The purpose of this rulemaking is to update these rules to reflect that --on January 1, 2022--the Commission on Ethics will accept certain disclosure filings only through the electronic filing system that will be created ....

 

COMMISSION ON ETHICS

RULE NOS.:RULE TITLES:

34-8.001General

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

34-8.004Disclosure of Net Worth, Assets and Liabilities

34-8.005Disclosure of Sources and Amounts of Income

34-8.006Income Valuation

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

PURPOSE AND EFFECT: The purpose of this rulemaking is to update these rules to reflect that --on January 1, 2022--the Commission on Ethics will accept certain disclosure filings only through the electronic filing system that will be created and maintained by the Commission as provided in Section 112.31446, Florida Statutes. In particular, this will affect the filing of the CE Form 6 - Full and Public Disclosure of Financial Interests, the CE Form 6F - Final Full and Public Disclosure of Financial Interests, and the CE Form 6X - Amendment to Full and Public Disclosure of Financial Interests. The amendments to these rules will also update, clarify, and re-adopt the instructions incorporated by reference within them to similarly reflect that the forms must be filed electronically beginning January 1, 2022. Finally, additional changes are being made to the all of the referenced instructions to update and clarify their language, as explained in the "summary" portion of this notice.

SUMMARY: The referenced rules are each being amended to reflect the changes to the financial disclosure process, described in Section 112.3144, Florida Statutes, which will go into effect on January 1, 2022, when the electronic filing of the enumerated forms becomes active. The amendments delete references to paper filings and related statements regarding filing by paper because, in accordance with Section 112.3144(2), any enumerated disclosure filed after January 1, 2022, must be through the electronic filing system. In addition, rulemaking will repeal Rule 34-8.007, F.A.C., which allowed filers of the enumerated forms to file a copy of their most recent income tax return with their disclosure filing, as Section 112.3144(6)(c) states that, starting January 1, 2022, the Commission may no longer accept federal income tax returns for the purpose of reporting income. Further, the material incorporated by reference in Rules 34-8.002, 34-8.008, and 34-8.009 are being amended to eliminate paper forms, although such material will continue to include the instructions needed to complete disclosure filings. And, finally, all of the referenced instructions are being updated to reflect: (1) an active or former officer or employee listed in Section 119.071, F.S., submitting a written request to maintain the confidentiality of his or her home address must ensure that the request is notarized; (2) bank accounts, debit, charge, and credit card numbers are not required to be disclosed; and (3) only that alimony considered gross income under federal law is subject to disclose as a primary source of income. Rule 34-8.002 is being amended to have the instructions for the Form 6 reference the 2021 calendar year, while Rule 34-8.008 is being amended to have the instructions for the Form 6F reference the 2022 calendar year.

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 4,000 persons are required by law to file the CE Form 6 (and related forms) each year, depending on their positions. Other than the amount of time they expend to complete the forms, any economic impact is nominal. The Commission will absorb in its annual budget the costs of creating and maintaining the electronic filing system which will be used to submit CE Form 6 filings beginning January 1, 2022.

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, 112.31455, 112.31446, 112.3145, 112.3147, 112.322(9), F.S.

LAW IMPLEMENTED: Art. II, Section 8, Fla. Const., 112.3144, 112.31455, 112.312, F.S.

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

DATE AND TIME: October 22, 2021, 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: Diana Westberry, Office Manager, Florida 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: Gray Schafer, Assistant General Counsel, or Steven Zuilkowski, Senior Attorney, Florida Commission on Ethics, [phone]

 

THE FULL TEXT OF THE PROPOSED RULE IS:

34-8.001 General.

(1) The Commission on Ethics has the responsibility pursuant to Article II, Section 8(i)1., Florida Constitution, to prescribe forms for disclosure of income sources and amounts and the rules under which such forms are to be filed, which rules shall include disclosure of secondary sources of income. In addition, the Commission is authorized by Section 112.3147, F.S., to prescribe forms required for use in making the disclosures required by Article II, Section 8, Florida Constitution, and by Section 112.322(9), F.S., to adopt rules interpreting the disclosures established by Article II, Section 8, Florida Constitution. The forms for full and public disclosure shall be prescribed in accordance with the rules of this chapter and adopted by reference herein in Chapter 34-7, F.A.C.

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

a. "CE Form 6 – Full and Public Disclosure of Financial Interests" means the fields of information required to complete the full and public disclosure requirements of s. 8, Art. II of the State Constitution, as set forth by the instructions available at www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX (1/2022).

b. "CE Form 6F – Final Full and Public Disclosure of Financial Interests" means the fields of information required to complete the final disclosure statement required by s. 112.3144(10), as set forth by the instructions available at www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX (1/2022).

c. "CE Form 6X – Amendment to Full and Public Disclosure of Financial Interests" means the fields of information required on an amendment to a full and public disclosure of financial interest submitted pursuant to s. 112.3144(11), as set forth by the instructions available at www.fl.rules.org/Gateway/reference.asp?No=Ref-XXXXX (1/2022).

PROPOSED EFFECTIVE DATE January 1, 2022.

Rulemaking Specific Authority Art. II, Section 8, Fla. Const., 112.3144, 112.31446, 112.3147, 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const., 112.3144 FS. History–New 4-7-77, Formerly 34-8.01, Amended 8-7-94, 11-7-01, ______.

 

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

(1) Every person who holds an office specified in Rule 34-8.003, F.A.C., must file full and public disclosure of his or her financial interests with the Commission by July 1 of each year during which he or she is in office, and every person who held an office specified in Rule 34-8.003, F.A.C., on December 31st of a year must file full and public disclosure of his or her financial interests with the Commission by July 1 of the following year, except that candidates who have already filed with a qualifying officer as part of qualifying are not required to also file with the Commission. Full and public disclosure of financial interests means completing, through the electronic filing system created and maintained by the Commission as provided in s. 112.31446, a sworn disclosure filing, identified in the system as the CE Form 6 – Full and Public Disclosure of Financial Interests, filing a sworn statement showing net worth, assets, and liabilities, and sources of income 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 instructions for completing the Full and Public Disclosure of Financial Interests CE Form 6 (1/2022 1/2020) http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX 11074, are is incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us. 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) Exept for disclosures filed as part of a candidate’s qualifying papers, full and public disclosure under this rule must be filed no later than 5:00 p.m. on the due date. However, any disclosure 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.

(2)(3) No change.

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

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

PROPOSED EFFECTIVE DATE January 1, 2022.

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

 

34-8.004 Disclosure of Net Worth, Assets and Liabilities.

The Commission shall prescribe a part of the CE Form 6 – Full and Public Disclosure of Financial Interests for disclosure of net worth, assets and liabilities which satisfies the financial interest requirements of Article II, Section 8 of the Florida Constitution, as amended by Part part III, Chapter 112, Florida Statutes. This disclosure filing Such form shall provide space for the specific identification and value of each asset which exceeds $1,000 in value and for the name and address of the creditor for each liability which exceeds $1,000 in amount and its amount, and shall require a statement of the value of the reporting person’s net worth as of December 31st of the preceding year or a more current date. The disclosure filing form shall provide for the officer’s or candidate’s written declaration, as provided for under s. 92.525(2), and electronic signature oath verifying the information contained in the completed filing form. The disclosure filing form for disclosure of net worth, assets and liabilities prescribed pursuant to this rule shall be used by any officer, employee, or candidate required to file full and public disclosure of his or her financial interests pursuant to Article II, Section 8 of the Florida Constitution.

PROPOSED EFFECTIVE DATE January 1, 2022.

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

 

34-8.005 Disclosure of Sources and Amounts of Income.

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

(1) The filing form for disclosure of income sources shall provide for the disclosure of the name and address of each source of income which exceeds $1,000 received by the officer or candidate or by any person for the officer’s or candidate’s benefit and use during the previous tax year. The filing form also shall provide for disclosure of the amount of income received from each source and shall provide for the officer’s or candidate’s written declaration, as provided for under s. 92.525(2), and electronic signature oath verifying the information contained in the completed filing form.

(2) No change.

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

PROPOSED EFFECTIVE DATE January 1, 2022.

Specific Authority Art. II, Section 8, Fla. Const., 112.3144, 112.322(9) FS. Law Implemented Art. II, Section 8, Fla. Const. History–New 4-7-77, Formerly 34-8.05, Amended               .

 

34-8.006 Income Valuation.

The method of determining one’s income for purposes of disclosure under this chapter shall be in accordance with this rule.

(1) A reporting official choosing to file his most recent federal income tax return shall prepare such return pursuant to the Internal Revenue Code of 1954, Title 26, United States Code, as amended.

(2) Each person who is required to file a full and public disclosure of financial interests must Reporting officials choosing to file a sworn statement disclosing all sources and amounts of income in excess of $1,000 and shall follow federal income tax principles pursuant to the Internal Revenue Code of 1954, Title 26, United States Code, as amended.

PROPOSED EFFECTIVE DATE January 1, 2022.

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

 

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

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

PROPOSED EFFECTIVE DATE January 1, 2022.

 

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

(1) Each person who is required to file full and public disclosure of financial interests shall, within 60 days of leaving his or her public position, complete and file through the electronic filing system created and maintained by the Commission as provided in s. 112.31446 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 identified in the system as the on the form prescribed by the Commission, CE Form 6F – Final Full and Public Disclosure of Financial Interests. The instructions for completing the Final Full and Public Disclosure of Financial Interests CE Form 6F (1/2022 1/2021) http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX 11075, are is incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us.

(2) No change.

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

PROPOSED EFFECTIVE DATE January 1, 2022.

Rulemaking Authority 112.3144, 112.31446, 112.3147, 112.322(9) FS. Law Implemented 112.3144(5) FS. History–New 11-7-01, Amended 1-19-11, 1-1-12, 1-1-13, 1-1-14, 1-1-15, 1-1-16, 1-1-17, 1-1-18, 1-1-19, 1-1-20,                .

 

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

(1) At any time after submitting the CE Form 6 – Full and Public Disclosure of Financial Interests, a A person may amend his or her original disclosure filing full and public disclosure of financial interests to add to or modify the information originally reported on the form as originally filed at any time after filing the disclosure form. Filers shall complete an amended filing through the electronic filing system created and maintained by the Commission as provided in s. 112.31446, Florida Statutes, which will allow them to access and complete the disclosure filing identified in the system as the CE Form 6X – Amendment to the Full and Public Disclosure of Financial Interests.  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 instructions for completing the Amendment to the Full and Public Disclosure of Financial Interests CE Form 6X (1/2022 1/2021), http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX 11076, are is incorporated by reference herein and may be obtained without cost from the Florida Commission on Ethics, P.O. Drawer 15709, Tallahassee, Florida 32317-5709, and may also be downloaded from the Commission’s website: www.ethics.state.fl.us.

(2) No change.

PROPOSED EFFECTIVE DATE January 1, 2022.

Rulemaking Authority 112.3144, 112.31446, 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, 1-1-16, 1-1-17, 1-1-18, 1-1-20,                .

 

34-8.011 Penalties for Late Filing.

(1) Upon determining that a CE Form 6 – Full and Public Disclosure of Financial Interests has not been filed by the due date CE Form 6 has been filed after the due date or that the maximum fine has accrued, Commission staff shall send a notice by email U.S. Mail notifying the delinquent person of the failure to timely file, and shall redeliver the notice on a weekly basis by email as long as the person remains delinquent. of the amount of the payment due for the accrued fine, and of the person’s right to appeal or dispute the fine as provided in Rule 34-8.015, F.A.C.

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

(3)(2) The fine shall be $25 per day for each late day, up to a maximum of $1,500. Commission staff shall determine the amount of the fine due, once electronic filing goes active, based upon when the CE Form 6 – Full and Public Disclosure of Financial Interests was submitted through the electronic filing system created and maintained by the Commission as provided in s. 112.31446, Florida Statutes. Until that time, the fine will be based on the earliest of the following:

(a) When the CE Form 6 is actually received by the Commission;

(b) When the CE Form 6 is postmarked;

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

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

(4)(3) No change.

(5)(4) No change.

(6)(5) No change.

(7)(6) No change.

PROPOSED EFFECTIVE DATE January 1, 2022.

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

 

NAME OF PERSON ORIGINATING PROPOSED RULE: Gray Schafer, Assistant General Counsel, Florida Commission on Ethics, [phone]

NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Kerrie J. Stillman, Executive Director, Florida Commission on Ethics

DATE PROPOSED RULE APPROVED BY AGENCY HEAD: September 22, 2021

DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAR: September 9, 2021