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HomeMy WebLinkAbout2009 04 WW Committee Orientation Booklet I IWelcome to the Temporary Working Waterfront Committee ' citys Mission Statement tab A I s Welcome from City Clerk tab B I City's Organizational Chart tab C IGovernment Acronyms tab D Originating Resolution/Ordinance tab E I General Board Appointment & Membership tab F pP p IRequirements General Meeting Procedures tab G ISunshine Law tab H I Voting Conflict Form tab I I State Statutes Internet Site tab J Guide to the Sunshine Amendment and tab K I Code of Ethics for Public Officers and Employees I Member List tab L I I I I I I ---MISSION STATEMENT City of Sebastian eluted officials, volunteer board and advisory committee members, and all Iemployees are committed to making Sebastian the most desirable city in the State of Florida to live, for businesses to flourish and visitors to enjoy. Sebastian will become known as a city that superbly managers and develops its human, natural and financial resources such that it is consistently able to Iprovide and improve upon its reputation as a highly attractive and safe community with enviable business and recreational opportunities. IWe will achieve this mission by implementing the following strategies that build on excellent work already begun: ' Ensure that all employees, volunteers and advisory board members fully understand and will work toward the achievement of the mission. ' Determine, through citizen committees, workshops and surveys, the most important stated and unstated lough and expectations of the majority of our residents. Concurrently, seek to ' assess both internal and external attitudes toward all major City sponsored programs designed to meet those needs and expectations. Continually assess the City's recreational and cultural activities and work to provide an optimal ' mix that satisfies our residents. Develop a Growth Management plan that recognizes the City's current and future growth needs. ' Continue to i prove the budgeting process so that all human, natural and financial resources are allocated nd all capital improvements are developed and implemented consistent with this ' mission. Design and implement an employee recruitment, training and development plan that finds, ' trains, develops and retains people with the skills and talents needed to achieve the City's mission. Develop and promulgate an Economic Development Policy that will entice commercial ' enterprises to ebastian, thereby strengthening and expanding the City's financial resources. ' Continue to improve methods of communicating information to residents. Each Department of Ile City of Sebastian will develop and accept responsibility for specific action steps designed to achieve its portion of the mission. The City will review its mission statement annually and measure its progress periodically based on completion of specific goals set forth in the annual budgeting process. The final measure of success will be realization of the City of Sebastian's ' _ mission. 1 1 INTRODUCTION ' The City of Sebastian has ten City Boards, Committees and/or Commissions. A description of the duties, purpose, and meeting schedules of each board are provided in I this "Handbook". Some of the Boards have statutory powers, while others serve in an advisory capacity to the City Council. Board members are a valuable part of American local government that includes citizen input in the policy and decision making process. ' In the City of Sebastian, "Service is our Business". To make us truly a service community, we need your help and expertise. City Boards, Committees and Commission Members can be a strong, positive force in planning the development of ' our City. ' As a member of one of our boards, you may be the only contact a citizen has with local government. That first contact - that first impression - is a vital part of the communication that must exist between citizens and their government. Many people ' quickly make up their minds about the City of Sebastian based on their initial contact with just one person. Public relations is not publicity, it is our collective ability to handle the concerns and requests of our citizens. On behalf of the City Council, City Manager, City Attorney and Staff, we WELCOME you to our City team. Please feel free to call the City Clerk's office (589-5330) for ' assistance. ' Sally A. Maio, MMC City Clerk City of Sebastian I CITY OF SEBASTIAN, FLORIDA II ORGANIZATIONAL CHART ICITIZENS OF SEBASTIAN I I 1 CITY COUNCIL I BOARDS& COMMISSIONS II 1 CITY CITY CITY I CLERK MANAGER ATTORNEY 4 POLICE ♦ 0- FINANCE . PUBLIC WORKS ADMINISTRATION I • • SPECIAL MANAGEMENT OPERATIONS • • INFORMATION SYSTEM 1 T-• ROAD& MAINTENANCE I ♦ o.SCHOOL RESOURCE ♦ ► HUMAN RESOURCES . ` PARKS RECREATION I + ► ROAD PATROL * ENGINEERING ♦ ► CENTRAL GARAGE MCOMMUNITY GROWTH • I ► POLICING ♦ MANAGEMENT CEMETERY l ♦ ► DETECTIVE *—► CODE • ► STORMWATER ENFORCEMENT • SUPPORT ♦ . GOLF COURSE + ► BUILDING SERVICES MAINTENANCE I • ■ DISPATCH . * AIRPORT I IN • ► PROFESSIONAL STANDARDS _,BUILDING DEPARTMENT I I I 37 III I List of Acronyms Relative to Municipal Government CATF - Citizen Advisory Task Force CDBG - Commilnity Development Block Grant I CIP - Capital Improvements Program CLUP - Comprehensive Land Use Plan CMC - Certified Municipal Clerk I COPO—Council of Public Officials CRA- Community Redevelopment Agency DCA- Department of Community Affairs DEP - Department of Environmental Protection IEEO - Equal Eployment Opportunity FAA- Federal AI viation Administration FAR- Floor Area Ratio I FACC - Florida ssociation of Municipal Clerks FDOT - Florida Department of Transportation FGFOA- Florid Government Finance Officers Association I FIND - Florida I land Navigation District FIOG - Florida Institute of Government FLC - Florida L ague of Cities I FRDAP - Florid Recreation Development Assistance Program LDC - Land De elopment Code LDR—Land D elopment Regulation I ICMA- International City Managers Association IIMC - International Institute of Municipal Clerks MIS—Management of Information Systems— Division of Finance Dept. MMC - Master unicipal Clerk I MPO —Metrop litan Planning Organization MPO BAC - M tropolitan Planning Organization Bikepath Advisory Committee MPO CAC - M tropolitan Planning Organization Citizen Advisory Committee I MPO CAC - M tropolitan Planning Organization Technical Advisory Committee P&Z- Planning and Zoning Commission RFP— Request for Proposal I RFQ—Reques for Quote SJRWMD -St. Johns River Water Management District TCCLG -Treasure Coast Council of Local Governments TCRPC -Treasure Coast Regional Planning Council I I I _____ I I ' RESOLUTION NO. R-09-17 A RESOLUTION OF THE CITY OF SEBASTIAN FLORIDA, FORMULATING TEMPORARY WATERFRONT COMMITTEE PROVIDING FOR CONFLICT; IPROVIDING FOR A TERM AND AN EFFECTIVE DATE. WHEREAS, the City of Sebastian has committed to revitalizing the waterfront amenities; and WHEREAS, the City recognizes that working waterfronts are valuable assets ithat contribute significantly to a community's health and image; and WHEREAS, the City desires Sebastian's waterfront to be developed and redeveloped in a manner that protect the environs yet stimulates economic development; and WHEREAS, the City wishes to support traditional water-dependent uses and new waterfront uses that protect natural and cultural resources; and ' WHEREAS, the City Council of the City of Sebastian determines that it would be in the public interest to have a temporary committee to advise the City Council as it ' develops targeted programs; NOW THEREFORE, BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ' SEBASTIAN, as follows: Section 1. TEMPORARY WATERFRONT COMMITTEE ESTABLISHED. ' The City Council of the City of Sebastian hereby establishes a Temporary Waterfront Committee. The purpose of the Committee shall be to study issues, hear presentations and provide recommendations to City Council on four specific priority areas: ➢ Environmental and cultural resource protection ➢ Enhancing the waterfront economy ➢ Preventing losses from disasters ➢ Public access to working waterfronts and coastal resources ' Section 2. PANEL COMPOSITION. The Committee shall be composed of seven at-large members to be selected by the City Council fulfilling specific targets; ' Committee members shall be appointed at the first meeting of May for the three years term. The Committee will consist of the following: 1 I I > One member a representative from the City (City Manager or his/her designee). I ➢ One member a representative from the Chamber of Commerce. > Two commercial fishermen. I > One member with a business in the CRA District on the waterfront. ➢ One member a resident at-large with marine biology and/or eco-tourism 1 qualifications. ➢ One member a historian/historic preservationist and/or a resident at- large. In the event that no suitable applicants are available from a designated constituency, an otherwise qualified at-large member may be appointed in their place. Section 3. PROCEDURES. The Committee shall hold its initial meeting at 6 Ip.m. on the second Monday following the initial appointment of its members, at which I time it shall select a chairman, and shall thereafter set its own procedures and meeting schedule. Section 4. TERM. This committee shall automatically disband three years from the date of its establishment, or at such sooner date as established by I subsequent resolution of the City Council. Section 5. CONFLICTS. All resolutions or parts of resolutions in conflict I herewith are hereby repealed. Section 6. EFFECTIVE DATE. This resolution shall take effect immediately Iupon its adoption. IThe foregoing Resolution was moved for adoption by Wolff The motion was seconded by Simchick and, upon being put to a Ivote, the vote was as follows: I Mayor Richard H. Gillmor aye Vice-Mayor Jim Hill aye Council Member Andrea Coy aye Council Member Dale Simchick aye Council Member Eugene Wolff aye I 1 The Mayor thereupon declared this Resolution duly passed and adopted this day of April, 2009. CITY OF SEBASTIAN, FLORIDA By: Mayor Richard H. Gillmor ATTEST: IP /1 _ Approved as to form and legality for reliance by the City of Sebastian only: Sally A. Ma'4', MMC City Clerk 1 Robert A. Ginsburg, City Attorney I I r 1 1 I I I GENEtAL APPOINTMENT AND MEMBERSHIP I REQUIREMENTS RESOLUTION NO. R-02-46 I and CODE OF ORDINANCES SEC. 2-166 - 2-173 I (0-98-05) RESOLUTION R-02-46 ISection 1. ADVERTISEMENT, APPLICATION, AND APPOINTMENT PROCEDURES. I a. Twice a year advertisements shall be published in a newspaper of general irculation setting forth a list of all city boards and committees, special ualifications necessary for membership and the city telephone number to call for I _ additional information. b_ The City Clerk shall keep and maintain a list of the names, addresses, and Ielephone numbers of all members of appointive boards, commissions, and ommittees; their date of appointment, reappointment, and term expiration_ c. ne month prior to the expiration of the term of any member of an appointive oard, commission, or committee, or in the event of any vacancy on any such appointive board, commission or committee, the City Clerk shall advertise the pi osition in accordance with Section 2-169 of the Code of Ordinances, in the form f a press release. The press release shall include a deadline date for submittal f applications for such advertised opening, and language indicating City g y I ouncil's intent to reserve the right to immediately fill a vacancy in an alternate ember position in the event an alternate is moved into the regular member position, if there are other eligible applicants for the regular position. All Iapplications on file for membership on such board, commission or committee I Which were submitted within the one year period prior to the advertisement deadline date for such opening will be submitted to the City Council for Consideration, even if the incumbent member or a board alternate intends to seek i I reappointment. ' d. A uniform application which shall be completed by each individual seeking appointment to a board, commission or committee shall be provided by the City Clerks' office. Each applicant shall file a complete application which is signed and dated by the applicant and notarized. Each applicant shall attest to the truthfulness of the information on the application. e. Pursuant to Section 2-168 of the Code, the City Clerk shall keep each application on file for a period of one year from the date of its submittal. Any preference of the applicants to serve on a particular board or committee shall be so stated on ' he application form. Applicants who have stated a preference for a particular oard and for which an application remains on file in the City Clerks' office will be otified by mail that their application will be submitted for consideration any time Ia position opens on that board for which they are qualified. f. The City Clerk shall timely inform the City Council and City Manager of any hanges made to the composition of any appointive board, commission or (bommittee; and shall timely notify the Supervisor of Elections for Indian River ounty by letter of any changes in the membership of any boards, commissions car committees � ees which are required by Florida law to file financial disclosure. g. The City Clerk shall provide each new appointee with a copy of the publication ' ntitled A Florida Commission on Ethics Guide for Political Officers and mployees, pertinent excerpts of the City Board Handbook; and, if applicable, a nancial disclosure form with instructions to mail the form to the Supervisor of lections for Indian River County and information relative to the requirement to file final financial disclosure upon leaving the position. h. The City Clerk shall schedule presentation of Certificates of Appreciation by the ayor at Regular City Council meeting for all former members of boards, c mmissions, or committees, and notify them accordingly. ' ection 2. RESIGNATION. a. Any member of any appointive board, commission or committee who does not intend to seek reappointment shall notify the City Clerk and the chairperson of such board, commission or committee at least one month in advance of the expiration date of his or her term of office. b. lf�applicable, members of any appointive board, commission, or committee who 1 1 1 r ' were required to file financial disclosure will be provided with a final financial disclosure form for mailing to the Supervisor of Elections for Indian River County. Section 3. VACANCIES AND REAPPOINTMENTS. a. Each member of an appointive board, commission or committee who seeks Reappointment shall notify, in writing, the City Clerk and the respective chairperson bf the board, commission or committee, of the intention of such member to seek Reappointment at least two (2) months in advance of the term expiration date. 1 He/she must submit a new application or renew by initialing and dating the pplication on file if the application has been on file for more than one year. b. n the event that the City Council fails to reappoint a member for any reason prior to the expiration of the member's term, the member shall continue to serve until I ' Reappointment is ratified or a new appointment is confirmed. ection 4. SELECTION OF CHAIRPERSONS AND VICE CHAIRPERSONS. Whene er possible, the individual selected as the chairperson and vice chairperson of an appoint ve board, commission or committee, shall have served two (2)2 years as a regular membe of such appointive board, commission or committee, and shall have attended at least n nety percent (90%) of the meetings of such appointive board, commission or ' commit ee, which such member was not otherwise excused from attending by the individ al serving as the chairperson of such appointive board, commission or committee at such meeting or meetings. ' •ection 5. EXCUSED ABSENCES. In accordance with Section 2-173 of the Code, . board or committee member shall be automatically removed if, in a given fiscal 1 year, h- or she is absent for three consecutive meetings without an acceptable excuse. A memb r=s excuse shall be conveyed to the secretary of the board or committee prior to the me ting to which the request for an excuse has been submitted. The member's reques for an excused absence shall be considered at the beginning of the meeting for which t e excuse has been requested. 1 1 1 1 CODE OF ORDINANCES ' Section 2-36. Other Boards of Committees. Absent express authorization within the ordinance or resolution establishing a board or committee of the City, no member of Council shall serve thereupon in any capacity. Section 2-16 . Definitions. The following words, terms and have the meanings ascribed to them in this section: nd phrases, when used in this article, 1 "Board" shall mean any permanent board or committee of the city, which is establish a permanent board or committee of the city. ed by ordinance as "Committee" stall mean any temporary committee or commission of the city, which is established by resolution to study a specific problem and recommend a solution or policy alternative within a time certain. Its eistence shall terminate upon the completion of its assignment or on a date certain as ' provided by th4 resolution creating the committee or commission. Neither"board' nor"committee" shall be construed to include the City Council. Section 2-167. Appointments. The City Council shall make all appointments and reappointments to the boards an. committees of the city. Unless waived by the City Council and the applicant, the City ' Council shall interview persons requesting consideration for appointment at a public meeting. Following said interview, the City Council shall fill the vacancy from the list of applicants. All boards and committee. shall have at least one (1) alternate member, with a maximum of two (2) alternate ' members. No person shal serve on more than one (1) city board or permanent committee simultaneously. ' All members o any city board or committee must resign at least ten days prior to qualifying as a candidate for p.litical office, and qualification for elective office is deemed immediate resignation from such board or committee. (0-04-16) 1 Section 2-168. List of volunteers. (a) Twice a year advertisements shall be published in a newspaper of general circulation setting forth a list of al city boards and committees, special qualifications necessary for membership and the city telephone n mber to call for additional information. Section 2-169. Announcement of vacancies, applications for consideration. Vacancies in the membership of o city board or committee shall be announced by the City Clerk by posting a notice of same at a publ c place in the City Hall and by publishing a copy thereof in a newspaper of general circulation in th4 city. Persons wishing to be considered for appointment shall file an application with the office of the ity Clerk. Section 2-170. Qualifications. The primary consideration in appointing board and committee members shall e to provide the board or committee with the needed technical, professional, financial, business or administrative expertise. An applicant's previous term as a member or an alternate member of the board or committee on which there is a vacancy may be given special consideration. Whenever a curient or former member of a board or committee is being considered for a or reappointment to a board, the City Council shall consider the number and nature of the memoranda of conflict previously filed by such individual pursuant to Chapter 112 Florida Statutes, relating to that 1 1 I I individual's previous membership on the board or committee for which the appointment is being I considered. All of the members of each board or committee shall be residents of the city, however it shall be required that any member of the Planning & Zoning Commission have been a resident of the city for a miniripum period of one year. Additional qualifications may be ordained or be otherwise applicable fora particular board or committee. Section 2-171. Terms. Except as otherwise provided by ordinance or by State law, board members I shall be appointed to fill specific three (3) year terms of membership, which shall be staggered, so that no more than three (3) members of a particular board shall be appointed in any given calendar year. In the event that an appointment is made to fill an unexpired term, the member shall serve until the end of the unexpire1 term. I In n event shall any individual who has served as a member of board for the o (2) e y o the bo d r t e greater of tw ( ) consecutive terms or six (6) years be reappointed to serve another consecutive term as a member of Isuch board, unless no other individual, who has otherwise legally qualified to serve as a member of said board ha a current application on file with the City Clerk seeking appointment to serve as a member of sucJh board. This provision shall not prevent appointment to a different board. For purpose I of this section the calculation of service of a board member shall not include time served as an alternate member of the board where the vacancy occurs. I Section 2-172. Removal. Any member of a board or committee of the city may be removed from office by the C'ty Council without cause by a vote approved by at least four (4) members of the entire membership of the City Council. Any member of a board or committee of the city may be removed from office for the iolation of any provision of State law governing the conduct of elected or appointed I officials; convi tion in any court for .a violation of law involving moral turpitude; misfeasance; nonfeasance •r malfeasance in the performance of official duties; or abandonment of office by a I majority vote o the members of the City Council present at the meeting where said removal is being considered. Upon the dire' ion of a majority of the City Council, a notice of removal shall be served upon the I member soug t to be removed, which shall specify the grounds for removal. The notice of removal shall be delive ed by personal delivery or by ordinary first class mail to the member at the address provided by th records of the City Clerk. Service shall be accomplished as soon as is practicable after I the City Counc I directs service of the notice of removal. Except as provided in Section 2-173 below, the notice shall) include a statement that the member has the right to request a hearing before the City Council and th t the request for a hearing must be received by the City Clerk on or before a date to be I specified in they notice which shall be seven (7) days from the date of service if the notice is personally served, or ten days from the date of mailing if the notice is served by mail. I Upon timely re uest for a hearing before the City Council, the Council shall set a date and time for the hearing and direct the City Clerk to give the member notice of the hearing. At the hearing, the member may present evidence and argument as to why the removal should not occur. Legal counsel may represent the I ember and the City Clerk shall record all proceedings on magnetic tape. The decision Iof the Council may be either to remove, suspend, reprimand or to absolve the member. For purpose of this section, the effective date of removal of a member shall be immediately after the expiration of the time in which the member has the right to request a hearing before the City Council. If the member I timely requestsa hearing, and if the City Council decides to remove the member upon conclusion of the hearing, the removal shall take effect immediately. If a member timely requests a hearing, but withdraws the request prior to the hearing, the effective date shall be the date on which the request was I withdrawn. Section 2-173. Attendance Requirement. Notwithstanding any other provision of this Code, any board or committee member shall be automatically removed if, in a given fiscal year he or she is absent ' from three (3) consecutive meetings without an acceptable excuse. An "acceptable excuse" is defined as an absence for medical reasons, business reasons, personal reasons, or any other reason, which the Chair of the board or committee deems appropriate. Upon notification by the Chair of the board or committee th�t a member has not complied with the attendance requirement, the City Council shall issue an order of removal. The effective date of removal shall be the date on which the order of removal was ntered. Removal of board or committee members pursuant to this section shall not be subject to Section 2-172. To Boatd Secretaries: Council members have requested that when a committee member has had two ' consec Live unexcused absences, that he or she be notified by letter that a third unexcu ed absence will result in removal of the member from the committee in accordance with Chapter 2 of the Code of Ordinances. This will give the member an opportunity to provide a reason or request to be excused. ' Since you all know best about your members and their meeting attendance, I would ask that you send this letter in this situation and provide my office with a copy of the letter and any response you may receive. We will use this letter as proof of notification and provide it as backup when we take the matter to Council. Thanks-Sally 1 1 1 I i 1 SUGGESTED AGENDA FORMAT 1 - (1) Call to Order (2) Pledge of Allegiance ' (3) Invocat on or Moment of Silence (4) Announcements (5) ApprovLI of Minutes (of meeting(s)) (6) Old Business (7) New Business ' (8) Chairm n and/or Members Matters (9) Adjour ment ANYONE WHO M,Y WISH TO APPEAL ANY DECISION, WHICH MAY BE MADE AT THIS HEARING, WILL NEED TO ENSURE THA A VERBATIM RECORD OF THE PROCEEDINGS IS MADE WHICH RECORD INCLUDES THE TESTIMONY AND EVIDENCE UPON WHICH THE APPEAL WILL BE BASED. (286.0105) IN COMPLIANCE WITH THE AMERICANS WITH DISABILITIES ACT(ADA),ANYONE WHO NEEDS A SPECIAL ACCOMMODATI sN FOR THIS MEETING SHOULD CONTACT THE CITY'S ADA COORDINATOR AT 589-5330 AT LEAST 48 HOUR , IN ADVANCE OF THIS MEETING. 1 1 ill 1 - II 1 II SUNSHINE LAW ' FINANCIAL DISCLOSURE ' Conflicts of interest may occur when public officials are in a position to make decisions , which affect their personal financial interests. This is why public officers and employees, as well as candidates who aspire to hold public office, are required to publicly disclose their financial interests. The disclosure process serves to remind officials of their obligation to put the public ' interest above personal considerations. It also helps citizens to monitor the activities of those who spend th4 tax dollars and participate in public policy or administration. WHAT MUST BE DISCLOSED In general, this includes the reporting person's sources and types of financial interests, e.g., ' name of emploer and address of real property holdings. WHO MUST FILE ' State officers, local officers, candidates for local elective office; any person elected to office in any political su.division and any person appointed to fill a vacancy for an unexpired term in ' such elective o fice; certain (BUT NOT ALL) appointed members of boards of any political subdivision, an. all members of bodies exercising land-planning, zoning or natural resources responsibilities whether advisory or not. See Florida Statutes for specific requirements. IFINAL FINANCIAL DISCLOSURE Within 60 days of leaving any appointed or elected position, an individual must file a final ' financial disclo ure form. Fines will be imposed for failure to file. NOT EVERY EOARD MEMBER IS REQUIRED TO FILE FINANCIAL DISCLOSURE FORMS. ' YOU WILL BE PROVIDED WITH A FINANCIAL DISCLOSURE FORM AND A FINAL FINANCIAL DISCLOSURE FORM UPON APPOINTMENT IF THE BOARD YOU HAVE BEEN APPOINTED O IS REQUIRED TO FILE. ' PLEASE REF R TO THE GOVERNMENT IN THE SUNSHINE MANUAL PROVIDED TO YOU BY THE BOARD SECRETARY. LAWS FREQUENTLY CHANGE, THEREFORE, THE BEST INFORMATION YOU CAN OBTAIN IS FROM THE UPDATED MANUALS. 1 1 1 1 I 1 O Q) II V o 1 a I o •� o I N � v c a -0 CJ v1 (1) p �+ O (1) ---+ p a) e � M., 4.4 al Q Q. tzs cu in o Q) Q) Q 4., Cf I 4111: 03 EO .� -�Q .� QOj o O • Y V \ h m N I v n Q, -Q Q L. ,„„ E- 1 z &-- -_-, I Q) Q N pry O 0) 0) OC I *` o `� •� -Q v a'' E -Q p cn cn i, Li) fist. c' .V V fa) -Q Q3 O V I •� Q) t, a o a N o z I A 4■f% t4 -tn ..r-eL) a_ k) ,,_ ,- % 0 0.- 4...i Q,) r% 7.:: 4....I 1._ .-■ P"'" ---- i -..4 4-4- ,4,7,,_—_,, AUL'f) '' _ CX "' , * S S I I IO O O Q a CD 0 v a ° " ° p n• Q O O Q V V O O 0 Q V -Q vs �Q E O -0 E -Q V of, ° �, '�, a -� Q o o ° Z3 g R .R Q7 •� "' -Q v h v Z 0) 0 Li O .L .,�, to ' b .Z V t V Qa:`.., ("Z .. 0 w Q �., ^ ^ O I . . � � .Q Qt. 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Q, •„ a Q v ^ ,v ob o .i 4..., v Q L h 2 Q, -� I Q 7 n3 °, - ice �•+ � ob (1)0Li , ,,., Q, � � O Q 0� Q Q C= -c -C Q O •> v O .. 1 O ,i _Q i- L1 E -Q .O cr k. .�, O; of) „O �° Q o I 1 O O 1 _ C■• O tA 1 O S- 44 Q, 1 t3 � O •" o I 3 � a 1 � t I •^ o I O V) ›, -Q I 0Q.) tit -76 1 u� Ze. o 1 0- .� E � $ I ° �°. > � �� ° V a) C:1 icy) b � 6- � i 0° MJ 0 I ca. ' Qa 0 0 1ocUE 1 NAo O I I 1 A Pocket Guide to Florida's Government-in-the-Sunshine Laws: I Open Meetings & Public Records Summarized from The Government-in-the-Sunshine Manual, 1 ' 996 Edition (Prepared by the Office of the Attorney General of Florida, and published by the First Amendment Foundation). ' compiled by Charlene Carres, Esq. Note: he following material provides the reader with only a general idea of what Florida Open Meetings and Public Records laws are about. It was prepared to give ' members of the public and government boards and commissions a passing familiarity with their requirements. The actual Open Meetings and Public Records laws are cornple . Many complications, nuances, and most of the exceptions are not covered ' here. Also, information relating to courts, the Legislature, and law enforcement, and informa ion concerning children and medical records, though covered in the Manual, is not incl a ded in this summary. ' if you hove any questions or doubts about the application or interpretation of these laws, call the irst Amendment Foundation's FOl Hot line. ' 1-800-337-3518 For a c.py of the most recent edition of The Government-in-the-Sunshine Manual, call ' (850) 2i4-4555. THE OPEN MEETINGS LAW ' Section 286.011, F.S. ' Florida's Government-in-the-Sunshine Law applies when two or more members of the same el cted or appointed public board or commission meet to discuss or take action on any ma ter which may foreseeably come before them in their official capacity. The Sunshi e Law requires that: (1) meetings be open to the public; (2) notice be given; and (3) min tes be taken. ' APPLICATION Who else is covered? Members-elect of boards or commissions are also subject to the ' Sunshine Law. Private entities doing business on behalf of a public agency may also be subject o the law. Who is not covered? Staff meetings are not ordinarily subject to the Sunshine Law. ' What meetings t es of are g a e covered. The Sunshine Law applies to all functions of covered agencies, boards, and commissions, whether formal or informal, which relate to Itheir aff, irs and duties. The Sunshine Law also applies when an individual has been delegated the authority to act on behalf of or make recommendations to a public entity. 1 ' However, when an individual has only been delegated the authority to gather information, the Sunshine Law does not apply. The Sunshine Law prohibits meetings between a member of a public body and an individual who is not a member when that ' individual is being used as a liaison between, or to conduct a de facto meeting of, other members of the public entity. What types of meetings are not covered? The Sunshine Law does not apply to a ' meeting between individuals who are members of different boards unless one or more of them have been delegated the authority to act on behalf of his or her board. If an official ' is not 8 member of the board or commission and does not ossess any y power to vote, the offilcial may meet privately with an individual member. There is no violation of the Sunshine Law for a board member to express views or voting intentions on upcoming issues to a reporter. Members of a public board or commission are not prohibited from ' meeting together socially under the Sunshine Law, as long as matters which may come before them in their official capacity are not discussed. ' What fprms of communication are covered? Members of a board discussing board business or holding a meeting by telephone must ensure that the requirements of the Sunshine Law have been satisfied by providing notice and access to the public. If a ' memorandum reflecting the views of a board member is circulated among board members with each indicating his or her approval, disapproval, or comments, there is a violation of the Sunshine Law. The use of a written report simply to inform is not a violation of the Law as long as there is no reply or interchange of information. The use of computprs by members of a public board or commission to communicate among themselves is subject to the Sunshine Law. ' What subjects are covered? There is no exception to the Sunshine Law allowing closed-poor hearings when a board or commission is acting in a "quasi-judicial" capacity. Discussions between a public board and its attorney are generally subject to the ' Sunshine Law. However, a public board and its attorney may meet in a closed session to discuss] settlement negotiations or strategy concerning pending litigation to which the public board is a party. Numerous limiting conditions apply to such meetings, including ' transcription requirements, topic limitations, notice and procedural requirements, and release;of the transcript upon completion of the litigation. Meetings at which personnel matters are discussed are not exempt. Negotiations by a public body for the sale or ' purchase of real property must be conducted in the Sunshine. The Sunshine Law is applicable to investigative inquiries of public agencies, and the fact that a meeting concerns alleged violations of law or regulations does not remove it from the scope of the Lavt_ Sunshine Law policy on collective bargaining for public employees is divided into two parts: when the public employer is meeting with its own side, it is exempt from the Sunshine Law; when the public employer is meeting with the other side, it is required to comply with the Law. What are the requirements for voting? A board may not use secret ballots. Each members present must cast a vote either for or against each proposal, but it is not ' necessary to take a roll call vote to reflect each member's specific vote. The minutes must report voting results either by recording the vote of each individual member or counting the votes and reporting the totals. No member of any governmental board or ' commission who is present at any meeting at which a decision, ruling, or other official act is to be taken or adopted must abstain from voting. A vote must be recorded or 2 II counted for each member present, except when a member has, or appears to have, any conflict of interest. ' REQUIREMENTS Where may meetings be held? Public boards or commissions are prohibited from ' holdin6 their meetings at any facility which discriminates on the basis of sex, age, race, color, national origin, creed, religion, or economic status, or which operates in a manner that u reasonably restricts public access. Public agencies should take reasonable steps to en ure that meeting facilities will accommodate the anticipated turnout. Public meetin s should be held within reasonable proximity to the jurisdiction of the public board r commission. ' Can restrictions be placed on public attendance or participation? The public may not be deprived of the right to be present and to be heard at all deliberations where ' decisio s affecting the public are being made. However, the extent to which public partici ation must be allowed has not been determined. Reasonable rules and policies ensuri g the orderly conduct of a public meeting and requiring orderly behavior of those in atte dance may be adopted. A rule or policy prohibiting the use of nondisruptive camer s or silent tape recording devices is unreasonable and, therefore, invalid. What ind of notice must be given? A written notice containing the time, place, and ' genera subject of the meeting should be given. Notice should be published, posted, and/or irculated in a way meant to allow members of the public who may be interested to kno about the meeting. If a meeting is to be adjourned and reconvened later to ' comple e the business from the agenda of the adjourned meeting, the second meeting must al o be noticed. ' Must ritten minutes be kept of all public meetings? Yes. Minutes of a public meetin must be promptly recorded and open to public inspection. A written transcript of a meeti g may be used as the minutes. PENALTIES ' What re the penalties for violations of the Sunshine Law? No resolution, rule, regulati n, or formal action is binding unless it is promulgated at an open meeting. Any membe of a board or commission or of any state or local agency or authority who knowin ly violates the Sunshine Law is guilty of a misdemeanor of the second degree. If convict d, the officer or employee may be removed from office. Any public official who violates the provisions of the Sunshine Law is guilty of a noncriminal infraction, punish ble by a fine not exceeding $500. Reasonable attorney's fees and court costs will ' be assessed against a public agency violating the Sunshine Law. 1 1 1 3 1 ' THE PUBLIC RECORDS LAW Chapter 119, F.S. Every person who has custody of a public record must allow the record to be inspected and examined by any person desiring to, under reasonable conditions. The custodian ' must furnish a copy of the record upon payment of the cost of duplication or of the fee prescribed by law. ' APPLICATION What materials are public records? "Public records" include: all documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, data processing software, or other material, regardless of physical form, characteristics, or means of transmission, made or received pursuant to law or in connection with the transaction of business by any agency. The only exceptions are for records specifically made confidential by the Florida Constitution and records exempted by state statute. What agencies are subject to the Public Records Law? "Agency" includes any state ' or local officer, department, division, board, bureau, commission, or other unit of government created or established by law and any other public or private agency, person, or business acting on behalf of a public agency. Records of advisory boards created by governmental entities to provide advice or make recommendations are subjectjto the Public Records Law. ' REQUIREMENTS May an agency refuse a request because the agency believes disclosure could ' violate Privacy rights? No. Neither the custodian of records nor the person who is the subject[of a record can claim a right of privacy as a bar to inspection of a public record without specific statutory exemption. May an agency impose a waiting period or establish a specific time eriod for or access to public records? No. The only delay permitted in producing records is the ' reasonable amount of time it takes to retrieve the record and delete any exempt portions. May an agency require that a request for records be made in writing or that the requester furnish background information? No. A custodian must honor a request for copies of records whether the request is in writing, over the telephone, or in person, as long as the required fees are paid. A requester cannot be required to disclose his/her ' name, address, or telephone number unless this information is required by law. If a public agency believes it is necessary to document a request for public records, the agency may require the custodian to complete the appropriate document. ' Must a ',person give a reason for his/her request? No. The Public Records Law does not require a person to show a purpose or "special interest" as a condition of access to ' public records. 1 4 I May an i agenc y refuse to allow inspection or copying of public records on the grounds that the request is "overbroad"? No. A custodian is not authorized to deny a request for access to public records because it is not specific enough. If a request is ' insufficient to identify the records, the agency has the duty to notify the requester prompt y that more information is needed. Unless there is a statutory exemption, a custodi n must produce the records requested regardless of the number of documents ' involve or any inconvenience. The agency is authorized, however, to charge a reasonable fee, in addition to the actual cost of duplication, for the cost of extensive use of tech ology resources or personnel if required by the nature or volume of the request. May a agency refuse a request because the record requested contains exempt inform tion? No. If a record contains information which is exempt from public disclos re, the custodian must delete that which is exempt and provide a copy of the remain er. Also, if so requested, a custodian must state in writing the statutory citation authori ing the deletion. ' Is an agency required to answer questions regarding contents of public records? No. Th- Public Records Law does not require an employee to answer questions regardi g details of the contents of records or to excerpt or interpret them for the public. Howev-r, an agency must respond to all requests for any information about copying costs. ' Is an .gency required to produce records in a particular form? An agency is not ordinari y required to produce records in a particular form. For example, if the health depart ent keeps a chronological list of dogbites involving rabies, a requester cannot require the department to reorganize the information by geographic area. However, an agency is required to provide a copy of a public record in any medium maintained by the agency ' Is an agency required to comply with a request for records stored in a computer? Yes. In ormation stored in a computer is as much a public record as written pages in a book oil file folders, and are governed by the same rules as other public records. An agency that maintains a public record in an electronic recordkeeping system must provide a copy of a requested record in the medium requested if the agency maintains ' the rec rd in that medium. May a agency refuse a request to inspect or copy the agency's records on the group s that they are not in its possession? No. An agency is not authorized to refuse allow inspection of its public records on the grounds that the documents are in the act al possession of someone else (such as the agency's lawyer). Public records may ndt be removed from the place where they are ordinarily expected to be kept, ' except or reasonable business purposes. May an agency charge a fee for the mere inspection of public records? No. Public ' records, must be open for public inspection without charge unless otherwise expressly provided by law. But if the volume of records to be inspected is large, requiring the extensi\lre use of agency resources, a special service charge could be applied. (See It is irrelevant whether the requested public record is a written document, a videotae, or information stored in a computer. Providing access is a statutory duty of all records custodians. It is not a revenue-generating operation. 5 1 ' What fees may be charged for copies of public records? Agencies are permitted to provide copies of public records without charge. An agency may, however, charge for copies, as long as the fee does not exceed that established by law. If no other fee is set ' in the statutes, the custodian may charge up to 15 cents per onesided page for paper copies that are 8 1/2 by 14 inches, or smaller, and no more than 20 cents for twosided duplicated copies. Up to $1.00 per page may be charged for certified copies. For other copies, the charge is limited to the actual cost of duplication. The phrase "actual cost of duplication" is defined to mean "the cost of the materials and supplies used to duplicate the record, but it does not include the labor and overhead cost . . . ." No fees designed to recoup the original cost of developing or producing the records may be charged. An agency may also charge a reasonable fee, based on actual costs incurred, for the extensive use of agency resources. How long must an agency retain a public record? Whoever has custody of public records must give them to his/her successor at the expiration of his/her term or, if there is no successor, to the records and information management program of the Division of ' Library and Information Services of the Department of State. Florida law requires agencies to give the Division a list or schedule of records that are no longer needed in the transaction of business and that do not have enough administrative, legal, fiscal, or ' historic significance to justify keeping them. The Division has rules, binding all agencies, concerning the disposal of public records. ' PENALTIES What are the options if an agency refuses to produce public records? Mediation. , a ' contactFor more the Oce information ffi of the about Attorney the General.voluntary Civil Public action. Any Records person Mediation denied Program the right ple to se inspect and/or copy public records may file a civil action in circuit court against an agency to compel compliance with the Public Records Law. These actions are entitled to ' an immediate hearing and take priority over other cases. A public agency's unjustified delay in complying with a request until after litigation is filed amounts to an "unlawful refusal." While an action is pending, the custodian may not transfer custody, alter, or dispose of the record. If a civil action is filed against an agency and the court determines the agency unlawfully refused to permit a public record to be inspected, examined, or copied, the court shall order the agency responsible to pay the costs of enforcing the law, including reasonable attorney's fees and court costs. Attorney's fee are recoverable even if access is denied on the mistaken belief that the requested records are exempt from disclosure. Criminal penalties. A public officer who knowingly violates the Public Records Law is guilty of a misdemeanor of the first degree, punishable by penalties of up to one year in prison, a $1,000 fine, or both, and is subject to suspension and removal. A violation is also a noncriminal infraction, punishable by a fine not exceeding $500. 1 6 I I FORM 8B MEMORANDUM OF VOTING CONFLICT FOR COUNTY, MUNICIPAL, AND OTHER LOCAL PUBLIC OFFICERS LAST NAME-FIRST NAME-MIDDLE NAME NAME OF BOARD,COUNCIL,COMMISSION,AUTHORITY,OR COMMITTEE MAILING ADDRESS THE BOARD,COUNCIL,COMMISSION,AUTHORITY OR COMMITTEE ON I WHICH I SERVE IS A UNIT OF: CITY COUNTY ❑CITY 0 COUNTY ❑OTHER LOCAL AGENCY NAME OF POLITICAL SUBDIVISION: DATE ON WHICH VOTE OCCURRED MY POSITION IS: 1 i ❑ ELECTIVE 0 APPOINTIVE IWHO MUST FILE FORM 8B This form is for use by any person sewing at the county, city, or other local level of government on an appointed or elected board, council, I commission, authority, or mmittee. It applies equally to members of advisory and non-advisory bodies who are presented with a voting conflict of interest under Section 112.3143, Florida Statutes. Your responsibilities under the law when faced with voting on a measure in which you have a conflict of interest will vary greatly depending I on whether you hold an elective or appointive position. For this reason, please pay close attention to the instructions on this form before completing the reverse side and filing the form. I INSTRUCTIONS FOR COMPLIANCE WITH SECTION 112.3143, FLORIDA STATUTES I A person holding elective or appointive county, municipal, or other local public office MUST ABSTAIN from voting on a measure which inures to his or her special private gain or loss. Each elected or appointed local officer also is prohibited from knowingly voting on a mea- sure which inures to the special gain or loss of a principal (other than a govemment agency)by whom he or she is retained(including the parent organization or subsidiary of a corporate principal by which he or she is retained);to the special private gain or loss of a relative;or I to the special private gain or loss of a business associate. Commissioners of community redevelopment agencies under Sec. 163.356 or 163.357, F.S., and officers of independent special tax districts elected on a one-acre, one-vote basis are not prohibited from voting in that capacity. IFor purposes of this law, a"relative" includes only the officer's father, mother, son, daughter, husband, wife, brother, sister, father-in-law, mother-in-law, son-in-law, and daughter-in-law.A"business associate" means any person or entity engaged in or carrying on a business enterprise with the officer as a partner,joint venturer, coowner of property, or corporate shareholder(where the shares of the corporation Iare not listed on any national or regional stock exchange). • x ELECTED OFFICERS: IIn addition to abstaining from voting in the situations described above,you must disclose the conflict: PRIOR TO THE VOTE BEING TAKEN by publicly stating to the assembly the nature of your interest in the measure on which you are abstaining from voting; and IWITHIN 15 DAYS AFTER THE VOTE OCCURS by completing and filing this form with the person responsible for recording the min- utes of the meeting,who should incorporate the form in the minutes. APPOINTED OFFICERS: Although you must abstain from voting in the situations described above, you otherwise may participate in these matters. However, you I must disclose the nature of the conflict before making any attempt to influence the decision,whether orally or in writing and whether made by you or at your direction. IF YOU INTEND TO MAKE ANY ATTEMPT TO INFLUENCE THE DECISION PRIOR TO THE MEETING AT WHICH THE VOTE WILL BE I _ TAKEN: • You must complete and Ile this form(before making any attempt to influence the decision)with the person responsible for recording the minutes of the meeting,4.irho will incorporate the form in the minutes. (Continued on other side) CE FORM 8B-EFF.1/2000 PAGE 1 • I IAPPOINTED OFFICERS (continued) • A copy of the form must be provided immediately to the other members of the agency. • The form must be read publicly at the next meeting after the form is filed. IF YOU MAKE NO ATTEMPT TO INFLUENCE THE DECISION EXCEPT BY DISCUSSION AT THE MEETING: I • You must disclose orally the nature of your conflict in the measure before participating. • You must complete the form and file it within 15 days after the vote occurs with the person responsible for recording the minutes of the meeting,who must incorporate the form in the minutes.A copy of the form must be provided immediately to the other members of the Iagency, and the form must be read publicly at the next meeting after the form is filed. DISCLOSURE OF LOCAL OFFICER'S INTEREST 1 I, , hereby disclose that on ,20 I (a)A measure came or will come before my agency which(check one) inured to my special private gain or loss; • inured to the special gain or loss of my business associate, I — inured to the special gain or loss of my relative, inured to the special gain or loss of by Iwhom I am retained;or inured to the special gain or loss of ,which is the parent organization or subsidiary of a principal which has retained me. I (b)The measure before my agency and the nature of my conflicting interest in the measure is as follows: I I I I I IDate Filed Signature I NOTICE: UNDER PROVISIONS OF FLORIDA STATUTES §112.317, A FAILURE TO MAKE ANY REQUIRED DISCLOSURE CONSTITUTES GROUNDS FOR AND MAY BE PUNISHED BY ONE OR MORE OF THE FOLLOWING: IMPEACHMENT, REMOVAL OR SUSPENSION FROM OFFICE OR EMPLOYMENT, DEMOTION, REDUCTION IN SALARY, REPRIMAND, OR A CIVIL PENALTY NOT TO EXCEED$10,000. ICE FORM 8B-EFF.1/2000 PAGE 2 I 1 FLORIDA STATE STATUTES Florida State Statutes Chapter 112 deals with financial disclosure, voting conflicts ' and gifts. Phase make time to either come in to the City Clerk's office or visit the internet to research Florida Statutes, which can be found at: http://vvvvvv.leq.state.fl.us/statutes/ I1 1 1 1 1 I 1 1 1 r I 1 2009 I FLORIDA COMMISSION ON ETHICS II I GUIDE to the SUNSHINE AMENDMENT I and CODE of ETHICS for Public Officers and Employees ICheryl Forchilli, Chair Tampa IRoy Rogers,Vice Chair Lighthouse Point ILinda D.Conahan Boca Raton ILarry R.Handfield Miami IFrank Kruppenbacher Orlando IJean M. Larsen Port St. Lucie IMichael D.Joblove Cooper City IAlbert P.Massey, Ill Ft. Lauderdale IRobert J.Sniffen Tallahassee IPhilip Claypool Executive Director P.O. Drawer 15709 ' Tallahassee, FL 32317-5709 www.ethics.state.fl.us (850)488-7864* I `Please direct all requests for information to this number. I I I TABLE OF CONTENTS II. HISTORY OF FLORIDA'S ETHICS LAWS 1 II. ROLE OF THE COMMISSION ON ETHICS 2 IIII. THE ETHICS LAWS 2 A. PROHIBITED ACTIONS OR CONDUCT 3 I 1. Solicitation or Acceptance of Gifts 3 2. Unauthorized Compensation 3 3. Misuse of Public Position 4 I 4. Disclosure or Use of Certain Information 4 5. Solicitation or Acceptance of Honoraria 4 B. PROHIBITED EMPLOYMENT AND BUSINESS RELATIONSHIPS 5 I 1. Doing Business With One's Agency 5 2. Conflicting Employment or Contractual Relationship 5 3. Exemptions 6 I 4.Additional Exemption 7 5. Lobbying State Agencies by Legislators 7 6. Employees Holding Office 7 I 7. Professional &Occupational Licensing Board Members 7 8. Contractual Services: Prohibited Employment 7 9. Local Government Attorneys 7 I C. RESTRICTIONS ON APPOINTING, EMPLOYING,AND CONTRACTING WITH RELATIVES 7 1.Anti-Nepotism Law 7 I 2. Additional Restrictions 8 D. POST OFFICEHOLDING & EMPLOYMENT(REVOLVING DOOR) RESTRICTIONS 8 1.Lobbying By Former Legislators, Statewide Elected Officers, I and Appointed State Officers 8 2. Lobbying By Former State Employees 8 3.Additional Restrictions on Former State Employees 9 I 4. Lobbying By Former Local Government Officers and Employees 10 E. VOTING CONFLICTS OF INTEREST 10 F. DISCLOSURES 11 I1. Form 1 - Limited Financial Disclosure 12 2. Form 1F- Final Form 1 14 3. Form 2-Quarterly Client Disclosure 14 I4. Form 6- Full and Public Disclosure 15 5. Form 6F-Final Form 6 16 6. Form 9- Quarterly Gift Disclosure 16 I 7. Form 10-Annual Disclosure of Gifts from Governmental Entities and Direct Support Organizations and Honorarium Event-Related Expenses 16 8. Form 30-Donor's Quarterly Gift Disclosure 17 I9. Forms 1X and 6X—Amendments 18 I I I IV. AVAILABILITY OF FORMS 18 I V. PENALTIES 19 A. For Violations of the Code of Ethics 19 B. For Violations by Candidates 19 I C. For Violations by Former Officers and Employees 19 D. For Lobbyists and Others 19 E. Felony Convictions: Forfeiture of Retirement Benefits 20 F. Automatic Penalties for Failure to File Annual Disclosure 20 VI. ADVISORY OPINIONS 20 111 A. Who Can Request an Opinion 20 B. How to Request an Opinion 20 C. How to Obtain Published Opinions 20 VII. COMPLAINTS 21 A. Citizen Responsibility 21 B. Confidentiality 21 C. How the Complaint Process Works 22 Dismissal of Complaint at Any Stage of Disposition 23 ID. E. Statute of Limitations 23 IVIII. EXECUTIVE BRANCH LOBBYING 23 IX. WHISTLE-BLOWER'S ACT 24 IX. ADDITIONAL INFORMATION 24 XI. ONLINE TRAINING 25 I I I I I 1 I I FLORIDA COMMISSION ON ETHICS 1 GUIDE TO THE SUNSHINE AMENDMENT 1 and CODE OF ETHICS I for PUBLIC OFFICERS I and EMPLOYEES I. HISTORY OF FLORIDA'S ETHICS LAWS Florida has been a leader among the states in establishing ethics standards for public officials and recognizing the right of her people to protect Ithe public trust against abuse. Our State Constitution was revised in 1968 to require that a code of ethics for all state employees and non-judicial officers I prohibiting conflict between public duty and private interests be prescribed by law. Florida's first successful constitutional initiative resulted in the adoption of the "Sunshine Amendment" in 1976, providing additional constitutional guarantees concerning ethics in government. In the area of enforcement, the ISunshine Amendment requires that there be an independent commission (the Commission on Ethics) to investigate complaints concerning breaches of public Itrust by public officers and employees other than judges. The "Code of Ethics for Public Officers and Employees" adopted by the I Legislature is found in Chapter 112 (Part III) of the Florida Statutes. Foremost among the goals of the Code is to promote the public interest and maintain the respect of the people for their government. The Code is also intended to Iensure that public officials conduct themselves independently and impartially, not using their offices for private gain other than compensation provided by I law. While seeking to protect the integrity of government, the Code also seeks to avoid the creation of unnecessary barriers to public service. I Criminal penalties which initially applied to violations of the Code were eliminated in 1974 in favor of administrative enforcement. The Legislature created the Commission on Ethics that year "to serve as guardian of the Istandards of conduct" for public officials, state and local. Five of the I i I Commission's nine members are appointed by the Governor, and two each are appointed by the President of the Senate and Speaker of the House of 1 Representatives. No more than five Commission members may be members of the same political party, and none may hold any public employment during ' their two-year terms of office. A chair is selected from among the members to serve a one-year term and may not succeed himself or herself. II. ROLE OF THE COMMISSION ON ETHICS ' In addition to its constitutional duties regarding the investigation of complaints, the Commission: • Renders advisory opinions to public officials; • Prescribes forms for public disclosure; ' • Prepares mailing lists of public officials subject to financial disclosure for use by Supervisors of Elections and the Commission in distributing forms and notifying delinquent filers; ' • Makes recommendations to disciplinary officials when appropriate for violations of ethics and disclosure laws, since it does not impose penalties; ' • Administers the Executive Branch Lobbyist Registration and Reporting Law; • Maintains financial disclosure filings of constitutional officers and state officers and employees; • Administers automatic fines for public officers and employees who fail to timely file required annual financial disclosure; • May file suit to void contracts. III. THE ETHICS LAWS The ethics laws generally consist of two types of provisions, those prohibiting certain actions or conduct and those requiring that certain disclosures be made to the public. The following descriptions of these laws are simplified to put people on notice of their requirements. Therefore, we also ' suggest that you review the wording of the actual law. Citations to the appropriate laws are contained in brackets. The laws summarized below apply ' generally to all public officers and employees, State and local, including members of advisory bodies. The principal exception to this broad coverage is 2 the exclusion of judges, as they fall within the jurisdiction of the Judicial 1 9 Y jurisdiction Commission. A. PROHIBITED ACTIONS OR CONDUCT ' 1. Solicitation and Acceptance of Gifts Public officers, employees, local government attorneys, and candidates are ' prohibited from soliciting or accepting anything of value, such as a gift, loan, reward, promise of future employment, favor, or service, that is based on an ' understanding that their vote, official action, or judgment would be influenced by such gift. [Sec. 112.313(2), Fla. Stat.] ' A person required to file financial disclosure FORM 1 or FORM 6 (see part III F of this brochure), as well as a procurement employee for the State, is prohibited from soliciting any gift from a political committee, committee of ' continuous existence, lobbyist who has lobbied his or her agency within the past 12 months, or the partner, firm, employer, or principal of such a lobbyist. [Section 112.3148, Fla. Stat.] A person required to file FORM 1 or FORM 6, as well as a State procurement employee, is prohibited from directly or indirectly accepting a gift ' worth over $100 from such a lobbyist, from a partner, firm, employer, or principal of the lobbyist, or from a political committee or committee of ' continuous existence. [Section 112.3148, Ha. Stat.] However, effective in 2006 and notwithstanding Section 112.3148, Fla. Stat., no Executive Branch or legislative lobbyist or principal shall make, directly or ' indirectly, and no Executive Branch agency or legislative official or employee who files FORM 1 or FORM 6 shall knowingly accept, directly or indirectly, any expenditure made for the purpose of lobbying. Typically, this would include gifts valued at less than $100 that formerly were permitted under Section 112.3148, Fla. Stat. [Sec. 112.3215, Fla. Stat.] 2. Unauthorized Compensation Public officers or employees, local government attorneys, and their spouses and minor children are prohibited from accepting any compensation, payment, or thing of value when they know, or with the exercise of reasonable care ' should know, that it is given to influence a vote or other official action. [Sec. 112.313(4), Fla. Stat.] I 3 B. PROHIBITED EMPLOYMENT AND BUSINESS RELATIONSHIPS ' 1. Doing Business With One's Agency (a) A public employee acting as a purchasing agent, or public officer acting t in an official capacity, is prohibited from purchasing, renting, or leasing any realty, goods, or services for his or her agency from a business entity in which the officer or employee, his or her spouse, or child own more than a 5% interest. [Sec. 112.313(3), Fla. Stat.] (b) A public officer or employee, acting in a private capacity, also is prohibited from renting, leasing, or selling any realty, goods, or services to his or her own agency if the officer or employee is a state officer or employee, or, if he or she is an officer or employee of a political subdivision, to that subdivision or any of its agencies. [Sec. 112.313(3), Fla. Stat.] 2. Conflicting Employment or Contractual Relationship 1 (a)A public officer or employee is prohibited from holding any employment or contract with any business entity or agency regulated by or doing business with his or her public agency. [Sec. 112.313(7), Fla. Stat.] (b)A public officer or employee also is prohibited from holding any employment or having a contractual relationship which will pose a frequently recurring conflict between private interests and public duties or which will ' impede the full and faithful discharge of public duties. [Sec. 112.313(7), Fla. Stat.] (c) Limited exceptions to this prohibition have been created in the law for legislative bodies, certain special tax districts, drainage districts, and persons whose professions or occupations qualify them to hold their public positions. [Sec. 112.313(7)(a) & (b), Fla. Stat.] 3. Exemptions—The prohibitions against doing business with one's agency ' and having conflicting employment may not apply: (a) When the business is rotated among all qualified suppliers in a city or ' county. (b) When the business is awarded by sealed, competitive bidding and the ' official, his or her spouse, or child have not attempted to persuade agency personnel to enter the contract. NOTE: Disclosure of the interest of the official, spouse, or child and the nature of the business must be filed prior to or at the ' time of submission of the bid on Commission FORM 3A with the Commission 5 1 on Ethics or Supervisor of Elections, depending on whether the official serves at the state or local level. ' (c) When the purchase or sale is for legal advertising, utilities service, or for passage on a common carrier. (d)When an emergency purchase must be made to protect the public health, safety, or welfare. (e) When the business entity is the only source of supply within the political subdivision and there is full disclosure of the official's interest to the governing ' body on Commission FORM 4A. (f) When the aggregate of any such transactions does not exceed $500 in a calendar year. ' (g)When the business transacted is the deposit of agency funds in a bank of which a county, city, or district official is an officer, director, or stockholder, so long as agency records show that the governing body has determined that the member did not favor his or her bank over other qualified banks. ' (h) When the prohibitions are waived in the case of ADVISORY BOARD MEMBERS by the appointing person or by a two-thirds vote of the appointing body (after disclosure on Commission FORM 4A). (i) When the public officer or employee purchases in a private capacity goods or services, at a price and upon terms available to similarly situated ' members of the general public, from a business entity which is doing business with his or her agency. (j) When the public officer or employee in a private capacity purchases goods or services from a business entity which is subject to the regulation of his ' or her agency where the price and terms of the transaction are available to similarly situated members of the general public and the officer or employee makes full disclosure of the relationship to the agency head or governing body prior to the transaction. [Sec. 112.313(12), Fla. Stat.] 4. Additional Exemption ' No elected public officer is in violation of the conflicting employment prohibition when employed by a tax exempt organization contracting with his or ' her agency so long as the officer is not directly or indirectly compensated as a result of the contract, does not participate in any way in the decision to enter into the contract, abstains from voting on any matter involving the employer, ' and makes certain disclosures. [Sec. 112.313(15), Fla. Stat.] 6 5. Lobbying State Agencies By Legislators ' A member of the Legislature is prohibited from representing another person or entity for compensation during his or her term of office before any State agency other than judicial tribunals. [Art II, Sec. 8(e), Fla. Const. and ' Sec. 112.313(9), Fla. Stat.] 6. Employees Holding Office ' A public employee is prohibited from being a member of the governing body which serves as his or her employer. [Sec. 112.313(10), Fla. Stat.] 1 7. Professional and Occupational Licensing Board Members ' An officer, director, or administrator of a state, county, or regional professional or occupational organization or association, while holding such position, may not serve as a member of a state examining or licensing board ' for the profession or occupation. [Sec. 112.313(11), Fla. Stat.] 8. Contractual Services: Prohibited Employment ' A state employee of the executive or judicial branches who participates in the decision-making process involving a purchase request, who influences the ' content of any specification or procurement standard, or who renders advice, investigation, or auditing, regarding his or her agency's contract for services, is prohibited from being employed with a person holding such a contract with his ' or her agency. [Sec. 112.3185(2), Fla. Stat.] 9. Local Government Attorneys ' Local government attorneys, such as the city attorney or county attorney, and their law firms are prohibited from representing private individuals and entities before the unit of local government which they serve. A local government attorney cannot recommend or otherwise refer to his or her firm legal work involving the local government unit unless the attorney's contract authorizes or mandates the use of that firm. [Sec. 112.313(16), Fla. Stat.] ' C. RESTRICTIONS ON APPOINTING, EMPLOYING, AND CONTRACTING WITH RELATIVES ' 1. Anti-Nepotism Law A public official is prohibited from seeking for a relative any appointment, employment, promotion or advancement in the agency in which he or she is ' serving or over which the official exercises jurisdiction or control. No person 7 may be appointed, employed, promoted, or advanced in or to a position in an agency if such action has been advocated by a related public official who is ' serving in or exercising jurisdiction or control over the agency; this includes relatives of members of collegial government bodies. NOTE: This prohibition does not apply to school districts (except as provided in Section 1012.23, Florida Statutes), community colleges, and State universities, or to appointments of boards in municipalities of less than 35,000, other than those ' with land-planning or zoning responsibilities. Also, the approval of budgets does not constitute "jurisdiction or control" for the purposes of this prohibition. This provision does not apply to volunteer emergency medical, fire fighting, or police service providers. [Sec. 112.3135, Fla. Stat.] ' 2. Additional Restrictions A State employee of the executive or judicial branches or the PSC is prohibited from directly or indirectly procuring contractual services for his or ' her agency from a business entity of which a relative is an officer, partner, director, or proprietor, or in which the employee, his or her spouse, and children own more than a 5% interest. [Sec. 112.3185(6), Fla. Stat.] D. POST OFFICE HOLDING AND EMPLOYMENT (REVOLVING DOOR) ' RESTRICTIONS 1. Lobbying by Former Legislators, Statewide Elected Officers, and Appointed ' State Officers A member of the Legislature or a statewide elected or appointed state ' official is prohibited for two years following vacation of office from representing another person or entity for compensation before the government body or agency of which the individual was an officer or member. [Art. II, Sec. 8(e), Fla. ' Const. and Sec. 112.313(9), Fla. Stat.] 2. Lobbying by Former State Employees ' Certain employees of the executive and legislative branches of State government are prohibited from personally representing another person or entity ' for compensation before the agency with which they were employed for a period of two years after leaving their positions, unless employed by another agency of State government. [Sec. 112.313(9), Fla. Stat.] These employees include the following: (a) Executive and legislative branch employees serving in the SENIOR ' MANAGEMENT SERVICE and SELECTED EXEMPT SERVICE, as well as any 8 1 111 person employed by the DEPARTMENT OF THE LOTTERY having authority over policy or procurement. (b) Persons serving in the following position classifications: the Auditor General; the director of the Office of Program Policy Analysis and Government ' Accountability (OPPAGA); the Sergeant at Arms and Secretary of the Senate; the Sergeant at Arms and Clerk of the House of Representatives; the executive ' director of the Legislative Committee on Intergovernmental Relations and the executive director and deputy executive director of the Commission on Ethics; an executive director, staff director, or deputy staff director of each joint committee, tstanding committee, or select committee of the Legislature; an executive director, staff director, executive assistant, legislative analyst, or attorney serving in the ' Office of the President of the Senate, the Office of the Speaker of the House of Representatives, the Senate Majority Party Office, the Senate Minority Party Office, the House Majority Party Office, the House Minority Party Office; the ' Chancellor and Vice-Chancellors of the State University System; the general counsel to the Board of Regents; the president, vice presidents, and deans of ' each state university; any person hired on a contractual basis and having the power normally conferred upon such persons, by whatever title; and any person having the power normally conferred upon the above positions. This prohibition does not apply to a person who was employed by the Legislature or other agency prior to July 1, 1989; who was employed by the ' Legislature or other agency on July 1, 1989; who was a defined employee of the SUS or the PSC who held such employment on December 31, 1994; or who reached normal retirement age and retired by July 1, 1991. It does apply to OPS employees. PENALTIES: Persons found in violation of this section are subject to the ' penalties contained in the Code (see PENALTIES, Part V) as well as a civil penalty in an amount equal to the compensation which the person receives for ' the prohibited conduct. [Sec. 112.313(9)(a)5., Fla. Stat.] 3. Additional Restrictions on Former State Employees ' A former executive or judicial branch employee or PSC employee is prohibited from having employment or a contractual relationship, at any time ' after retirement or termination of employment, with any business entity (other than a public agency) in connection with a contract in which the employee participated personally and substantially by recommendation or decision while a public employee. [Sec. 112.3185(3), Fla. Stat.] 9 I IA former executive or judicial branch employee or PSC employee who has retired or terminated employment is prohibited from having any employment or Icontractual relationship for two years with any business entity (other than a public agency) in connection with a contract for services which was within his or her Iresponsibility while serving as a state employee. [Sec.112.3185(4), Fla. Stat.] Unless waived by the agency head, a former executive or judicial branch I employee or PSC employee may not be paid more for contractual services provided by him or her to the former agency during the first year after leaving the agency than his or her annual salary before leaving. [Sec. 112.3185(5), IFla. Stat.] These prohibitions do not apply to PSC employees who were so employed I on or before Dec. 31, 1994. 4. Lobbying by Former Local Government Officers and Employees person elected to county, municipal, school district, or special district IA office is prohibited from representing another person or entity for compensation before the government body or agency of which he or she was an officer for Itwo years after leaving office. Appointed officers and employees of counties, municipalities, school districts, and special districts may be subject to a similar I restriction by local ordinance or resolution. [Sec. 112.313(13) and (14), Fla. Stat.] IE. VOTING CONFLICTS OF INTEREST NO STATE PUBLIC OFFICIAL is prohibited from voting in an official I capacity on any matter. However, a STATE PUBLIC OFFICER who votes on a measure which inures to his or her special private gain or loss, or which the officer knows would inure to the special private gain or loss of any PRINCIPAL I by whom he or she is retained, of the PARENT ORGANIZATION or SUBSIDIARY of a CORPORATE PRINCIPAL by which he or she is retained, of I a RELATIVE, or of a BUSINESS ASSOCIATE, must file a memorandum of voting conflict on Commission FORM 8A with the recording secretary within 15 days after the vote occurs, disclosing the nature of his or her interest in the Imatter. NO COUNTY, MUNICIPAL, or other LOCAL PUBLIC OFFICER shall vote Iin an official capacity upon any measure which would inure to his or her special private gain or loss, or which the officer knows would inure to the special I private gain or loss of any PRINCIPAL by whom he or she is retained, of the PARENT ORGANIZATION or SUBSIDIARY of a CORPORATE PRINCIPAL by I 10 which he or she is retained, of a RELATIVE, or of a BUSINESS ASSOCIATE. The officer must publicly announce the nature of his or her interest before the ' vote and must file a memorandum of voting conflict on Commission FORM 8B with the meeting's recording officer within 15 days after the vote occurs disclosing the nature of his or her interest in the matter. However, members of community redevelopment agencies and district officers elected on a one-acre, one-vote basis are not required to abstain. ' NO APPOINTED STATE OR LOCAL OFFICER shall PARTICIPATE in any matter which would inure to the officer's special private gain or loss, the special ' private gain or loss of any PRINCIPAL by whom he or she is retained, of the PARENT ORGANIZATION or SUBSIDIARY of a CORPORATE PRINCIPAL by ' which he or she is retained, of a RELATIVE or of a BUSINESS ASSOCIATE, without first disclosing the nature of his or her interest in the matter. The memorandum of voting conflict (Commission FORM 8A or 8B) must be filed with ' the meeting's recording officer, be provided to the other members of the agency, and be read publicly at the next meeting. If the conflict is unknown or not disclosed prior to the meeting, the appointed official must orally disclose the conflict at the meeting when the conflict becomes known. Also, a written memorandum of voting conflict must be filed with the meeting's recording officer within 15 days of the disclosure being made and must be provided to the other members of the agency with the ' disclosure being read publicly at the next scheduled meeting. [Sec. 112.3143, Fla. Stat.] F. DISCLOSURES ' Conflicts of interest may occur when public officials are in a position to make decisions which affect their personal financial interests. This is why public officers and employees, as well as candidates who run for public office, ' are required to publicly disclose their financial interests. The disclosure process serves to remind officials of their obligation to put the public interest above personal considerations. It also helps citizens to monitor the considerations of those who spend their tax dollars and participate in public policy decisions or administration. All public officials and candidates do not file the same degree of disclosure; nor do they all file at the same time or place. Thus, care must be taken to ' determine which disclosure forms a particular official or candidate is required to file. 1 11 The following forms are described below to set forth the requirements of the various disclosures and the steps for correctly providing the information in ' a timely manner. 1. FORM 1 - Limited Financial Disclosure Who Must File: Persons required to file FORM 1 include all State officers, local officers, candidates for local elective office, and specified State employees as defined below (other than those officers who are required by law to file FORM 6). ' STATE OFFICERS include: (1) Elected public officials not serving in a political subdivision of the State and any person appointed to fill a vacancy in such office, unless required to file full disclosure on Form 6; (2) Appointed members of each board, commission, authority, or council ' having statewide jurisdiction, excluding members of solely advisory bodies, but including members of the Commission on Tourism, judicial nominating ' commissions, and Council on the Social Status of Black Men and Boys, and directors of the Black Business Investment Board, Enterprise Florida, Scripps Florida Funding Corp., Substance Abuse and Mental Health Corp., Citizens 1 Property Insurance Corp., Space Florida, and Workforce Florida; (3) The Commissioner of Education, members of the State Board of ' Education, the Board of Governors, and the local Boards of Trustees and Presidents of State universities; and (4) All elected public officers (excluding mcongressional) not covered under "local officers" and any person appointed to fill a vacancy in such elective office. ' LOCAL OFFICER includes: (1) Any person elected to office in any political subdivision and any person ' appointed to fill a vacancy for an unexpired term in such elective office; (2) An appointed member of certain boards of political subdivisions, including ' governing bodies, expressway and transportation authorities, community colleges, code enforcement boards, bodies with planning or zoning powers, and pension boards; (3) Any other appointed local government board member who has been required to file by the appointing authority; 1 12 (4) A mayor and the chief administrative officer of a county, municipality, or other political subdivision; (5) Any person holding one or more of the following positions within a county or municipality: city or county attorney; chief building inspector; water resources coordinator; pollution control director; environmental control director; administrator with power to grant or deny a land development permit; ' (6) A chief of police; fire chief; municipal clerk; district school superintendent; community college president; medical examiner; and a purchasing agent ' having the authority to make any purchase exceeding $15,000 for any political subdivision of the state or any entity thereof. SPECIFIED STATE EMPLOYEE includes: (1) The Public Counsel created by Chapter 350; an assistant state attorney, an assistant public defender, a full-time state employee who serves as counsel or ' assistant counsel to any state agency; an administrative law judge; and a hearing officer; (2) Any person employed in the offices of the Governor or member of the Cabinet who is exempt from the career service system, except those persons ' in clerical, secretarial, or similar positions; (3) Each appointed secretary, assistant secretary, deputy secretary, executive ' director, assistant executive director, or deputy executive director of each state department, commission, board, or council; and the division director, assistant division director, deputy director, bureau chief, or assistant bureau chief of any state department or division, or persons having the power normally conferred upon such person by whatever title; ' (4) A superintendent or institute director of a state mental health institute established for training and research in the mental health field or of any major state institution or facility for corrections, training, treatment, or rehabilitation; ' (5) A business manager, purchasing agent having the power to make any purchase exceeding $15,000; finance and accounting director, personnel ' officer, and grants coordinator for any state agency; (6) Any person employed in the legislative branch of government, except t persons employed in maintenance, clerical, secretarial, or similar positions and legislative assistants exempted by the presiding officer of their house; ' (7) Each employee of the Ethics Commission; and (8) Senior managers of the Citizens Property Insurance Corp. 13 I I What Must Be Disclosed: FORM 1 requirements are set forth fully on the form. In general, this includes the reporting person's sources and types of financial interests, such as the names of employers and addresses of real property holdings. NO ' DOLLAR VALUES ARE REQUIRED TO BE LISTED. In addition, the form requires the disclosure of certain relationships with, and ownership interests in, ' specified types of businesses such as banks, savings and loans, insurance companies, and utility companies. When to File: ' CANDIDATES for elected local office must file FORM 1 together with and at the same time they file their qualifying papers. ' STATE and LOCAL OFFICERS and SPECIFIED STATE EMPLOYEES are required to file disclosure by July 1 of each year. They also must file within thirty days from the date of appointment or the beginning of employment. Those appointees requiring Senate confirmation must file prior to confirmation. ' Where to File: Each LOCAL OFFICER files FORM 1 with the Supervisor of Elections in the county in which he or she permanently resides. A STATE OFFICER or SPECIFIED STATE EMPLOYEE files with the Commission on Ethics. [Sec. 112.3145, Fla. Stat.] 1 2. FORM 1F- Final Form 1 Limited Financial Disclosure ' FORM 1F is the disclosure form required to be filed within 60 days after a public officer or employee required to file FORM 1 leaves his or her public position. The form covers the disclosure period between January 1 and the last ' day of office or employment within that year. 3. FORM 2 - Quarterly Client Disclosure ' The state officers, local officers, and specified state employees as listed above, as well as elected constitutional officers, must file a FORM 2 if they or a ' partner or associate of their professional firm represent a client for compensation before an agency at their level of government. ' A FORM 2 disclosure includes the names of clients represented by the reporting person or by any partner or associate of his or her professional firm for a fee or commission before agencies at the reporting person's level of government. Such representations DO NOT INCLUDE appearances in 14 t ministerial matters, appearances before judges of compensation claims, or representations on behalf of one's agency in one's official capacity. Nor does the ' term include the preparation and filing of forms and applications merely for the purpose of obtaining or transferring a license, so long as the issuance of the ' license does not require a variance, special consideration, or a certificate of public convenience and necessity. ' When to File: This disclosure should be filed quarterly, by the end of the calendar quarter ' following the calendar quarter during which a reportable representation was made. FORM 2 need not be filed merely to indicate that no reportable representations occurred during the preceding quarter; it should be filed ONLY ' when reportable representations were made during the quarter. Where To File: LOCAL OFFICERS file with the Supervisor of Elections of the county in which they permanently reside. STATE OFFICERS and SPECIFIED STATE EMPLOYEES file with the Commission on Ethics. [Sec. 112.3145(4), Fla. Stat.] 4. FORM 6 - Full and Public Disclosure ' Who Must File: Persons required by law to file FORM 6 are all elected constitutional ' officers and candidates for such office; the Mayor and members of the City Council and candidates for these offices in Jacksonville; the Duval County Superintendent of Schools; Judges of Compensation Claims; and members of the Florida Housing Finance Corporation Board and the Florida Prepaid College Board. What Must be Disclosed: FORM 6 is a detailed disclosure of assets, liabilities, and sources of income over $1,000 and their values, as well as net worth. Officials may opt to file their most recent income tax return in lieu of listing sources of income but still must disclose their assets, liabilities, and net worth. In addition, the form requires the disclosure of certain relationships with, and ownership interests in, specified types of businesses such as banks, savings and loans, insurance companies, and utility companies. 15 I 1 When and Where To File: I Incumbent officials must file FORM 6 annually by July 1 with the Commission on Ethics. CANDIDATES must file with the officer before whom they qualify at the time of qualifying. [Art. II, Sec. 8(a) and (i), Fla. Const., and 1 Sec. 112.3144, Fla. Stat.] I5. FORM 6F- Final Form 6 Full and FORM 6F, is the disclosure form required to be filed within 60 days after a public officer or I employee required to file FORM 6 leaves his or her public position. The form covers the disclosure period between January 1 and the last day of office or employment within that year. I 6. FORM 9 Quarterly Gift Disclosure IEach person required to file FORM 1 or FORM 6, and each State procurement employee, must file a FORM 9, Quarterly Gift Disclosure, with the Commission Ion Ethics on the last day of any calendar quarter following the calendar quarter in which he or she received a gift worth over $100, other than gifts from relatives, gifts prohibited from being accepted, gifts primarily associated with his or her Ibusiness or employment, and gifts otherwise required to be disclosed. FORM 9 NEED NOT BE FILED if no such gift was received during the calendar quarter. I Information to be disclosed includes a description of the gift and its value, the name and address of the donor, the date of the gift, and a copy of any receipt for the gift provided by the donor. [Sec. 112.3148, Fla. Stat.] 111 1 7. FORM 10 - Annual Disclosure of Gifts from Government Agencies and Direct- Support Organizations and Honorarium Event Related Expenses State government entities, airport authorities, counties, municipalities, school Iboards, water management districts, the South Florida Regional Transportation Authority, and the Technological Research and Development Authority may give 111 a gift worth over $100 to a person required to file FORM 1 or FORM 6, and to State procurement employees, if a public purpose can be shown for the gift. Also, a direct-support organization for a governmental entity may give such a gift to a Iperson who is an officer or employee of that entity. These gifts are to be reported on FORM 10, to be filed by July 1. IThe governmental entity or direct-support organization giving the gift must provide the officer or employee with a statement about the gift no later than p 9 1 16 11 March 1 of the following year. The officer or employee then must disclose this information by filing a statement by July 1 with his or her annual financial Idisclosure that describes the gift and lists the donor, the date of the gift, and the value of the total gifts provided during the calendar year. State procurement employees file their statements with the Commission on Ethics. [Sec. 112.3148, Fla. Stat.] I In addition, a person required to file FORM 1 or FORM 6, or a State procurement employee, who receives expenses or payment of expenses related to an honorarium event from someone who is prohibited from giving him or her Ian honorarium, must disclose annually the name, address, and affiliation of the donor, the amount of the expenses, the date of the event, a description of the I expenses paid or provided, and the total value of the expenses on FORM 10. The donor paying the expenses must provide the officer or employee with a statement about the expenses within 60 days of the honorarium event. I Honorarium related expenses from someone who does not employ a lobbyist do not have to be reported. I The disclosure must be filed by July 1, for expenses received during the previous calendar year, with the officer's or employee's FORM 1 or FORM 6. State procurement employees file their statements with the Commission on IEthics. [Sec. 112.3149, Fla. Stat.] However, notwithstanding Section 112.3149, Fla. Stat., no Executive Branch Ior legislative lobbyist or principal shall make, directly or indirectly, and no Executive Branch agency or legislative official or employee who files FORM 1 or I FORM 6 shall knowingly accept, directly or indirectly, any expenditure made for the purpose of lobbying. This may include honorarium event related expenses that formerly were permitted under Section 112.3149. [Sec. 112.3215, Fla. Stat.] I8. FORM 30 - Donor's Quarterly Gift Disclosure I As mentioned above, the following persons and entities generally are prohibited from giving a gift worth over $100 to a reporting individual (a person required to file FORM 1 or FORM 6) or to a State procurement employee: a political committee or committee of continuous existence; a lobbyist who lobbies the reporting individual's or procurement employee's agency; and the partner, I firm, employer, or principal of such a lobbyist. If such person or entity makes a gift worth between $25 and $100 to a reporting individual or State procurement employee (that is not accepted in behalf of a governmental entity or charitable organization), the gift should be reported on FORM 30. The donor also must notify the recipient at the time the gift is made that it will be reported. I 17 The FORM 30 should be filed by the last day of the calendar quarter following the calendar quarter in which the gift was made. If the gift was made to an individual in the legislative branch, FORM 30 should be filed with the Lobbyist Registrar. If the gift was to any other reporting individual or State procurement employee, FORM 30 should be filed with the Commission on Ethics. However, notwithstanding Section 112.3148, Fla. Stat., no Executive Branch ' or legislative lobbyist or principal shall make, directly or indirectly, and no Executive Branch agency or legislative official or employee who files FORM 1 or FORM 6 shall knowingly accept, directly or indirectly, any expenditure made for ' the purpose of lobbying. This may include gifts that formerly were permitted under Section 112.3148. [Sec. 112.3215, Fla. Stat.] 9. FORM 1X AND FORM 6X-Amendments to Form 1 and Form 6 These forms are provided for officers or employees who want to amend their previously filed Form 1 or Form 6. IV. AVAILABILITY OF FORMS LOCAL OFFICERS and EMPLOYEES who must file FORM 1 annually will be sent the form by mail from the Supervisor of Elections in the county in which they permanently reside not later than JUNE 1 of each year. Newly elected and ' appointed officials or employees should contact the board of their agency for copies of the form, as should those persons who are required to file their final disclosure statements within 60 days of leaving office or employment. ' ELECTED CONSTITUTIONAL OFFICERS, OTHER STATE OFFICERS, and ' SPECIFIED STATE EMPLOYEES who must file annually FORM 1 or 6 will be sent these forms by mail from the Commission on Ethics by JUNE 1 of each year. Newly elected and appointed officers and employees should contact the ' heads of their agencies or the Commission on Ethics for copies of the forms, as should those persons who are required to file their final disclosure statements within 60 days of leaving office or employment. Any person needing one or more of the other forms described here may ' obtain them upon request from a Supervisor of Elections or from the Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709. They are also available on the Commission's website: www.ethics.state.fl.us. 1 18 I IV. PENALTIES IA. Non-criminal Penalties for Violation of the Sunshine Amendment and the Code of Ethics I There are no criminal penalties for violation of the Sunshine Amendment and the Code of Ethics. Penalties for violation of those laws may include: impeachment, removal from office or employment, suspension, public censure, Ireprimand, demotion, reduction in salary level, forfeiture of no more than one- third salary per month for no more than twelve months, a civil penalty not to Iexceed $10,000, and restitution of any pecuniary benefits received. B. Penalties for Candidates ICANDIDATES for public office who are found in violation of the Sunshine Amendment or the Code of Ethics may be subject to one or more of the following I penalties: disqualification from being on the ballot, public censure, reprimand, or a civil penalty not to exceed $10,000. IC. Penalties for Former Officers and Employees FORMER PUBLIC OFFICERS or EMPLOYEES who are found in violation of I a provision applicable to former officers or employees or whose violation occurred prior to such officer's or employee's leaving public office or employment may be subject to one or more of the following penalties: public censure and Ireprimand, a civil penalty not to exceed $10,000, and restitution of any pecuniary benefits received. [Sec. 112.317, Fla. Stat.] ID. Penalties for Lobbyists and Others An executive branch lobbyist who has failed to comply with the Executive IBranch Lobbying Registration law (see Part VIII) may be fined up to $5,000, reprimanded, censured, or prohibited from lobbying executive branch agencies for up to 2 years. I Lobbyists, their employers, principals, partners, and firms, and political committees and committees of continuous existence who give a prohibited gift or I honorarium or fail to comply with the gift reporting requirements for gifts worth between $25 and $100 may be penalized by a fine of not more than $5,000 I and a prohibition on lobbying, or employing a lobbyist to lobby, before the agency of the public officer or employee to whom the gift was given for up to 2 years. Executive Branch lobbying firms which fail to timely file their quarterly I compensation reports may be fined $50.00 per day per principal for each day the report is late, up to a maximum fine of$5,000 per report. I 19 E. Felony Convictions: Forfeiture of Retirement Benefits Public officers and employees are subject to forfeiture of all rights and benefits under the retirement system to which they belong if convicted of certain offenses prior to their retirement. The offenses include embezzlement or theft of public funds; bribery; felonies specified in Chapter 838, Florida Statutes; impeachable offenses; and felonies committed with intent to defraud the public or their public agency. [Sec. 112.3173, Fla. Stat.] F. Automatic Penalties for Failure to File Annual Disclosure ' Public officers and employees required to file either Form 1 or Form 6 annual financial disclosure are subject to automatic fines of $25 for each day late the form is filed after September 1, up to a maximum penalty of $1,500. [Sec. 112.3144 and 112.3145, Fla. Stat.] VI. ADVISORY OPINIONS Conflicts of interest may be avoided by greater awareness of the ethics laws on the part of public officials and employees through advisory assistance from the Commission on Ethics. ' A. Who Can Request an Opinion Any public officer, candidate for public office, or public employee in Florida who is in doubt about the applicability of the standards of conduct or disclosure laws to himself or herself, or anyone who has the power to hire or terminate ' another public employee, may seek an advisory opinion from the Commission about himself or herself or that employee. ' B. How to Request an Opinion ' Opinions may be requested by letter presenting a question based on a real situation and including a detailed description of the situation. Opinions are issued by the Commission and are binding on the conduct of the person who is the ' subject of the opinion, unless material facts were omitted or misstated in the request for the opinion. Published opinions will not bear the name of the persons involved unless they consent to the use of their names. C. How to Obtain Published Opinions Published opinions of the Commission on Ethics from 1974 through 1999 are available for purchase at prices below their actual cost. The opinions are printed 20 1 in looseleaf volumes containing a subject-matter index and a citator to all Florida Statutes and State constitutional provisions construed or relied upon by the ' Commission. Every agency of government should have a set of opinions for ready reference when the need arises. All of the Commission's opinions are available for viewing or download at its website: ' www.ethics.state.fl.us. VII. COMPLAINTS A. A Citizen's Responsibility ' The Commission on Ethics cannot conduct investigations of alleged violations of the Sunshine Amendment or the Code of Ethics unless a person files a sworn complaint with the Commission alleging such violation has occurred. If you have knowledge that a person in government has violated the standards ' of conduct or disclosure laws described above, you may report these violations to the Commission by filing a sworn complaint on the form prescribed by the ' Commission. Otherwise, the Commission is unable to take action, even after learning of such misdeeds through newspaper reports and phone calls. ' Should you desire assistance in obtaining or completing a complaint form (FORM 50), you may receive either by contacting ' the Commission office at the address or phone number shown on the inside front cover of this booklet. ' B. Confidentiality The complaint, as well as all proceedings and records relating to the ' complaint, are confidential until the accused requests that such records be made public or until the complaint reaches a stage in the Commission's proceedings where it becomes public. This means that unless the Commission receives a U written waiver of confidentiality from the accused, the Commission is not free to release any documents or to comment on a complaint to members of the public ' or press, so long as the complaint remains in a confidential stage. IN NO EVENT MAY A COMPLAINT BE FILED OR DISCLOSED WITH ' RESPECT TO A CANDIDATE OR ELECTION WITHIN 5 DAYS PRECEDING THE ELECTION DATE. 21 C. How the Complaint Process Works The Commission staff must forward a copy of the original sworn complaint to the accused within five days of its receipt. Any subsequent sworn amendments to the complaint also are transmitted within five days of their receipt. Once a complaint is filed, there are three procedural stages which it goes through under the Commission's rules. The first stage is a determination of ' whether the allegations of the complaint are legally sufficient, that is, whether they indicate a possible violation of any law over which the Commission has jurisdiction. If the complaint is found not to be legally sufficient, the Commission will order that the complaint be dismissed without investigation, and all records relating to the complaint will become public at that time. If the complaint is found to be legally sufficient, a preliminary investigation will p 9 Y p rY 9 ' be undertaken by the investigative staff of the Commission. The second stage of the Commission's proceedings involves this preliminary investigation and a decision by the Commission of whether there is probable cause to believe that there has been a violation of any of the ethics laws. If the ' Commission finds no probable cause to believe there has been a violation of the ethics laws, the complaint will be dismissed and will become a matter of public record. If the Commission finds probable cause to believe there has been a ' violation of the ethics laws, the complaint becomes public and usually enters the third stage of proceedings. This stage requires the Commission to decide ' whether the law was actually violated and, if so, whether a penalty should be recommended. At this stage, the accused has the right to request a public hearing (trial) at which evidence is presented or the Commission may order that ' such a hearing be held. Public hearings usually are held in or near the area where the alleged ' violation occurred. When the Commission concludes that a violation has been committed, it issues a public report of its findings and may recommend one or more penalties to the appropriate disciplinary body or official. When the Commission determines that a person has filed a complaint with knowledge that the complaint contains one or more false allegations or with reckless disregard for whether the complaint contains false allegations, the complainant will be liable for costs plus reasonable attorney's fees incurred by 22 II Athe person complained against. The Department of Legal Affairs may bring a civil action to recover such fees and costs, if they are not paid willingly. D. Dismissal of Complaints At Any Stage of Disposition The Commission may, at its discretion, dismiss any complaint at any stage of disposition should it determine that the public interest would not be served b p p by proceeding further, in which case the Commission will issue a public report Istating with particularity its reasons for the dismissal. [Sec. 112.324(11), Fla. Stat.] E. Statute of Limitations All sworn complaints alleging a violation of the Sunshine Amendment or the ICode of Ethics have to be filed with the Commission within 5 years of the alleged violation or other breach of the public trust. Time starts to run on the day AFTER I the violation or breach of public trust is committed. The statute of limitations is tolled on the day a sworn complaint is filed with the Commission. If a complaint is filed and the statute of limitations has run, the complaint will be dismissed. I [Sec112.3231, Fla. Stat.] IVIII. EXECUTIVE BRANCH LOBBYING Any person who, for compensation and on behalf of another, lobbies an Iagency of the executive branch of state government with respect to a decision in the area of policy or procurement may be required to register as an executive I branch lobbyist. Registration is required before lobbying an agency and is renewable annually. In addition, each lobbying firm must file a compensation report with the Commission for each calendar quarter during any portion of which I one or more of the firm's lobbyists were registered to represent a principal. As noted above, no Executive Branch lobbyist or principal can make, directly or indirectly, and no Executive Branch agency official or employee who files FORM I1 or FORM 6 can knowingly accept, directly or indirectly, any expenditure made for the purpose of lobbying. 112.3149, Fla. Stat. [Sec. 112.3215, Fla. Stat.] IPaying an executive branch lobbyist a contingency fee based upon the outcome of any specific executive branch action, and receiving such a fee, is I prohibited. A violation of this prohibition is a first degree misdemeanor, and the amount received is subject to forfeiture. This does not prohibit sales people from receiving a commission. [Sec. 112.3217, Fla. Stat.] I I 23 I Executive branch departments, State universities, community colleges, and water management districts are prohibited from using public funds to retain an executive branch (or legislative branch) lobbyist, although these agencies may use full-time employees as lobbyists. [Sec. 11 .062, Fla. Stat.] ' Additional information about the executive branch lobbyist registration system may be obtained by contacting the Lobbyist Registrar at the following address: ' Executive Branch Lobbyist Registration Room G-68, Claude Pepper Building 111 111 W. Madison Street Tallahassee, FL 32399-1425 Phone: 850/922-4990 IX. WHISTLE-BLOWER'S ACT In 1986, the Legislature enacted a "Whistle-blower's Act" to protect employees of agencies and government contractors from adverse personnel actions in ' retaliation for disclosing information in a sworn complaint alleging certain types of improper activities on the part of an agency contractor, or for participating in an investigation or hearing conducted by an agency. Since then, the Legislature has revised this law to afford greater protection to these employees. ' While this language is contained within the Code of Ethics, the Commission has no jurisdiction or authority to proceed against persons who violate this Act in behalf of a person who is being retaliated against. Therefore, a person who has disclosed information alleging improper conduct governed by this law and who may suffer adverse consequences as a result should contact one or more of the ' following: the Office of the Chief Inspector General in the Executive Office of the Governor; the Department of Legal Affairs; the Florida Commission on Human Relations; or a private attorney. [Sec. 112.3187 - 112.31895, Fla. Stat.] X. ADDITIONAL INFORMATION we suggest that you review the language used in each As mentioned above, gg y ' law for a more detailed understanding of Florida's ethics laws. The "Sunshine Amendment" is Article II, Section 8, of the Florida Constitution. The Code of Ethics for Public Officers and Employees is contained in Part III of Chapter 112, ' Florida Statutes. t 24 r — 1 1 Additional information about the Commission's functions and interpretations of these laws may be found in Chapter 34 of the Florida Administrative Code, where Ithe Commission's rules are published, and in The Florida Administrative Law Reports, which until 2005 published many of the Commission's final orders. The I Commission's rules, orders, and opinions also are available electronically on the Internet at www.ethics.state.fl.us. IIf you are a public officer or employee concerned about your obligations under these laws, you may wish to contact an attorney who represents your agency or I a private attorney for advice. The staff of the Commission will be happy to respond to oral and written inquiries by providing information about the law, the Commission's interpretations of the law, and the Commission's procedures. 1 XI. ONLINE TRAINING I Through a project funded by the Florida Legislature, an online workshop, ksho p, Florida's Code of Ethics, Sunshine Law, and Public Records Acts, is now Iavailable. See www.iog.learnsomething.com for current fees. Bulk purchase arrangements, including state and local government purchase orders, are Iavailable. For more information, visit www.ethics.state.fl.us. I I I I I I 1 25 1 I