General, Definitions, Lobbyist Registration Requirements, Compensation Reporting Requirements, Penalties for Late Filing, Appeal of Statutory Fines: Hearings, Unusual Circumstances, Notification of Compensation Reporting Deadlines, Forms

RULE NOS.: RULE TITLES:

34ER06-1 General

34ER06-2 Definitions

34ER06-3 Lobbyist Registration Requirements

34ER06-4 Compensation Reporting Requirements

34ER06-5 Penalties for Late Filing

34ER06-6 Appeal of Statutory Fines: Hearings, Unusual Circumstances

34ER06-7 Notification of Compensation Reporting Deadlines

34ER06-8 Forms

SPECIFIC REASONS FOR FINDING AN IMMEDIATE DANGER TO THE PUBLIC HEALTH, SAFETY, OR WELFARE:  Chapter 2005-359, Laws of Florida, imposes significant new registration and reporting obligations on persons who lobby Executive Branch agencies.  In order to provide guidance as well as the appropriate forms in time for the first calendar quarter's reporting deadline of May 15, 2006, the Commission must adopt forms and rules utilizing the emergency rulemaking provisions of Chapter 120, F.S.  Chapter 2005-359, Laws of Florida, was approved by the Governor on December 20, 2005 and became effective on January 1, 2006.  Therefore, there was not sufficient time to provide necessary guidance to those affected by the new law through normal rulemaking procedures.

REASONS FOR CONCLUDING THAT THE PROCEDURE USED IS FAIR UNDER THE CIRCUMSTANCES:  These emergency rules, as well as companion amendments to Chapters 34-7 and 34-12, F.A.C., were : “work-shopped” at a public hearing during the Commission's March 3, 2006 meeting, and the Commission approved the adoption of the Emergency Rules. In many respects, the rules follow the guidance released by the Legislature on January 20, 2006 for Legislative Branch lobbyists.

THE PERSON TO BE CONTACTED REGARDING THE EMERGENCY RULE IS:  Julia Cobb Costas, Senior Attorney, Florida Commission on Ethics, P. O. Drawer 15709, Tallahassee, FL  32317-5709, Telephone: [phone]

 

THE FULL TEXT OF THE EMERGENCY RULE IS:

 

34ER06-1 General.

This rule chapter is established to implement the provisions in Section 5, Chapter 2005-359, L.O.F., involving lobbyists who lobby executive branch agencies.  For the purposes of this rule chapter, the provisions in Chapter 34-12, F.A.C., and Section 112.3215, F.S., are applicable except where superseded by the enactment of Section 5, Chapter 2005-359, L.O.F., or where described herein.

PROPOSED EFFECTIVE DATE: 3-17-06.

Specific Authority 112.322(9) FS., Section 5, Chapter 2005-359, L.O.F. Law Implemented Section 5, Chapter 2005-359, L.O.F. History–New 3-17-06.

 

34ER06-2 Definitions.

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

(2) "Lobbying firm" means a business entity, including an individual contract lobbyist, that receives or becomes entitled to receive any compensation for the purpose of lobbying, where any partner, owner, officer, or employee of the business entity is a lobbyist.  An association, a governmental entity, a corporation or other business entity that does not derive income from principals for lobbying and its employee lobbyists, is not a "lobbying firm."

PROPOSED EFFECTIVE DATE: 3-17-06.

Specific Authority 112.322(9) FS., Section 5, Chapter 2005-359, L.O.F. Law Implemented Section 5, Chapter 2005-359, L.O.F. History–New 3-17-06.

 

34ER06-3 Lobbyist Registration Requirements.

(1) A person may not lobby an agency until he or she has registered as a lobbyist with the Commission.  Registration shall be made on Commission on Ethics Form 20ER, Executive Branch Lobbyist Registration, which requires the registrant to disclose, under oath, the following:

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

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

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

(d) His or her area of interest;

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

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

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

(3) The registrant shall include a separate statement signed by the principal or the principal's representative that the registrant is authorized to represent the principal.  On this statement, the principal shall also identify and designate its main business using the 6-digit NAICS code published in the North American Industry Classification System –United States, 2002, which is hereby incorporated by reference.  Classification system information can be obtained by contacting the NAICS Association, 129 Lakeshore Drive, Rockaway, NJ   07866, or by visiting its website:  www.naics.com.

PROPOSED EFFECTIVE DATE: 3-17-06.

Specific Authority 112.322(9) FS., Section 5, Chapter 2005-359, L.O.F. Law Implemented Section 5, Chapter 2005-359, L.O.F. History–New 3-17-06.

 

34ER06-4 Compensation Reporting Requirements.

(1) Each lobbying firm shall file a quarterly compensation report with the Commission using Commission Form 24ER, Quarterly Compensation Report, for each calendar quarter during any portion of which one or more of the firm's lobbyists were registered to represent a principal.  The Quarterly Compensation Report shall include:

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

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

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

1. - 0 -

2. $1 to $49,999

3. $50,000 to $99,999

4. $100,000 to $249,999

5. $250,000 to $499,999

6. $500,000 to $999,999

7. $1 million or more

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

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

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

1. - 0 –

2. $1 to $9,999

3. $10,000 to $19,999

4. $20,000 to $29,999

5. $30,000 to $39,999

6. $40,000 to $49,999

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

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

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

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

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

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

(c) That officer or employee of the lobbying firm has made an expenditure in violation of Section 112.3215, F.S., as amended by Chapter 2005-359, L.O.F.

(5) For each principal represented by two or more lobbying firms, the Commission shall aggregate quarterly and annually the compensation reported as provided or owed to lobbying firms by the principal.

(6) A Quarterly Compensation Report must be filed no later than 5:00 p.m. of the report due date.  However, any report that is postmarked by the United States Postal Service no later than midnight of the due date shall be deemed to have been filed in a timely manner.  A certificate of mailing obtained from and dated by the United States Postal Service at the time of mailing, or a receipt from an established courier company which bears a date on or before the due date, shall also be proof of mailing in a timely manner.

PROPOSED EFFECTIVE DATE: 3-17-06.

Specific Authority 112.322(9) FS., Section 5, Chapter 2005-359, L.O.F. Law Implemented Section 5, Chapter 2005-359, L.O.F. History–New 3-17-06.

 

34ER06-5 Penalties for Late Filing.

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

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

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

(b) When the report is postmarked.

(c) When the certificate of mailing is dated; or

(d) When the receipt from an established courier company is dated.

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

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

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

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

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

PROPOSED EFFECTIVE DATE: 3-17-06.

Specific Authority 112.322(9) FS., Section 5, Chapter 2005-359, L.O.F. Law Implemented Section 5, Chapter 2005-359, L.O.F. History–New 3-17-06.

 

34ER06-6 Appeal of Statutory Fines: Hearings, Unusual Circumstances.

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

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

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

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

PROPOSED EFFECTIVE DATE: 3-17-06.

Specific Authority 112.322(9) FS., Section 5, Chapter 2005-359, L.O.F. Law Implemented Section 5, Chapter 2005-359, L.O.F. History–New 3-17-06.

 

34ER06-7 Notification of Compensation Reporting Deadlines.  Following each quarterly reporting period, the Commission through its lobbyist registration office will send to each lobbying firm that has one or more currently registered lobbyists a copy of Commission Form 24ER together with a notice stating that the form must be filed on or before the specified date.

PROPOSED EFFECTIVE DATE: 3-17-06.

Specific Authority 112.322(9) FS., Section 5, Chapter 2005-359, L.O.F. Law Implemented Section 5, Chapter 2005-359, L.O.F. History–New 3-17-06.

 

34ER06-8 Forms.

(1) The following forms and instructions are adopted by reference and are used by the Commission on Ethics in implementing Section 112.3215, F.S., as amended by Section 5, Chapter 2005-359, L.O.F.

(a) Form 20ER, Executive Branch Lobbyist Registration (replaces CE Form 20).  To be utilized by lobbyists when registering pursuant to Section 112.3215(3), F.S., as amended by Section 5, Chapter 2005-359, L.O.F. Effective 3/17/2006.

(b) Form 24ER, Quarterly Compensation Report.  To be utilized by lobbying firms for disclosing compensation pursuant to Section 112.3215(5), F.S., as amended by Section 5, Chapter 2005-359, L.O.F.  Effective 3/17/2006.

(2) The above forms and instructions may be obtained without cost by contacting the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, FL  32317-5709, and may also be downloaded from the Commission's website:  www.ethics.state.fl.us.

PROPOSED EFFECTIVE DATE: 3-17-06.

Specific Authority 112.322(9) FS., Section 5, Chapter 2005-359, L.O.F. Law Implemented Section 5, Chapter 2005-359, L.O.F. History–New 3-17-06.

 

THIS RULE TAKES EFFECT UPON BEING FILED WITH THE DEPARTMENT OF STATE UNLESS A LATER TIME AND DATE IS SPECIFIED IN THE RULE.

EFFECTIVE DATE:  March 17, 2006

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