The purpose of the proposed amendment is to update, clarify, and re-adopt the rules related to the forms adopted by reference in Chapter 34-8, F.A.C., to address changes required by law and to clarify and re-adopt the forms and their instructions. ...

 

COMMISSION ON ETHICS

RULE NOS.:RULE TITLES:

34-8.002General Rules for Filing the CE Form 6 - Full and Public Disclosure of Financial Interests

34-8.003Persons Required to File Full and Public Disclosure

34-8.007Choosing to File Copy of Income Tax Return

34-8.008Final Filing Using the CE Form 6F

34-8.009Amended Filing Using the CE Form 6X

34-8.011Penalties for Late Filing

34-8.015Appeal of Statutory Fines: Hearings, Unusual Circumstances

34-8.202General Rules for Filing the CE Form 1 - Statement of Financial Interests

34-8.208Final Filing Using the CE Form 1F

34-8.209Amended Filing Using the CE Form 1X

34-8.210Penalties for Late Filing

34-8.215Appeal of Statutory Fines: Hearings, Unusual Circumstances

PURPOSE AND EFFECT: The purpose of the proposed amendment is to update, clarify, and re-adopt the rules related to the forms adopted by reference in Chapter 34-8, F.A.C., to address changes required by law and to clarify and re-adopt the forms and their instructions. All of the forms and instructions will reference the 2016 filing year. Rules 34-8.002 and 34-8.202, F.A.C. are amended to clarify that a candidate who files a CE Form 6 or CE Form 1 with a qualifying officer need not also file the form with a Supervisor of Elections or the Commission on Ethics. Rule 34-8.003, F.A.C. contains a deletion to reflect that judges are not required by law to file financial disclosure (requirement is imposed by the Code of Judicial Conduct) and substitutes "superintendents" of schools for "wardens" of schools to reflect current usage. An amendment to Rule 34-8.007, F.A.C. clarifies a filer's' attachment of an income tax return to a CE Form 6. Rule 34-8.008, F.A.C. is amended to update the filing year. Rule 34-8.009, F.A.C. is amended to reflect a legislative change providing that amendments submitted on CE Form 6X prior to September 1 are treated as part of the original filing. Rule 34-8.011, F.A.C. is amended, reflecting a legislative change, to provide procedures for collecting automatic fines for failure to file CE Form 6 financial disclosure forms. Rules 34-8.015, and 34-8.215, F.A.C. are amended to clarify the process for obtaining orders as to waivers by CE Form 6 and CE Form 1 filers as to waivers of appeals of financial disclosure fines. Rule 34-8.208, F.A.C. is amended to update the filing year. Rule 34-8.209, F.A.C. is amended to clarify that CE Form 1X may be used to correct either CE Form 1 or CE Form 1F, and to clarify that amendments on CE Form 1X received before September 1 are treated as part of the original filing. Rule 34-8.210, F.A.C. is amended, reflecting a legislative change, to provide procedures for collection of automatic fines for failure to file CE Form 1 financial disclosure. As a result of a legislative change, a signature line is being added to CE Form 1 and CE Form 1X for a filer to certify completion of ethics training. The CE Form 1 and 1X instructions are amended to name positions now subject to disclosure pursuant to changes in the law. The form instructions also contain clarifications on reporting.

SUMMARY: This rulemaking affects the CE Form 6 -- Full and Public Disclosure of Financial Interests; CE Form 6F --Final Full and Public Disclosure of Financial Interests; CE Form 6X -- Amendment to CE Form 6 Full and Public Disclosure of Financial Interests; CE Form 1 -- Statement of Financial Interests; CE Form 1F -- Final Statement of Financial Interests; CE Form 1X -- Amendment to CE Form 1 Statement of Financial Interests. The rulemaking also affects instructions for completing all of those forms.

SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS AND LEGISLATIVE RATIFICATION: The Agency has determined that this will not have an adverse impact on small business or likely increase directly or indirectly regulatory costs in excess of $200,000 in the aggregate within one year after the implementation of the rule. A SERC has not been prepared by the Agency.

The Agency has determined that the proposed rule is not expected to require legislative ratification based on the statement of estimated regulatory costs or if no SERC is required, the information expressly relied upon and described herein: Approximately 40,000 persons are required by law to file the CE Form 6 or the CE Form 1 each year, depending on their positions. Other than the amount of time they expend to complete the form, any economic impact on these filers is nominal. The Commission absorbs in its annual budget the costs of printing and distributing its forms.

Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.

RULEMAKING AUTHORITY: Art. II, Section 8, Fla. Const., 112.3144, 112.3145, 112.3147, 112.322(9), FS.

LAW IMPLEMENTED: Art. II, Section 8, Fla. Const., 112.3144, 112.31455, 112.3145, 112.322 FS, Chapter 2014-183, Section 3.

A HEARING WILL BE HELD AT THE DATE, TIME AND PLACE SHOWN BELOW:

DATE AND TIME: September 11, 2015, 8:30 a.m.

PLACE: First District Court of Appeal, Third Floor Courtroom, 2000 Drayton Drive, Tallahassee, Florida

Pursuant to the provisions of the Americans with Disabilities Act, any person requiring special accommodations to participate in this workshop/meeting is asked to advise the agency at least 3 days before the workshop/meeting by contacting: Lindsey Smith, Executive Secretary, Commission on Ethics, [phone]. If you are hearing or speech impaired, please contact the agency using the Florida Relay Service, 1(800)955-8771 (TDD) or 1(800)955-8770 (Voice).

THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Betsy Daley, Senior Attorney, Commission on Ethics, [phone]

 

THE FULL TEXT OF THE PROPOSED RULE IS:

 

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

(1) Every person who holds an office specified in Rule 34-8.003, F.A.C., must file full and public disclosure of his or her financial interests with the Commission by July 1 of each year during which he or she is in office, and every person who held an office specified in Rule 34-8.003, F.A.C., on December 31st of a year must file full and public disclosure of his or her financial interests with the Commission by July 1 of the following year, except that candidates who have already filed with a qualifying officer as part of qualifying are not required to also file with the Commission. Full and public disclosure of financial interests means filing a sworn statement showing net worth, assets and liabilities on the form prescribed by the Commission, CE Form 6 – Full and Public Disclosure of Financial Interests, together with either a copy of the person's most recent federal income tax return, including all attachments, or the completed income disclosure portion of CE Form 6. The CE Form 6 (1/2016) (1/2015) http://www.flrules.org/Gateway/reference.asp_____, is adopted by reference herein and may be obtained without cost from the Florida Commission on Ethics, P. O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission's website: www.ethics.state.fl.us. A candidate for an elective office specified in Rule 34-8.003, F.A.C., or otherwise specified by law must file this information prior to or at the time he or she qualifies as a candidate.

(2) through (3) No change.

PROPOSED EFFECTIVE DATE JANUARY 1, 2016.

Rulemaking Authority Art. II, Section 8, Fla. Const., 112.3144, 112.3147, 112.322(9) FS.  Law Implemented Art. II, Section 8, Fla. Const., 112.3144 FS. History–New 4-7-77, Amended 10-3-84, Formerly 34-8.02, Amended 8-7-94, 7-2-00, 11-7-01, 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, ____.

 

34-8.003 Persons Required to File Full and Public Disclosure.

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

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

(2) through (3) No change.

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

 

34-8.007 Choosing to File Copy of Income Tax Return.

(1) A reporting official who chooses to file a copy of his or her most recent income tax return with the CE Form 6 shall include copies of all schedules and forms that were included with or attached to the official’s return when it was filed with the I.R.S. If the reporting official transmitted his or her Federal income tax return using IRS e-file and was not required to submit copies of Forms W-2, 1099-R, and other forms showing sources of income, these documents must still be submitted to the Commission if the filer elects to file a copy of his or her Federal income tax return with their CE Form 6.

(2) If a reporting official has filed a copy of his or her most recent federal income tax return with the Commission on Ethics in lieu of disclosing his or her sources of income pursuant to this chapter and that return is amended voluntarily, adjusted through I.R.S. examination or altered in any other way, the official shall file with the Commission a copy of such amended, adjusted or altered return following its filing with the I.R.S., using the form prescribed in Rule 34-8.009, F.A.C.

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

 

34-8.008 Final Filing Using the CE Form 6F.

(1) Each person who is required to file full and public disclosure of financial interests shall, within 60 days of leaving his or her public position, file with the Commission a final disclosure statement covering the period between January 1 of the year in which the person leaves and his or her last day in the position, unless he or she takes another position within that 60-day period which requires full and public disclosure. The final filing shall be on the form prescribed by the Commission, CE Form 6F – Final Full and Public Disclosure of Financial Interests. The CE Form 6F (1/2016) (1/2015) http://www.flrules.org/Gateway/reference.asp________, is incorporated adopted by reference herein and may be obtained without cost from the Florida Commission on Ethics, P. O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission's website: www.ethics.state.fl.us.

(2) No change.

PROPOSED EFFECTIVE DATE JANUARY 1, 2016.

Rulemaking Authority 112.3144, 112.3147, 112.322(9) FS. Law Implemented 112.3144(5), (6) FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, ____.

 

34-8.009 Amended Filing Using the CE Form 6X.

(1) A person may amend his or her full and public disclosure of financial interests to add to or modify the information reported on the form as originally filed at any time after filing the disclosure form. The amended filing shall be filed with the same office where the original form was filed and shall be on the form prescribed by the Commission, CE Form 6X – Amendment to Full and Public Disclosure of Financial Interests. The CE Form 6X (1/2016)(1/2015) http://www.flrules.org/Gateway/reference.asp_______, is incorporated adopted by reference herein and may be obtained without cost from the Florida Commission on Ethics, P. O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us.

(2) No change.

PROPOSED EFFECTIVE DATE JANUARY 1, 2016.

Rulemaking Authority 112.3144(6), (7), 112.3147, 112.322(9) FS. Law Implemented 112.3144(7) FS.

History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15,_____.

 

34-8.011 Penalties for Late Filing.

(1) through (3) No change.

(4) Where a fine is not appealed, or is appealed but is not waived, the Commission will, following entry of its final order pursuant to Rule 34-8.015, F.A.C., attempt to determine whether the individual owing such fine currently serves as a public officer or employee.

(a) If the individual owing the fine is a public officer or employee, the Commission may notify the Chief Financial Officer or the governing body of the appropriate county, municipality, or special district of the total amount of the fine and request salary withholding to recover the fine. Fines which are not waived pursuant to Rule 34-8.015, F.A.C., by final order of the Commission and which remain unpaid more than 60 days after the notice of payment due is transmitted or which remain unpaid more than 60 days after the Commission renders a final order on the appeal will be referred to the Department of Banking and Finance for collection.

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

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

Rulemaking Specific Authority 112.3144, 112.322(9) FS. Laws Implemented 112.3144, 112.31455 FS. History–New 11-7-01, Amended ____.

 

34-8.015 Appeal of Statutory Fines: Hearings, Unusual Circumstances.

(1) No change.

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

(3) through (4) No change.

Rulemaking Specific Authority 112.3144, 112.322(9) FS. Law Implemented 112.3144 FS. History–New 11-7-01, Amended ___.

 

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

(1) A person who was a local officer as defined in Section 112.3145, F.S., on December 31st of a year must file by July 1 of the following year a statement of financial interests on the form prescribed by the Commission, CE Form 1 – Statement of Financial Interests, with the supervisor of elections in the county where he or she permanently resides, or, if the person does not permanently reside in Florida, with the supervisor of elections in the county of his or her agency's headquarters, except that candidates who have already filed with a qualifying officer as part of qualifying are not required to also file with the Supervisor of Elections. The CE Form 1 (1/2016) (1/2015) http://www.flrules.org/Gateway/reference.asp?_______, is incorporated adopted by reference herein and may be obtained without cost from the Florida Commission on Ethics, P. O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission's website: www.ethics.state.fl.us.

(2) A person who was a state officer or a specified state employee as defined in Section 112.3145, F.S., on December 31st of a year must file with the Commission by July 1 of the following year a statement of financial interests on the form prescribed by the Commission, CE Form 1-Statement of Financial Interests, adopted by reference in subsection 34-8.202(1), F.A.C., except that candidates who have already filed with a qualifying officer as part of qualifying are not required to also file with the Supervisor of Elections.

(3) through (6) No change.

PROPOSED EFFECTIVE DATE JANUARY 1, 2016.

Rulemaking Authority 112.3145, 112.3147, 112.322(9) FS. Law Implemented 112.3145 FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15,_____.

 

34-8.208 Final Filing Using the CE Form 1F.

(1) No change.

(2) The final filing shall be on the form prescribed by the Commission, CE Form 1F – Final Statement of Financial Interests. The CE Form 1F (1/2016) (1/2015) http://www.flrules.org/Gateway/reference.asp?No_______, is incorporated adopted by reference herein and may be obtained without cost from the Florida Commission on Ethics, P. O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission's website: www.ethics.state.fl.us.

(3) through (4) No change.

PROPOSED EFFECTIVE DATE JANUARY 1, 2016.

Rulemaking Authority 112.3145, 112.3147, 112.322(9) FS. Law Implemented 112.3145(2)(b) FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, _____.

 

              34-8.209 Amended Filing Using the CE Form 1X.

              (1) A person may amend his or her statement of financial interests to add to or modify the information reported on the form as originally filed at any time after filing the disclosure form. The amended statement shall be filed with the same office where the original form was filed and shall be made on the form prescribed by the Commission, CE Form 1X – Amendment to Form 1 Statement of Financial Interests. The CE Form 1X (1/20165)  http://www.flrules.org/Gateway/reference.asp?No=_________ , is incorporated adopted by reference herein and may be obtained without cost from the Florida Commission on Ethics, P. O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission's website: www.ethics.state.fl.us.

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

PROPOSED EFFECTIVE DATE JANUARY 1, 2016.

Rulemaking Authority 112.3145(9), 112.3147, 112.322(9) FS.  Law Implemented 112.3145(9) FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, _____.

 

              34-8.210 Penalties for Late Filing.

              (1) through (3) No change.

              (4) Fines which are not waived pursuant to Rule 34-8.215, F.A.C., by final order of the Commission and which remain unpaid more than 60 days after the notice of payment due is transmitted or which remain unpaid more than 60 days after the Commission renders a final order on the appeal will be referred to the Department of Banking and Finance for collection.

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

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

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

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

Rulemaking Specific Authority 112.3145(6)(f), 112.322(9) FS. Laws Implemented 112.3145, 112.31445 FS. History–New 11-7-01, Amended _____.

 

34-8.215 Appeal of Statutory Fines: Hearings, Unusual Circumstances.

(1) No change.

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

(3) through (4) No change.

Rulemaking Specific Authority 112.3145(6)(f), 112.322(9) FS. Law Implemented 112.3145 FS. History–New 11-7-01, Amended _____.

 

NAME OF PERSON ORIGINATING PROPOSED RULE: Betsy Daley, Senior Attorney, Commission on Ethics.

NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Virlindia Doss, Executive Director, Commission on Ethics.

DATE PROPOSED RULE APPROVED BY AGENCY HEAD: August 12, 2015

DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAR: August 11, 2015