other persons having the same relationship to the donor as the third person;

5. Whether, under the circumstances, the third person had full and independent decision-making authority to determine whether the reporting individual or procurement employee, or another, would receive the gift;

6. Whether the third person was acting with the knowledge or consent of, or under the direction of, the donor;

7. Whether there were or were intended any payments or bookkeeping transactions between the third person and the donor, reimbursing the third person for the gift; and

8. The degree of ownership or control the donor has over the third person.

(d) The provisions of this subsection may be illustrated by the following examples:

Example 1: A law firm which lobbies the agency of Reporting Individual C (“C”) invites all of its attorneys to attend a weekend retreat. The attorneys are encouraged to bring their spouses or significant others at the firm’s expense. C is married to an attorney in the firm and has been asked by her spouse to attend the retreat. The lodging provided to C for the retreat would be considered a gift to C from her spouse and thus not prohibited, because the firm’s invitation was extended to C’s spouse by virtue of his employment with the firm.

Example 2: Reporting Individual D (“D”) hosts a fox hunt attended by other reporting individuals. Lobbyists who lobby the agency of D give money to a third person, who is not a reporting individual, to pay for the food and beverages which will be served at the fox hunt. D orders and prepares the food and beverages. The money provided to the third person by the lobbyists would be a gift to D, because it was given with the intent of benefiting D and his guests at the fox hunt.

Example 3: A principal which employs 10 lobbyists who lobby the agency of Reporting Individual M (“M”) channels a gift costing $1,000 to M through its 10 lobbyists. Although each lobbyist’s share of the gift is $100, the gift would be prohibited because it is an indirect gift from the principal with a value of excess of $100.

Example 4: Reporting Individual N (“N”) and N’s spouse have arranged to take a vacation trip together. A lobbyist who lobbies N’s agency meets with the spouse and offers to pay for the spouse’s travel expenses, which would exceed $100. The lobbyist and N’s spouse know each other only through the lobbyist’s involvement with N. This would constitute an indirect gift to N, and would be prohibited because its value exceeds $100.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.3148, 112.31485 FS. History–New 4-16-92, Amended 2-27-95, 1-11-16.

Fla. Admin. Code R. 34-13.320 Exceptions to Prohibitions in Section 112.3148, F.S., Against Accepting and Giving Gifts

Unless prohibited by other law, Section 112.3148, F.S., permits the following gifts.

(1) A reporting individual or procurement employee may accept a gift valued in excess of $100 on behalf of a governmental entity or charitable organization. A political committee, vendor, a lobbyist, the partner, firm, employer, or principal of a lobbyist, or another on their behalf may give a gift valued in excess of $100 to a reporting individual or procurement employee if the gift is intended to be transferred to a governmental entity or charitable organization.

(a) If the gift is accepted on behalf of a governmental entity or charitable organization, the person receiving the gift shall not maintain custody of the gift for any period of time beyond that reasonably necessary to arrange for the transfer of custody and ownership of the gift.

(b) “Charitable organization” means an organization described in s. 501(c)(3) of the Internal Revenue Code and exempt from tax under s. 501(a).

(2) An entity of the legislative or judicial branch, a department or commission of the executive branch, a county, a municipality, an airport authority, a water management district created pursuant to Section 373.069, F.S., the South Florida Regional Transportation Authority, or a school board may give, either directly or indirectly, to a reporting individual or procurement employee a gift having a value in excess of $100 if a public purpose can be shown for the gift. The reporting individual or procurement employee may accept such a gift if a public purpose can be shown for the gift.

(a) In order to show a public purpose for the gift, not only must there be a public purpose for the governmental entity’s having given the gift, but also there must be a public purpose in the reporting individual’s or procurement employee’s accepting the gift.

(b) “Public purpose” means that which promotes the public health, safety, and welfare of the citizens of the State or a political subdivision therein, rather than the welfare of a specific individual or class of persons. Where the gift involves attendance at a spectator event and is given by a governmental entity, and where the donee has no direct supervisory or regulatory authority over the event, persons participating in the event, or the governmental entity which gave the tickets to the donee, there is no public purpose shown for the giving of, or the receipt of, the gift.

(3) A direct-support organization specifically authorized by law to support a governmental entity may give, and the reporting individual or procurement employee may accept, a gift valued in excess of $100 if the reporting individual or procurement employee is an officer or employee of the governmental entity supported by the organization.

(4) A relative of the reporting individual or procurement employee may give, and the individual or employee may receive, a gift valued in excess of $100, regardless of whether the relative is a lobbyist or the partner, employer, or principal of a lobbyist, or a vendor.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.3148 FS. History–New 4-16-92, Amended 2-27-95, 10-7-04, 1-11-16.

Fla. Admin. Code R. 34-13.400 Quarterly Gift Disclosure for Reporting Individuals and Procurement Employees

(1) Each reporting individual or procurement employee shall file a sworn statement with the Commission on Ethics containing a list of gifts, if any, accepted by him during a calendar quarter which he believes to be valued in excess of $100, on or before the last day of the following calendar quarter. The Commission shall promulgate CE Form 9, Quarterly Gift Disclosure, for use in making the required disclosure.

(2) The following gifts are not required to be reported:

(a) Gifts from relatives;

(b) Gifts prohibited by Section 112.3148, F.S.;

(c) Gifts otherwise required to be disclosed by the reporting individual or procurement employee under Rules 34-13.410 through 34-13.420, F.A.C.; and,

(d) Gifts accepted by a reporting individual or procurement employee on behalf of a governmental entity or a charitable organization as provided in Rule 34-13.320, F.A.C.

(3) The quarterly gift disclosure statement shall include:

(a) A description of the gift, the monetary value of the gift, the name and address of the person making the gift, and the date(s) thereof. If any of these facts, other than the gift description, are unknown or not applicable, the report shall so state.

(b) A copy of any receipt for such gift provided to the reporting individual or procurement employee by the donor.

(4) The quarterly gift disclosure statement may include an explanation of any differences between the reporting individual’s or procurement employee’s statement and the receipt provided by the donor, and any other information which the reporting individual or procurement employee believes to be pertinent.

(5) If no gifts disclosable under this rule were received during a calendar quarter, the reporting individual or procurement employee is not required to file a statement under this rule for that calendar quarter.

(6) A reporting individual or procurement employee is obligated to disclose any gift reportable under this rule received during the period of his office or employment, regardless of whether the individual or employee still holds that office or employment at the time the quarterly disclosure statement must be filed.

(7) Where a gift valued over $100 has been given to a reporting individual or procurement employee by multiple donors, the names and addresses of all persons or entities who contributed to the acquisition of the gift shall be reported, unless unknown.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.3148 FS. History–New 4-16-92, Amended 10-7-04, 1-11-16.

Fla. Admin. Code R. 34-13.410 Annual Gift Disclosures for Reporting Individuals and Procurement Employees

(1) No later than July 1 of each year, each reporting individual or procurement employee shall file a statement listing each gift having a value in excess of $100 received by the individual or employee, either directly or indirectly, during the previous calendar year from an entity of the legislative or judicial branch, a department or commission of the executive branch, a county, a municipality, an airport authority, a water management district created pursuant to Section 373.069, F.S., the South Florida Regional Transportation Authority, or a school board, for which a public purpose can be shown as provided in Rule 34-13.320, F.A.C.

(2) No later than July 1 of each year, each reporting individual or procurement employee shall file a statement listing each gift having a value in excess of $100 received by the individual or employee, either directly or indirectly, during the previous calendar year from a direct-support organization specifically authorized by law to support the governmental entity of which he was an officer or employee at the time of the gift, as provided in Rule 34-13.320, F.A.C.

(3) The Commission shall promulgate CE Form 10, Annual Disclosure of Gifts from Governmental Entities and Direct Support Organizations and Honorarium Event Related Expenses, for use in making the disclosures required under this rule. Form 10 shall require the reporting individual or procurement employee to list the name of the person providing the gift, a description of the gift, the date or dates on which the gift was given, the value of the total gifts given during the calendar year for which the report is made.

(4) The reporting individual or procurement employee shall attach to Form 10 any statement received in accordance with Rule 34-13.430, F.A.C., which statement shall become a public record when filed with the Form 10. The reporting individual or procurement employee may explain any differences between the information provided on Form 10 and the information contained in the attached statement(s), and provide any other information the reporting individual or procurement employee believes to be pertinent.

(5) A Form 10 filed by a reporting individual shall be filed with the Form 1 or Form 6 filed by the individual. A Form 10 filed by a procurement employee shall be filed with the Commission on Ethics.

(6) A reporting individual or procurement employee is not required to file a Form 10 for any year in which no gift reportable under this rule was received, unless there are honorarium event related expenses to report as provided in Rule 34-13.710, F.A.C.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.3148 FS. History–New 4-16-92, Amended 2-27-95, 10-7-04, 1-11-16.

Fla. Admin. Code R. 34-13.420 Quarterly Gift Disclosure for Lobbyists and Others

(1) Each lobbyist who lobbies a reporting individual’s or procurement employee’s agency, or the partner, firm, employer, or principal of such a lobbyist, who makes or directs another to make a gift having a value in excess of $25 but not in excess of $100 to a reporting individual or procurement employee of that agency, shall file a report of the gift on or before the last day of the calendar quarter following the calendar quarter in which the gift was made.

(2) Each political committee or vendor which makes or directs another to make a gift having a value in excess of $25 but not in excess of $100 to a reporting individual or procurement employee shall file a report of the gift on or before the last day of the calendar quarter following the calendar quarter in which the gift was made.

(3) The reports required under this rule shall contain, for each individual gift:

(a) A description of the gift;

(b) The monetary value of the gift;

(c) The name and address of the person making the gift;

(d) The name and address of the recipient of the gift; and

(e) The date the gift was given.

(4) In addition, the donor must notify the intended recipient at the time the gift is made that the donor, or another on the donor’s behalf, will report the gift as provided in this rule.

(5) The Commission shall promulgate CE Form 30, Donor’s Quarterly Gift Disclosure, for use in making the disclosures required under this rule. CE Form 30 shall be filed with the Commission on Ethics, except with respect to gifts to reporting individuals of the legislative branch, in which case the form shall be filed with the Office of Legislative Services.

(6) Under this rule, a gift need not be reported by more than one person or entity. In addition, no Form 30 is required to be filed for any calendar quarter in which a reportable gift was not given.

(7) The reports required under this rule do not apply:

(a) To any gift from a relative of a reporting individual or procurement employee to that individual or employee.

(b) To any gift from an entity of the legislative or judicial branch, a department or commission of the executive branch, a county, a municipality, an airport authority, a water management district created pursuant to Section 373.069, F.S., the South Florida Regional Transportation Authority, or a school board.

(c) To any gift from a direct-support organization specifically authorized by law to support a governmental entity to a reporting individual or procurement employee of that governmental entity.

(d) To any gift which the donor knows will be accepted on behalf of a governmental entity or charitable organization.

(8) A donor is obligated to disclose any gift reportable under this rule that was subject to disclosure at the time it was given, regardless of whether the donor is a lobbyist, is the partner, firm, employer, or principal of a lobbyist, or is a political committee or vendor at the time the quarterly disclosure statement should be filed.

(9) Where a gift is provided by multiple donors, one or more of whom is a person or entity subject to the quarterly disclosure required under this rule, the donor’s contribution to the gift must be disclosed if the portion of the gift’s value attributable to that donor exceeds $25.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.3148 FS. History–New 4-16-92, Amended 2-27-95, 7-30-00, 10-7-04, 1-11-16.

Fla. Admin. Code R. 34-13.430 Annual Gift Statements by Governmental Entities and Direct Support Organizations

(1) No later than March 1 of each year, each governmental entity or direct-support organization which has given a gift valued in excess of $100 during the previous calendar year to a reporting individual or procurement employee that is exempted under Rule 34-13.320(2) or (3), F.A.C., shall provide the individual or employee with a statement of each such gift.

(2) The statement shall contain a description of each gift, the date on which the gift was given, and the value of the total gifts given by the governmental entity or direct-support organization to the reporting individual or procurement employee during the calendar year.

(3) A governmental entity may provide a single statement to the reporting individual or procurement employee of gifts provided by the governmental entity and any direct-support organization specifically authorized by law to support such governmental entity.

(4) Where a gift is provided by multiple donors, one or more of which is an entity or organization subject to the annual statement required under this rule, the donor’s contribution to the gift must be included on the statement if the portion of the gift’s value attributable to that donor exceeds $100.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.3148 FS. History–New 4-16-92.

Fla. Admin. Code R. 34-13.500 Gift Valuation

In addition to the provisions contained in Section 112.3148(7), F.S., a donee shall use the following rules to determine the value of a gift received from a donor:

(1) “Actual cost to the donor” as stated in Section 112.3148(7)(a), F.S., means the price paid by the donor which enabled the donor to provide the gift to the donee, excluding taxes and gratuities. Where the donor engages in the business of selling the item or service, other than personal services, that is provided as a gift, the donor’s “actual cost” includes the total costs associated with providing the items or services divided by the number of units of goods or services produced.

(2) “Personal services” as stated in Section 112.3148(7)(a), F.S., means individual labor or effort performed by one person for the benefit of another.

(3) “Compensation provided by the donee” as stated in Section 112.3148(7)(b), F.S., means payment provided by the donee to the donor within 90 days after receipt of the gift. Where the gift received by a donee is a trip and includes payment or provision of the donee’s transportation, lodging, recreational, or entertainment expenses by the donor, the value of the gift is equal to the total value of the various aspects of the trip paid or provided by the donor, and any consideration paid by the donee for the trip should be subtracted from the total value of the trip. Example: Lobbyist X provides reporting individual Y with a trip to New York to see a play. X pays $300 for Y’s round-trip airfare, $50 for Y’s ground transportation, $150 for Y’s hotel room, and $100 for Y’s ticket to the play. In order to accept the trip from X, Y must pay X at least $500, so that the value of the gift from X does not exceed $100.

(4) “Comparable commercial conveyance” as stated in Section 112.3148(7)(d), F.S., means a similar mode and class of transportation which is available commercially in the community. Where the donor provides transportation for more than one person in a single conveyance at the same time, each person’s transportation is valued as if such transportation had been provided in a comparable commercial conveyance. Where the gift is transportation in a private airplane, the transportation shall be given the same value as an unrestricted coach fare.

(5) A ticket, entrance fee, or admission fee, such as a golf greens fee, which admits the donee to an event, function, or activity, is valued on the face value of the ticket or fee, or on a daily or per event basis, whichever is greater.

(a) An “event” includes a series of related functions happening on consecutive days. If a series of tickets are given at the same time, such as a football season ticket, the value of the gift is the face value of all the tickets combined.

(b) If a fee, fee waiver, or other expense such as a booster contribution, is a condition precedent to buying a ticket or multiple tickets, the value of the ticket includes the amount of that fee, fee waiver, or other expense prorated among the maximum number of tickets that could be purchased. The provisions of this subsection may be illustrated by the following example:

EXAMPLE: Where the State University Athletic Association requires a $500 contribution to its Booster Organization to purchase one set of season tickets in a particular area in the stadium, and where each set of tickets cost $100 for five home games, each ticket would be valued at $120.

(c) Where a ticket to an event involves seating in a skybox, the actual annual cost of leasing the skybox is included in the value of the ticket to the event. The annual cost of the lease shall be divided by the number of persons which can be seated in the skybox, and further divided by either:

1. The number of events held annually at the stadium, if known; or

2. The number of events held during the preceding year. The provisions of this subsection may be illustrated by the following example:

Example: Where the cost of leasing a skybox at a football stadium is $10,000 annually, where the skybox can seat 10 persons, where the stadium hosts five football games each year, and where a ticket to an event in the stadium costs $20, the value of a ticket for seating in the skybox for the event is $10,000 divided by 10 seats, divided by 5 games, plus $20 per ticket, or $220 per person.

(d) The value of a ticket to a charitable event where a portion of the proceeds go to charity is the value expressed on the face of the ticket.

(e) A ticket where no value is expressed on the face of the ticket should be valued on a daily or per event basis, whichever is greater, i.e., the cost of admission to persons with similar tickets, regardless of the cost to the donor.

(6) “Per occurrence” as stated in Section 112.3148(7)(i), F.S., means each separate occasion in which a donor gives a gift to a donee. The provisions of this subsection may be illustrated by the following example:

Example: If X Airport Authority gives Reporting Individual B (“B”) a parking pass enabling B to park at the airport free of charge, each occasion B uses the pass she has received a gift. If she parks there for one day, she has received one gift; if she parks there for three consecutive days each month for twelve months, she has received twelve separate gifts.

(7) Where the donor is required to pay additional expenses as a condition precedent to being eligible to purchase or provide the gift, and where the expenses are for the primary benefit of the donor, or where the expenses are of a charitable nature, such expenses will not be included in determining the value of a gift provided to a donee. The provisions of this subsection may be illustrated by the following example:

Example: Lobbyist G (“G”), who lobbies the agency of Reporting Individual Q (“Q”), is a member at a country club and is required to pay an annual membership fee of $1,000 to the country club. Where G takes Q to play a round of golf at the country club, the cost of G’s annual membership is a condition precedent to G being a member of the country club and is primarily for G’s benefit. Thus, the $1,000 annual membership fee is not included in the cost of the round of golf G provided to Q.

(8) Food and beverages consumed at a single sitting or meal are a single gift and are valued together.

(9) The value of a gift of an admission ticket shall not include that portion of the cost which represents a charitable contribution, if the gift is provided by the charitable organization benefiting from the contribution.

(10) The value of a gift provided to several individuals may be attributed on a pro rata basis among all of the individuals. If the gift is food, beverage, entertainment, or similar items, provided at a function for more than 10 people, the value of the gift to each individual shall be the total value of the items provided divided by the number of persons invited to the function, unless the items are purchased on a per person basis, in which case the value of the gift to each person is the per person cost.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148 FS. History–New 4-16-92, Amended 7-5-92, 2-27-95, 7-30-00, 10-7-04, 1-11-16.

Fla. Admin. Code R. 34-13.510 Valuation of Gifts Provided by Multiple Donors

(1) For purposes of any gift disclosure to be made by a reporting individual or procurement employee, the value of a gift provided by multiple donors is determined by the valuation principles of Section 112.3148(7), F.S., and Rule 34-13.500, F.A.C., applied to the gift as a whole, rather than by any pro rata share.

(2) For purposes of determining whether a gift provided by multiple donors is prohibited under Sections 112.3148(3) and (4), F.S., and Rules 34-13.310 and 34-13.320, F.A.C., the value of the gift provided by any one donor is equal to the portion of the gift’s value attributable to that donor based upon the donor’s contribution to the gift.

(3) For purposes of determining whether a gift provided by multiple donors must be disclosed by one or more of the donors under Section 112.3148(5)(b), F.S., and Rules 34-13.420 and 34-13.430, F.A.C., the value of the gift provided by any one donor is equal to the portion of the gift’s value attributable to that donor based upon the donor’s contribution to the gift.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3148 FS. History–New 4-16-92.

Fla. Admin. Code R. 34-13.610 Prohibition Against Soliciting Honoraria

When the subject of the speech or writing relates to the reporting individual’s or procurement employee’s public office or duties, the reporting individual or procurement employee is prohibited from soliciting an honorarium.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3149 FS. History–New 4-16-92.

Fla. Admin. Code R. 34-13.620 Prohibition Against Accepting Honoraria and Honorarium Event Related Expenses

(1) Reporting individuals and procurement employees are prohibited from knowingly accepting an honorarium from the following:

(a) A political committee;

(b) A vendor doing business with the individual’s or employee’s agency;

(c) A lobbyist as defined in Section 112.3149(1)(d), F.S.; or

(d) The employer, principal, partner, or firm of a lobbyist.

(2) Reporting individuals and procurement employees are prohibited from accepting expenses related to an honorarium event from a political committee unless such expenses are primarily related to contributions, expenditures, or other political activities authorized pursuant to Chapter 106, F.S.

(3) Reasonable inquiry shall be made by the reporting individual or procurement employee of the source of the proposed honorarium or honorarium event related expense to determine whether it is prohibited.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3149 FS. History–New 4-16-92, Amended 1-11-16.

Fla. Admin. Code R. 34-13.630 Prohibition Against Providing Honoraria and Honorarium Event Related Expenses

(1) The following persons or entities are prohibited from providing an honorarium to a reporting individual or procurement employee:

(a) A political committee;

(b) A vendor doing business with the individual’s or employee’s agency;

(c) A lobbyist who lobbies the agency of the reporting individual or procurement employee; or

(d) The employer, principal, partner, or firm of a lobbyist.

(2) A political committee is prohibited from providing expenses related to an honorarium event to a reporting individual or procurement employee, unless such expenses are primarily related to contributions, expenditures, or other political activities authorized pursuant to Chapter 106, F.S.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.31485, 112.3149 FS. History–New 4-16-92, Amended 1-11-16.

Fla. Admin. Code R. 34-13.710 Disclosures by Reporting Individuals and Procurement Employees

(1) By July 1 of each year a reporting individual or procurement employee must disclose the receipt of payment for, or the provision of, expenses related to an honorarium event from a political committee or vendor doing businesss with the individual’s or employee’s agency, from a lobbyist who lobbies the agency of the reporting individual or procurement employee, or from the employer, principal, partner, or firm of such lobbyist. The Commission shall promulgate CE Form 10, Annual Disclosure of Gifts from Governmental Entities and Direct Support Organizations and Honorarium Event Related Expenses, which shall be used for this purpose.

(2) An honorarium received from a person who is not prohibited from providing an honorarium pursuant to Section 112.3149(3), F.S., is not required to be disclosed.

(3) The receipt of payment or provision of expenses by a person who is not prohibited from providing an honorarium pursuant to Section 112.3149(3), F.S., is not required to be disclosed.

(4) Where no reportable expenses related to an honorarium event have been received by a reporting individual or procurement employee, CE Form 10 is not required to be filed, unless there are gifts from governmental entities or direct-support organizations to report as provided in Rule 34-13.410, F.A.C.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3149 FS. History–New 4-16-92, Amended 1-11-16.

Fla. Admin. Code R. 34-13.720 Statements Required of Persons Paying Honorarium Event Related Expenses

When a person who would otherwise by prohibited by Section 112.3149(3), F.S., from paying an honorarium to a reporting individual or procurement employee provides a reporting individual or procurement employee, or reporting individual or procurement employee and spouse with expenses related to an honorarium event, the person shall provide a statement to the reporting individual or procurement employee within 60 days of the event. The statement shall contain:

(1) The name and address of the person providing the expenses;

(2) A description of the expenses provided each day; and

(3) The total value of the expenses provided for the honorarium event.

History

• Rulemaking Authority 112.322(9)(b) FS. Law Implemented 112.312, 112.3149 FS. History–New 4-16-92.

Chapter 34-15 REVIEW, INVESTIGATION AND HEARING OF COMPLAINTS ALLEGING VIOLATION OF S. 11.062(2), F.S.

Fla. Admin. Code R. 34-15.001 Scope and Applicability of Chapter

Section 11.062(2), F.S., prohibits departments of the executive branch, state universities, community colleges, and water management districts from using public funds to retain lobbyists to represent them before the legislative and executive branches, except through the use of full-time employees. Similarly, persons are prohibited from accepting public funds from these agencies for lobbying the legislative or executive branch. The statute authorizes the Commission to accept complaints of violations, investigate, and report its determinations. The rules in this Chapter 34-15, F.A.C., shall govern the receipt and disposition of all complaints reported to the Commission under this statute.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95.

Fla. Admin. Code R. 34-15.0015 Time Periods

In computing any period of time prescribed or allowed by these rules, by order of the Commission, the Chair, or another presiding officer, or by any applicable statute, the time period shall be calculated in accordance with Rule 28-106.103, F.A.C.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-15.0016 Filing and Serving Documents; Facsimile Transmissions

Pleadings and other documents under the rules of this chapter shall be filed and served in accordance with Rule 28-106.104, F.A.C, whether in paper or electronic form, and shall contain the information required by that rule.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-15.0017 Presiding Officer

For the purposes of Commission proceedings under Section 11.062(2), F.S., the presiding officer shall be the Chair of the Commission or, in the event the Chair is unavailable, the Vice Chair of the Commission.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 7-28-98.

Fla. Admin. Code R. 34-15.002 Staff Procedures Upon Receipt of a Complaint

(1) Upon receipt of a complaint pursuant to Section 11.062(2), F.S., of a possible violation of that law, staff shall assign a control number. The Executive Director shall review the complaint to determine whether the matters alleged indicate a violation; if not, the Executive Director may request additional information from the complainant.

(2) The person or agency that is the subject of the complaint shall be designated as the respondent(s).

(3) A copy of the complaint shall be forwarded to the respondent within five working days following receipt by the Commission.

(4) When the Executive Director determines that a violation is indicated by the complaint, the Executive Director shall order an investigation of the matter in accordance with the rules of this chapter. If the Executive Director determines that the complaint is not sufficient to indicate a possible violation, the Executive Director shall recommend that the Commission dismiss the complaint. The Commission may find the complaint to be sufficient and order an investigation; may find the complaint to be insufficient, dismiss it, and notify the complainant that no investigation will be made; or may take such other action as may be appropriate.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95.

Fla. Admin. Code R. 34-15.0035 Delegation of Authority

The Commission hereby delegates to its investigators the authority to administer oaths and affirmations, delegates the authority to issue subpoenas to its chair and, in the absence or unavailability of the chair, to its vice chair, and authorizes its employees to serve any subpoena issued under the Commission’s authority.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-15.004 Subpoenas During Preliminary Investigation

When an investigation is ordered or at any time thereafter, upon recommendation of the Executive Director or upon motion of the Commission, the Commission Chair or other member authorized by the Commission may authorize the issuance of subpoenas or subpoenas duces tecum. Each subpoena shall be signed by the Chair or other member authorized by the Commission and shall state the person, documents or other things to be subpoenaed. Each subpoena further shall name the person before whom the witness is to give testimony, and shall state in general terms the subject matter of the testimony to be elicited. If documents or other things are to be produced, the subpoena shall describe the same with as much specificity as reasonably practicable. The subpoena shall state clearly on its face that it is issued by the Commission on Ethics in accordance with its authority to investigate violations of Section 11.062(2), F.S. Such subpoenas shall be issued for investigative purposes only, and neither the respondent nor the respondent’s counsel shall be entitled to attend the investigative proceeding at which the witness is to give a sworn statement unless the respondent is the person subpoenaed.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-15.005 Investigations

(1) Commencement of Investigations. Investigations shall be initiated as provided above in Rule 34-15.002, F.A.C., provided that information from public records may be obtained by staff prior to the ordering of an investigation.

(2) Investigators. Investigation shall be conducted by Commission staff, by personnel of the Department of Legal Affairs, or by any other person or agency so designated by the Commission.

(3) Scope of Investigation. Investigations shall be limited to the allegations of the complaint.

(4) Evidence of Wrongful Acts Unrelated to the Complaint. If during the course of an investigation evidence of a wrongful act unrelated to the complaint is discovered by the investigator, such evidence shall be reported to the Commission in a separate investigator’s report. The wrongful act shall not be further investigated by the investigator in the absence of a complaint with respect thereto. Upon receipt of a separate investigator’s report containing evidence of a wrongful act unrelated to the matter at issue, the Commission shall: (a) as soon as practicable forward evidence of the commission of a crime to the appropriate law enforcement official; and (b) forward evidence of the commission of any other wrongful act to the appropriate disciplinary or law enforcement official as soon as practicable following the completion of the preliminary investigation. If upon independent investigation the appropriate disciplinary official wishes to file a complaint with the Commission he may do so and said complaint shall be received and considered by the Commission in the same manner as any other complaint.

(5) Investigator to be Impartial. An investigator shall be impartial and unbiased in the conduct of the preliminary investigation. An investigator shall collect all evidence related to the allegations, whether such evidence tends to prove or disprove the allegations. If the Commission determines that a public hearing shall be held, however, the investigator is responsible for assisting the Advocate in the proof of the allegations brought against the respondent. If an investigator feels that for any reason he or she cannot be impartial or unbiased during the preliminary investigation then the investigator shall so notify the Executive Director and shall immediately discontinue working in the investigation. If the Commission feels that the investigator cannot be unbiased or impartial at any point of time during the preliminary investigation, the Commission shall terminate any further investigation by the investigator.

(6) Investigator’s Report. Upon the completion of the preliminary investigation, the investigator shall prepare a report to the Commission. The report shall contain a narrative account of all pertinent information obtained through interviews of witnesses, documentary evidence, or other sources and shall include a discussion of any conflicts in the evidence. The report shall not contain any determination or speculation with respect to whether the evidence indicates a violation. The report shall make no recommendations. A separate report shall be prepared in accordance with subsection (4), above, if necessary.

(7) Investigatory File. The investigator shall prepare an investigatory file to be maintained in the office of the Commission, which file shall contain:

(a) Copies of all documents obtained during the course of the investigation;

(b) Tape recordings of interviews with witnesses and, if no recording is made, a summary of the interview;

(c) A list of the names and addresses of all persons actually interviewed;

(d) Any other relevant documents; and

(e) The investigator’s report(s) to the Commission.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-15.006 Counsel

(1) Respondent. Respondent may be represented by a lawyer or other qualified representative. All notices and communications to a respondent represented by a lawyer or qualified representative shall be made through respondent’s lawyer or qualified representative.

(2) Advocate. The Advocate presenting the matter before the Commission shall be an Assistant Attorney General or another attorney designated by the Commission as Advocate. The Advocate represents the Commission in its prosecutorial function.

(3) Appearances. Appearances by counsel or other qualified representatives shall be governed by Rules 28-106.105 and 28-106.106, F.A.C. The qualifications of a representative shall be determined in accordance with Rule 28-106.106, F.A.C. Qualified representatives shall observe the standards of conduct specified in Rule 28-106.107, F.A.C.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2), 120.62(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-15.007 Probable Cause Determination

(1) Notification of Completion of Investigation. When the investigator’s report is completed, the Executive Director shall notify the respondent that the report is completed and shall send to the respondent a copy of the investigator’s report and a copy of the Executive Director’s order to investigate. The investigatory file then shall be open for inspection by the respondent and the respondent’s counsel, and copies may be obtained at no more than cost.

(2) Time to Review Report. The probable cause hearing shall be not less than 14 days from the date of mailing of the investigator’s report to the respondent, within which time the respondent and counsel for the respondent may review the report and file with the Commission a written response to the report.

(3) Advocate’s Recommendation. The Advocate shall review the investigator’s report and shall make a written recommendation to the Commission for the disposition of the matter. If the Advocate recommends that a public hearing be held, the recommendation shall include a statement of what charges shall be at issue at the hearing. A copy of the recommendation shall be furnished to the respondent or counsel for respondent no later than 7 days prior to the hearing, within which time the respondent may file with the Commission a written response to the recommendation.

(4) Notice of Hearing and Right to Attend. The respondent shall be given at least 14 days notice of the probable cause hearing and may attend, provided that this period may be shortened by the Commission, so long as reasonable notice under the circumstances is given.

(5) Scope of Hearing. The probable cause hearing is the conclusion of the preliminary investigation. The respondent and the Advocate shall be permitted to make brief oral statements in the nature of oral argument to the Commission, based on the investigator’s report, before the probable cause determination. The determination shall be based upon the investigator’s report, the Advocate’s recommendation, the complaint, and staff recommendations, as well as oral or written statements by the respondent. The respondent may not testify or present or call witnesses at this hearing.

(6) Determination of Probable Cause. The Commission shall meet to determine the manner in which the proceeding will be disposed of. The Commission may continue the hearing to allow further investigation; may order the dismissal of the proceeding if it finds no probable cause to believe that a violation has occurred, concluding the matter before it; may order a final, public hearing of the matter if it finds probable cause to believe that a violation has occurred; or may take such other action as it deems necessary to resolve the matter, consistent with due process of law. In making its determination the Commission may consider:

(a) The sufficiency of the evidence against the respondent, as contained in the investigator’s report;

(b) The admissions and other stipulations of the respondent, if any;

(c) The nature and circumstances of the respondent’s actions;

(d) The expense of further proceedings; and

(e) Such other factors as it deems material to its decision. If the Commission orders a public hearing, the Commission shall determine what charges shall be at issue for the hearing.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95.

Fla. Admin. Code R. 34-15.008 Notification of Manner of Disposition

Upon the Commission’s ordering a final, public hearing the Executive Director shall, within five days, so notify the respondent in writing. If the Commission enters any other order regarding the proceeding, the Executive Director shall send a copy of the order to the respondent.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95.

Fla. Admin. Code R. 34-15.010 Procedures for Public Hearings, Generally

Public hearings may be conducted by the full Commission, by a single Commission member, or by the Division of Administrative Hearings, as directed by the Chair of the Commission after considering the Commission’s workload. The Commission may refer the matter by letter to the Division of Administrative Hearings for the appointment of an administrative law judge. Public hearings held before the Commission or its members shall be governed by the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C. Proceedings before the Commission after the public hearing shall be governed by the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C., if one of the rules of that chapter is applicable, or by the remaining rules of this chapter.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-15.013 Notice of Public Hearing

The Executive Director shall notify respondent of the date, time and place of the public hearing by mailing to the respondent by certified mail, return receipt requested, a written notice at least 30 days prior to the hearing. The notice shall describe the specific violations charged. Upon written consent of respondent, the 30-day notice may be waived and the hearing held sooner. In addition, the hearing may be held sooner than 30 days when the passage of time may be reasonably expected to render moot the ultimate disposition of the matter by the Commission, so long as reasonable notice under the circumstances is given.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95.

Fla. Admin. Code R. 34-15.017 Disqualification of Commission Members

(1) Commission members shall be disqualified from sitting as a member of the Commission at either the probable cause hearing or the final public hearing for bias, prejudice, or interest. Disqualification may be raised by a respondent, by the Advocate, or by any member, but not by the complainant.

(2) Unless good cause is shown, all motions for disqualification shall be filed with the Commission at least 5 days prior to the hearing at which the member is expected to participate. The motion shall be accompanied by an affidavit stating the particular grounds.

(3) Unless denied as untimely, the motion shall be ruled on by the Commission member whose disqualification is sought; the ruling shall be based on the legal sufficiency of the motion and affidavit. If the motion and affidavit are found legally sufficient, the member shall disqualify himself or herself.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95.

Fla. Admin. Code R. 34-15.0171 Ex Parte Communications

(1) A Commission member shall not initiate nor consider any ex parte communication relative to the merits of a pending proceeding by:

(a) A public employee or official engaged in prosecution or advocacy in connection with the matter;

(b) A party to the proceeding or any person who, directly or indirectly, would have a substantial interest in the proposed action of the Commission, or his or her authorized representative or counsel; or

(c) A complainant or any other individual who has personal knowledge of the facts underlying the proceeding, or his or her authorized representative or counsel.

Nothing in this subsection shall apply to advisory staff members who do not testify on behalf of the Commission in the proceeding or shall prohibit Commission members who are contacted by any of the above persons from referring them to Commission staff or the Commission Advocate.

(2) A commission member who receives such an ex parte communication shall place on the record all written communications received, all written responses to such communications, and a memorandum stating the substance of all oral communications received and all oral responses made, and shall also advise all parties that such matters have been placed on the record. Any party, including the Advocate, desiring to rebut the ex parte communication shall be allowed to do so if a request for the opportunity for rebuttal is made within 10 days after notice of the communication.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95.

Fla. Admin. Code R. 34-15.0181 Subpoenas for Discovery; Discovery

At any time after the Commission orders a public hearing of the matter, the Commission may issue subpoenas to effect discovery upon the written request of respondent or Advocate. The requesting person shall give the name and address of each witness he wishes to have deposed and shall describe with particularity those documents or other items that the person wishes to have the witness to produce, bring or deliver pursuant to a subpoena duces tecum. Subpoenas shall be issued by the Chairman or other authorized member of the Commission and shall be promptly served. The respondent is responsible for service of subpoenas requested by him. Parties may also obtain discovery through the means and in the manner provided in the Florida Rules of Civil Procedure. The presiding officer may issue appropriate orders to effectuate the purposes of discovery and to prevent delay.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 11-24-15.

Fla. Admin. Code R. 34-15.020 Stipulations, Settlements, and Consent Orders

Informal disposition of the proceeding shall be made by stipulation, agreed settlement, or consent order between the Advocate and the Respondent, upon approval of the Commission in a public meeting.

(1) The Advocate is not required to present or propose to the Commission a stipulation, settlement, or consent order offer from the Respondent unless the Advocate agrees to the terms of the offer.

(2) Commission staff shall send to the complainant a copy of the proposed stipulation, settlement, or consent order, notify the complainant of the meeting at which the Commission will consider the proposed stipulation or order, and advise the complainant that any written response to the proposed stipulation or order submitted by the complainant will be provided to the Commission for its consideration.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98.

Fla. Admin. Code R. 34-15.024 Action on Recommended Final Order by the Full Commission

(1) Where the hearing has been conducted by a single Commissioner or DOAH administrative law judge, the meeting of the full Commission to consider the recommended final order shall not be an evidentiary “hearing.” No new evidence shall be taken.

(2) As the complainant is not a party, the complainant is not entitled to address the Commission either orally or in writing in response to the recommended order.

(3) In order to assist the Commission in evaluating any exceptions that may have been filed, Commission staff may provide a draft final order analyzing the exceptions. If one is drafted, copies shall be provided to the respondent and the Advocate prior to the final hearing.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98, 11-24-15.

Fla. Admin. Code R. 34-15.025 Transmittal of Final Order

The final order shall be signed by the Chair, shall be transmitted by mail to the respondent and complainant, and shall be made available to the public.

History

• Rulemaking Authority 11.062(2) FS. Law Implemented 11.062(2) FS. History–New 2-16-95, Amended 7-28-98.

Chapter 34-16 COMMISSION MEETINGS – PUBLIC COMMENT

Fla. Admin. Code R. 34-16.001 Scope and Applicability of Chapter

The Rules in this Chapter 34-16, F.A.C., shall govern the procedures for reasonable opportunities for members of the public to be heard during public meetings of the Florida Commission on Ethics under Section 286.0114(4), F.S. On the effective date of this chapter, the rules of procedure of this chapter shall govern public opportunity to be heard at public meetings of the Commission. These rules do not apply to quasi-judicial actions of the Commission, including adoption of advisory opinions and action on complaints. These rules do not apply to Commission rulemaking proceedings pursuant to Chapter 120, F.S., which contain separate procedures for public comment. All individuals who request an opportunity to speak at a public Commission meeting will be allowed to speak within the guidelines provided in this rule chapter.

History

• Rulemaking Authority 112.322(9), 286.0114 FS. Law Implemented Art. II, Section 8, Fla. Const., 286.0114 FS. History–New 10-29-13.

Fla. Admin. Code R. 34-16.002 Amount of Time for Individual Members of the Public to Address the Commission

During a public meeting of the Commission, each speaker will be allowed to speak for up to three minutes. The Chair may impose a cumulative time limit for all public comment on any specific agenda item. A Commission staff member will keep time for each speaker and inform the Chair when the speaker’s time has expired. The Commission may use such timing devices as may be practicable to ensure that time limits are observed.

History

• Rulemaking Authority 112.322(9), 286.0114 FS. Law Implemented Art. II, Section 8, Fla. Const., 286.0114 FS. History–New 10-29-13.

Fla. Admin. Code R. 34-16.003 Procedure for Group Representative to Address the Commission

The Chair will, where appropriate, encourage members of an organization to defer their time to a representative of their organization to speak on their behalf. At any Commission meeting during which a large number of individuals wish to speak, the Chair may require any group, faction, or organization to select a representative to speak on behalf of that group, faction, or organization. The Chair will ask speakers to refrain from repeating comments made by individual members of the public who have previously spoken.

History

• Rulemaking Authority 112.322(9), 286.0114 FS. Law Implemented Art. II, Section 8, Fla. Const., 286.0114 FS. History–New 10-29-13.

Fla. Admin. Code R. 34-16.004 Procedure for Informing Commission of Individual’s Desire to be Heard or to Indicate Designation of a Representative Speaker

A member of the Commission staff will manage a list of individuals who wish to speak during a Commission meeting. The list will indicate the speaker’s name and address; the name of the speaker’s organization, if any; whether the speaker wishes to be heard through a representative; the item about which the speaker wishes to comment; and whether the speaker supports, opposes, or remains neutral as to a proposition.

History

• Rulemaking Authority 112.322(9), 286.0114 FS. Law Implemented Art. II, Section 8, Fla. Const., 286.0114 FS. History–New 10-29-13.

Fla. Admin. Code R. 34-16.005 Designation of Specified Time Period for Public Comment

During a public meeting of the Commission, public comment, if any, will be heard immediately after the staff presentation, if any, on the matter.

History

• Rulemaking Authority 112.322(9), 286.0114 FS. Law Implemented Art. II, Section 8, Fla. Const., 286.0114 FS. History–New 10-29-13.

Chapter 34-17 REVIEW, INVESTIGATION AND HEARING OF REFERRALS

Fla. Admin. Code R. 34-17.001 Scope and Applicability of Chapter

Section 112.324(1)(b), F.S., authorizes the Commission to accept written referrals of possible violations of Article II, Section 8, Florida Constitution, or Chapter 112, Part III, F.S., from the Governor, the Florida Department of Law Enforcement, a state attorney, or a United States Attorney. The rules in this Chapter 34-17, F.A.C., shall govern the receipt and disposition of all referrals reported to the Commission under this statute.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.002 Time Periods

In computing any period of time prescribed or allowed by these rules, by order of the Commission, the Chair, or another presiding officer, or by any applicable statute, the time period shall be calculated in accordance with Rule 28-106.103, F.A.C.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.003 Filing and Serving Documents; Facsimile Transmissions

Pleadings and other documents under the rules of this chapter shall be filed and served in accordance with Rule 28-106.104, F.A.C., whether in paper or electronic form, and shall contain the information required by that rule.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.004 Staff Procedures Upon Receipt of a Referral

(1) Upon receipt of a referral pursuant to Section 112.324(1)(b), F.S., staff shall assign a control number which shall be entered on the referral itself and on a colored folder in which the referral shall be filed so long as it remains confidential. Any documents related to the referral shall be entered in the referral file.

(2) A copy of the original referral shall be transmitted to the respondent by Commission staff within five (5) days of its receipt.

(3) Unless the referral is based upon personal information or information other than hearsay, any referral against a candidate in a general, special, or primary election that is received within the thirty (30) calendar days immediately preceding the date of that election, including Saturdays, Sundays, and holidays, will be returned by the Executive Director to the person submitting the referral, with an explanation of why the referral is being returned.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13, Amended 10-21-24.

Fla. Admin. Code R. 34-17.005 Review for Sufficiency of Allegations of Breach of Public Trust and Order of Preliminary Investigation

(1) The referral shall be reviewed by the Executive Director in order to determine whether or not it is sufficient to allege a breach of public trust or a violation of Chapter 112, Part III, F.S. A referral shall not be insufficient because it is based upon evidence which would be hearsay evidence in a court of law. In order to make this determination, the Executive Director may request additional information from the referring agency and may obtain information from public records.

(2) If the Executive Director finds that the referral is sufficient to invoke the jurisdiction of the Commission, an order to investigate the referral shall be entered.

(3) If the Executive Director finds that the referral is not legally sufficient to invoke the jurisdiction of the Commission, the referral shall be brought before the Commission in executive session with the recommendation of the Executive Director. If a majority of the Commission accepts the Executive Director’s recommendation that the referral is not legally sufficient, the referral shall be dismissed and the referring agency and the respondent will be notified of the dismissal. A summary of the reasons for dismissing the referral together with the referral itself and all documents related thereto shall become a public record and constitute a public report.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13, Amended 10-21-24.

Fla. Admin. Code R. 34-17.006 Delegation of Authority

The Commission hereby delegates to its investigators the authority to administer oaths and affirmations, delegates the authority to issue subpoenas to its chair and, in the absence or unavailability of the chair, to its vice chair, and authorizes its employees to serve any subpoena issued under the Commission’s authority.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.007 Subpoenas During Preliminary Investigation

When an investigation of a referral is ordered or at any time thereafter, upon recommendation of the Executive Director or upon motion of the Commission, the Commission Chair or other member authorized by the Commission may authorize the issuance of subpoenas or subpoenas duces tecum. Each subpoena shall be signed by the Chair or other member authorized by the Commission and shall state the person, documents, or other things to be subpoenaed. Each subpoena further shall name the person before whom the witness is to give testimony, and shall state in general terms the subject matter of the testimony to be elicited. If documents or other things are to be produced, the subpoena shall describe the same with as much specificity as reasonably practicable. The subpoena shall state clearly on its face that it is issued by the Commission on Ethics in accordance with its authority to investigate referrals of breaches of public trust. Such subpoenas shall be issued for investigative purposes only, and neither a representative from the referring agency, the respondent, nor their counsel shall be entitled to attend the investigative proceeding at which the witness is to give a sworn statement unless a representative from the referring agency or the respondent is the person subpoenaed.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.008 Investigations

(1) Commencement of Investigations. Investigations shall be initiated only as provided above in Rule 34-17.005, F.A.C., provided that information from public records may be obtained by staff prior to the ordering of an investigation to aid in the just and efficient resolution of a referral. A preliminary investigation must be undertaken by the Commission within 30 days after the receipt of any technically and legally sufficient referral over which the Commission has jurisdiction to determine whether there is probable cause to believe that a violation has occurred. The probable cause determination is the conclusion of the preliminary investigation. The Commission shall complete the preliminary investigation, including the probable cause determination, no later than 1 year after the beginning of the preliminary investigation.

(2) Investigators. Investigation shall be conducted by Commission staff, by personnel of the Department of Legal Affairs, or by any other person or agency so designated by the Commission.

(3) Scope of Investigation. Investigations shall be limited to the allegations of the referral.

(4) Investigator Contacts with Potential Witnesses. The investigator shall inform the person being interviewed of the confidential nature of the investigation and of the referral, unless the respondent has waived confidentiality.

(5) Investigator to be Impartial. An investigator shall be impartial and unbiased in the conduct of the preliminary investigation. An investigator shall collect all evidence materially related to the allegations of the referral, whether such evidence tends to prove or disprove the allegations. If the Commission determines that a public hearing shall be held, however, the investigator is responsible for assisting the Advocate in the proof of the allegations brought against the respondent. If an investigator feels that for any reason he or she cannot be impartial or unbiased during the preliminary investigation then such investigator shall so notify the Executive Director of the Ethics Commission and shall immediately discontinue working in the investigation. If the Commission feels that the investigator cannot be unbiased or impartial at any point of time during the preliminary investigation, the Commission shall terminate any further investigation by the investigator.

(6) Investigator’s Report. Upon the completion of the preliminary investigation, the investigator shall prepare a report to the Commission. The report shall contain a narrative account of all pertinent information obtained through interviews of witnesses, documentary evidence, or other sources and shall include a discussion of any conflicts in the evidence. The report shall not contain any determination or speculation with respect to whether the evidence indicates a breach of public trust. The report shall make no recommendations.

(a) An investigatory report must be completed no later than 150 days after the beginning of the preliminary investigation

(b) If, at any one meeting of the Commission held during a given preliminary investigation, the Commission determines that additional time is necessary to adequately complete such investigation, the Commission may extend the time frame to complete the preliminary investigation by no more than 60 days. During such meeting, the Commission shall document its reasons for extending the investigation and transmit a copy of such documentation to the alleged violator no later than 5 days after the extension is ordered.

(7) Investigatory File. The investigator shall prepare an investigatory file to be maintained in the office of the Commission on Ethics, which file shall contain:

(a) Copies of all documents obtained during the course of the investigation;

(b) Recordings of interviews with witnesses and, if no recording is made, a summary of the interview;

(c) A list of the names and addresses of all persons actually interviewed;

(d) Any other relevant documents; and

(e) The investigator’s report to the Commission.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13, Amended 1-9-25.

Fla. Admin. Code R. 34-17.009 Counsel

(1) Respondent. Respondent may appear on his or her own behalf or may be represented by a lawyer or other qualified representative. All notices and communications to a respondent represented by a lawyer or other qualified representative shall be made through the respondent’s lawyer or qualified representative.

(2) Advocate. The Advocate presenting the matter before the Commission shall be an Assistant Attorney General or another attorney designated by the Commission as Advocate. The Advocate represents the Commission in its prosecutorial function.

(3) Referring Agency. To the limited extent the referring agency is entitled to participate or observe Commission proceedings, the referring agency may be represented by legal counsel or other qualified representative. All notices and communications to a referring agency represented by a lawyer or qualified representative shall be made through referring agency's lawyer or qualified representative.

(4) Appearances. Appearances by counsel or other qualified representatives shall be governed by Rules 28-106.105 and 28-106.106, F.A.C. The qualifications of a representative shall be determined in accordance with Rule 28-106.106, F.A.C. Qualified representatives shall observe the standards of conduct specified in Rule 28-106.107, F.A.C.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.010 Probable Cause Determination

(1) Notification of Completion of Investigation. When the investigator’s report is completed, the Executive Director shall notify the respondent that the report is completed and shall send to the respondent a copy of the investigator’s report. The investigatory report must be transmitted to the alleged violator no later than 5 days after completion of the report. The investigatory file and main referral file shall be open for inspection by the respondent and the respondent’s counsel at that time, and copies may be obtained at no more than cost.

(2) Time to Review Report. The respondent shall be given not less than 14 days from the date of mailing of the investigator’s report, within which time to file with the Commission a written response to the investigator’s report. This time period may be shortened with the consent of the respondent, or without the consent of the respondent when the passage of time could reasonably be expected to render moot the ultimate disposition of the matter by the Commission so long as reasonable notice under the circumstances is given.

(3) Advocate’s Recommendation. The investigatory report must be transmitted to the counsel representing the Commission (the Advocate) no later than 5 days after completion of the report. The Advocate shall review the investigator's report and make a written recommendation to the Commission for the disposition of the referral no later than 15 days after he or she receives the completed investigatory report. The Advocate's written recommendation to the Commission for the disposition of the referral must include a statement of what charges shall be at issue at the probable cause hearing. A copy of the recommendation must be transmitted to the respondent no later than 5 days after its completion. The respondent shall be given 14 days from the date of mailing of the Advocate’s recommendation to file with the Commission a written response to the recommendation. This time period may be shortened with the consent of the respondent, or without the consent of the respondent when the passage of time could reasonably be expected to render moot the ultimate disposition of the matter by the Commission, so long as the recommendation is furnished to the respondent within a reasonable period of time under the circumstances.

(4) Notice of Probable Cause Hearing and Right to Attend. Upon receipt of the Advocate's recommendation, the Commission shall schedule a probable cause hearing for the next Commission meeting for which notice requirements can be met. The respondent, a representative from the referring agency, their counsel, and the Advocate shall be permitted to attend the hearing at which the probable cause determination is made. Notice of the probable cause hearing shall be sent to the respondent, the referring agency, and Advocate at least 14 days before the hearing. This time period may be shortened with the consent of the respondent, or without the consent of the respondent when the passage of time could reasonably be expected to render moot the ultimate disposition of the matter by the Commission, so long as the notice is furnished within a reasonable period of time under the circumstances.

(5) Scope of Probable Cause Determination. The probable cause determination is the conclusion of the preliminary investigation. The respondent and the Advocate shall be permitted to make brief oral statements in the nature of oral argument to the Commission, based on the investigator’s report, before the probable cause determination. The Commission’s determination shall be based upon the investigator’s report, the Advocate’s recommendation, the referral, and staff recommendations, as well as any written statements submitted by the respondent and any oral statements made at the hearing. No testimony or other evidence will be accepted at the hearing.

(6) Probable Cause Determination. At its meeting to determine probable cause, the Commission may continue its determination to allow further investigation; may order the issuance of a public report of its investigation if it finds no probable cause to believe that a violation of the Code of Ethics or other breach of public trust has occurred, concluding the matter before it; may order a formal hearing of the referral if it finds probable cause to believe that a violation of the Code of Ethics or other breach of public trust has occurred; or may take such other action as it deems necessary to resolve the referral, consistent with due process of law. In making its determination, the Commission may consider:

(a) The sufficiency of the evidence against the respondent, as contained in the investigator’s report;

(b) The admissions and other stipulations of the respondent, if any;

(c) The nature and circumstances of the respondent’s actions;

(d) The expense of further proceedings; and

(e) Such other factors as it deems material to its decision. If the Commission orders a public hearing of the referral, the Commission shall determine what charges shall be at issue for the hearing.

(7) Finding of Probable Cause. If the Commission finds probable cause to believe a breach of the public trust has been committed, it must transmit a copy of the order finding probable cause to the alleged violator no later than 5 days after the date of the probable cause determination.

(a) Upon request submitted to the Commission in writing, any person whom the Commission finds probable cause to believe has committed a violation is entitled to a public hearing and may elect to have a formal administrative hearing conducted by an administrative law judge in the Division of Administrative Hearings.

(b) If the person does not elect to have a formal administrative hearing by an administrative law judge, the person is entitled to have an informal hearing conducted by the Commission.

(c) Such person is deemed to have waived the right to a formal or informal public hearing if the request is not received within 14 days of the mailing date of the probable cause notification.

(d) If the Commission conducts an informal hearing, it must be held no later than 75 days after the date of the probable cause determination.

(e) If the Commission refers a case to the Division of Administrative Hearings for a formal hearing and subsequently requests that the case be relinquished back to the Commission, or if the administrative law judge assigned to the case relinquishes jurisdiction back to the Commission before a recommended order is entered, the Commission must schedule the case for additional action at the next Commission meeting for which notice requirements can be met. At that Commission meeting, the Commission must complete final action on such case.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13, Amended 1-9-25.

Fla. Admin. Code R. 34-17.011 Notification of Manner of Disposition

Upon the Commission’s ordering a public hearing of a referral or a public report, as provided in Rule 34-17.010, F.A.C., the Executive Director shall so notify the referring agency and the respondent in writing. The referring agency also shall be provided with a copy of the report of investigation and of the Advocate’s written recommendation.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.012 Confidentiality

(1) Except as otherwise provided in these rules, the referral and all staff and Commission activities, proceedings, and documents relating to the referral shall be confidential until either:

(a) Confidentiality is waived in writing by the respondent; or

(b) The Commission orders the referral dismissed, as provided in Rule 34-17.005, F.A.C.; or

(c) The Commission orders a public report or a public hearing as provided in Rule 34-17.010, F.A.C. When confidentiality is waived, the Commission orders the referral dismissed, or the Commission orders a public report or a public hearing, all materials relating to the referral shall become public records available to the public as provided in Chapter 119, F.S., except to the extent the materials are otherwise exempted from disclosure under the public records law.

(2) For the purposes of this rule, the Commission shall be deemed to have ordered a dismissal of the referral, a public report, or a public hearing at the time the written order or document evidencing that action is filed with the Commission Clerk, rather than at the time the Commission has so voted.

(3) The confidentiality provided by this rule shall not prohibit the Commission or its staff from advising the respondent or the referring agency about the status of the referral proceeding.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.013 Public Hearings

Public hearings may be conducted by the full Commission, by a single Commission member, or by the Division of Administrative Hearings, as directed by the Chair of the Commission after considering the Commission’s workload. The Commission may refer the matter by letter to the Division of Administrative Hearings for the appointment of an administrative law judge. Public hearings held before the Commission or its members shall be governed by the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C. Proceedings before the Commission after the public hearing shall be governed by the Uniform Rules of the Administration Commission, Chapter 28-106, F.A.C., if one of the rules of that chapter is applicable, and, if not, by the rules of this chapter.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.014 Parties to Public Hearings

The person accused of breach of public trust shall be the respondent. Respondent shall be the only party unless consolidation of referrals is granted. The Advocate shall be a full participant in the proceeding and shall present all the evidence relevant to the cause that was produced by the preliminary investigation and such additional evidence as may be obtained through discovery or further investigation.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.015 Disqualification of Commission Members

(1) Commission members shall be disqualified from sitting as a member of the Commission at either the probable cause hearing or the final public hearing for bias, prejudice, or interest. Disqualification may be raised by a party, by the Advocate, or by any member, but not by the referring agency.

(2) Unless good cause is shown, all motions for disqualification shall be filed with the Commission at least 5 days prior to the hearing at which the member is expected to participate. The motion shall be accompanied by an affidavit stating the particular grounds.

(3) Unless denied as untimely, the motion shall be ruled on by the Commission member whose disqualification is sought; the ruling shall be based on the legal sufficiency of the motion and affidavit. If the motion and affidavit are found legally sufficient, the member shall disqualify himself or herself.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.016 Ex Parte Communications

(1) A Commission member shall not initiate nor consider any ex parte communication relative to the merits of a pending referral proceeding by:

(a) A public employee or official engaged in prosecution or advocacy in connection with the matter;

(b) A party to the proceeding or any person who, directly or indirectly, would have a substantial interest in the proposed action of the Commission, or his or her authorized representative or counsel; or

(c) A referring agency or any other individual who has personal knowledge of the facts underlying the proceeding, or his or her authorized representative or counsel. Nothing in this subsection shall apply to advisory staff members who do not testify on behalf of the Commission in the proceeding or shall prohibit Commission members who are contacted by any of the above persons from referring them to Commission staff or the Commission Advocate.

(2) A Commission member who receives such an ex parte communication shall place on the record of the matter all written communications received, all written responses to such communications, and a memorandum stating the substance of all oral communications received and all oral responses made, and shall also advise all parties that such matters have been placed on the record. Any party, including the Advocate, desiring to rebut the ex parte communication shall be allowed to do so, if a request for the opportunity for rebuttal is made within 10 days after notice of the communication.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.017 Stipulations, Settlements and Consent Orders

Informal disposition of the referral may be made of any proceeding by stipulation, agreed settlement, or consent order between the Advocate and the Respondent, upon approval of the Commission in a public meeting, so long as a public report is made.

(1) The Advocate is not required to present or propose to the Commission a stipulation, settlement, or consent order offer from the Respondent unless the Advocate agrees to the terms of the offer.

(2) Commission staff shall send to the referring agency a copy of the proposed stipulation, settlement, or consent order, notify the referring agency of the meeting at which the Commission will consider the proposed stipulation or order, and advise the referring agency that any written response to the proposed stipulation or order submitted by the referring agency will be provided to the Commission for its consideration. If the referring agency files a written response, a copy of it will be provided to the Respondent and the Advocate by Commission staff.

(3) At least two-thirds of the members of the Commission present at a meeting must vote to reject or deviate from a stipulation or settlement that is recommended by the Advocate.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13, Amended 1-9-25.

Fla. Admin. Code R. 34-17.018 Action on Recommended Public Report or Recommended Order by the Full Commission

(1) Where the hearing has been conducted by a single Commissioner or DOAH administrative law judge, the meeting of the full Commission to consider the recommended public report shall not be an evidentiary “hearing.” No new evidence shall be taken.

(2) As the referring agency is not a party, the referring agency or its representative is not entitled to address the Commission either orally or in writing in response to the recommended order.

(3) In order to assist the Commission in evaluating any exceptions that may have been filed, Commission staff may provide a draft final order analyzing the exceptions. If one is drafted, copies shall be provided to the respondent and the Advocate prior to the final hearing.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Fla. Admin. Code R. 34-17.019 Transmittal of Public Report

The public report shall be signed by the Chair, shall be transmitted by mail to the respondent and referring agency, and shall be made available to the public.

History

• Rulemaking Authority 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.322, 112.324 FS. History‒New 11-24-13.

Chapter 34-18 ABUSE OF POSITION TO OBTAIN DISPROPORTIONATE BENEFIT

Fla. Admin. Code R. 34-18.001 Scope and Applicability of Chapter

(1) The purpose of this chapter is to provide notice and guidance to public officers or public employees, as well as to the general public, regarding the definition of the term “disproportionate benefit,” as that term is used in Article II, Section 8(h)(2) of the Florida Constitution, as well as the requisite intent for finding a violation of the prohibition contained in Article II, Section 8(h)(2) of the Florida Constitution.

(2) Definitions

(a) For the purpose of Article II, Section 8(h)(2) of the Florida Constitution, “disproportionate benefit” means a benefit, privilege, exemption or result arising from an act or omission by a public officer or public employee inconsistent with the proper performance of his or her public duties.

(3) The Commission will consider the following in determining whether a benefit, privilege, exemption, or result contitutes a “disproportionate benefit”:

(a) The number of persons, besides the public officer or public employee, his or her spouse, children, employer, or business with which he or she contracts, in which he or she is an officer, a partner, a director, or a proprietor, or in which he or she owns an interest, who will experience the benefit, privilege, exemption, or result;

(b) The nature of the interests involved;

(c) The degree to which the interests of all those who will experience the benefit, privilege, exemption, or result are affected;

(d) The degree to which the public officer or public employee, his or her spouse, children, employer, or business with which he or she contracts, in which he or she is an officer, a partner, a director, or a proprietor, or in which he or she owns an interest, receives a greater or more advantageous benefit, privilege, exemption, or result when compared to others who will receive a benefit, privilege, exemption, or result;

(e) The degree to which there is uncertainty at the time of the abuse of public position as to whether there would be any benefit, privilege, exemption, or result, and, if so, the nature or degree of the benefit, privilege, exemption, or result must also be considered; and

(f) The degree to which the benefit, privilege, exemption, or result is not available to similarly situated persons. As used in this chapter, “similarly situated persons” means those with a commonality or like characteristic to the public officer or public employee that is unrelated to the holding of public office or public employment, or a commonality or like characteristic to the public officer’s or public employee’s spouse, children, or employer, or to any business with which the public officer or public employee contracts, serves as an officer, partner, director, or proprietor, or in which he or she owns an interest.

(4) The requisite intent for finding a violation of the prohibition in Article II, Section 8(h)(2) of the Florida Constitution is that the public officer or public employee acted, or refrained from acting, with a wrongful intent for the purpose of obtaining any benefit, privilege, exemption, or result from the act or omission which is inconsistent with the proper performance of his or her public duties.

History

• Rulemaking Authority Article II, Section 8(h)(2), Florida Constitution, 112.322(9) FS. Law Implemented Article II, Section 8(h)(2), Florida Constitution, 112.322(9) FS. History–New 9-30-19.