The Florida Senate
BILL ANALYSIS AND FISCAL IMPACT STATEMENT
(This document is based on the provisions contained in the legislation as of the latest date listed below.)
Prepared By: The Professional Staff of the Committee on Rules
BILL: CS/SB 774
INTRODUCER: Ethics and Elections Committee and Senator Brodeur
SUBJECT: Ethics Requirements for Public Officials
DATE: March 29, 2023
ANALYST STAFF DIRECTOR REFERENCE ACTION
1. Cleary Roberts EE Fav/CS
2. Cleary Twogood RC Pre-meeting
Please See Section IX. For Additional Information
COMMITTEE SUBSTITUTE – Substantial Changes
I. Summary:
CS/SB 774 makes the following changes to ethics requirements for public officials:
Requires specified local officers to file a Form 6 financial disclosure instead of the Form 1
they are currently required to file.
Maintains and makes permanent requirements for e-filing of financial disclosures as
specified in the current year implementing bill, by
o Maintaining the requirement that Form 6 filers submit their financial disclosures via the
Commission on Ethics electronic filing system beginning January 1, 2023, and requiring
Form 1 filers to submit their disclosures electronically beginning January 1, 2024.
o Allowing filers to submit federal tax returns and other attachments for purposes of
showing income.
Allows the Commission on Ethics to dismiss complaints or investigations for certain minor
infractions.
Increases the maximum civil penalty for violations of the Code of Ethics to $20,000 from
$10,000.
Adds commissioners of a community redevelopment agency to the list of officers exempt
from having to complete ethics training in the year they begin their term, if the term begins
after March 31.
Clarifies that a candidate may submit a verification or receipt of a previous financial
disclosure filing to the qualifying officer in lieu of the full financial disclosure.
The bill takes effect upon becoming law.
REVISED: BILL: CS/SB 774 Page 2
II. Present Situation:
Commission on Ethics
The Commission on Ethics (Commission) was created by the Legislature in 1974 “to serve as
guardian of the standards of conduct” for state and local public officials and employees.
1
The
Florida Constitution and state law designate the Commission as the independent commission
provided for in s. 8(g), Art. II of the Florida Constitution.
2
Constitutional duties of the
Commission consist of conducting investigations and making public reports on all breach of trust
complaints towards public officers or employees not governed by the judicial qualifications
commission.
3
In addition to constitutional duties, the Commission, in part:
Renders advisory opinions to public officials;
4
Makes recommendations to disciplinary officials when appropriate for violations of ethics
and disclosure laws;
5
Administers the Executive Branch Lobbying Registration and Reporting Law;
6
Maintains financial disclosure filings of constitutional officers and state officers and
employees;
7
and
Administers automatic fines for public officers and employees who fail to timely file a
required annual financial disclosure.
8
Code of Ethics for Public Officers and Employees
The Code of Ethics for Public Officers and Employees (Code of Ethics)
9
establishes ethical
standards for public officials and is intended to ensure that public officials conduct themselves
independently and impartially, not using their officers for private gain other than compensation
provided by law.
10
The Code of Ethics addresses various issues, such as ethics trainings, voting
conflicts, full and public disclosure of financial interests, standards of conduct, and the
Commission on Ethics, among others.
11
1
Florida Commission on Ethics, Guide to the Sunshine Amendment and Code of Ethics for Public Officers and Employees, p.
1., available at https://ethics.state.fl.us/Documents/Publications/GuideBookletInternet.pdf?cp=2023310 (last visited March
10, 2023); see also s. 112.320, F.S.
2
Section (8)(j)(3), art. II, Fla. Const.; s. 112.320, F.S.
3
Section (8)(g), art. II., Fla. Const.
4
Section 112.322(3)(a), F.S.
5
Section 112.322(2)(b), F.S.
6
Sections 112.3215, 112.32155, F.S.
7
Section 112.3144, F.S.
8
Section 112.3144, F.S.; s. 112.3145, F.S.; s. 112.31455, F.S.
9
See pt. III. Ch. 112, F.S.
10
Florida Commission on Ethics, Guide to the Sunshine Amendment and Code of Ethics for Public Officers and Employees,
p. 1., available at https://ethics.state.fl.us/Documents/Publications/GuideBookletInternet.pdf?cp=2023310 (last visited March
10, 2023)
11
See pt. III. 112, F.S.
BILL: CS/SB 774 Page 3
Disclosure of Financial Interests
Full and Public Disclosure (Form 6)
The Florida Constitution requires all elected constitutional officers, candidates for such offices,
and statewide elected officers to file a full and public disclosure of their financial interests.
12
Other public officers, candidates, and public employees may be required to file a full and public
disclosure of their financial interests as determined by law.
13
Under the Florida Constitution, the term “full and public disclosure of financial interests” means
the reporting individual must disclose his or her net worth and the value for each asset and
liability in excess of $1,000.
14
The disclosure must be accompanied by either a sworn statement
that identifies each separate source and amount of income that exceeds $1,000 or a copy of the
reporting individual’s most recent federal income tax return.
15
The Florida Constitution expressly
provides that the Legislature can change this definition and requirements.
16
Pursuant to general law, the Commission has created by rule CE Form 6 (Form 6), which
required filers use to make the required full and public financial disclosure.
17
Reporting
individuals are required to file a Form 6 annually with the Commission by July 1 through the
Commission’s electronic filing system.
18
Individuals holding the following positions must presently file a Form 6: governor; lieutenant
governor; cabinet members; legislators; state attorneys; public defenders; clerks of circuit courts;
sheriffs; tax collectors; property appraisers; supervisors of elections; county commissioners;
elected superintendents of schools; district school board members; Jacksonville City Council
members (including the mayor); compensation claims judges; the Duval County superintendent
of schools; Florida Housing Finance Corporation Board Members; Florida Prepaid College
Board Members; and members of each expressway authority, transportation authority (except
Jacksonville Transportation Authority), bridge authority, or toll authority created pursuant to ch.
348 or 343, F.S., or any other general law.
19
The Form 6 requires filers to report their net worth, assets, and liabilities.
20
The filer must report
the specific identification and value of each asset which exceeds $1,000 in value and provide the
name and address of the creditor for each liability which exceeds $1,000 in amount and its
amount, and must submit a statement of the value of the reporting person’s net worth as of
December 31 of the preceding year or a more current date.
21
12
Section 8(a), art. II, Fla. Const.; see ss. 112.3144(1)(b), 112.3145, F.S.
13
Id.
14
Section (8)(j)(1), art. II, Fla. Const.
15
See 112.3144(6)(c) and (7)(a), F.S. (Beginning January 1, 2023, the Commission may not accept federal income tax returns
for proof of income.)
16
Section 8(j)(1), art. II, Fla. Const. (schedule in effect until change by law).
17
Section 112.3144(8), F.S.; see R. 34-8.002, F.A.C.
18
Section (8)(j)(1), art. II, Fla. Cont.; see s. 112.3144(2), F.S.
19
Section (8)(j)(1), art. II, Fla. Const.; see s. 112.3144, F.S.; see R. 34-8.003, F.A.C.
20
See s. (8)(j), art. II, Fla. Const.; s. 112.3144(5),(6), F.S.; R. 34-8.004, F.A.C.
21
Id. BILL: CS/SB 774 Page 4
Beginning January 1, 2022, the Commission was required to establish and have in place an
electronic filing system via which filers of financial disclosures would be required to file their
disclosure with the Commission through this system.
22
The start date requiring all filers of Form
6 financial disclosures to make their disclosures to the Commission solely through this electronic
filing system was changed by the Legislature to begin on January 1, 2023.
23
The Commission is
required, not later than May 1 of each year, to prepare a current list with the name and contact
information for every person required to file a Form 6.
24
Each government unit is required to
assist the Commission in compiling the list by providing, not later than February 1 of each year,
the name and contact information of every person required to file a Form 6, within the respective
unit of government as of December 31, of the preceding year.
25
Not later than June 1 of each
year, the Commission, by email, must provide notice and instructions for the electronic
submission of the Form 6 on the Commission’s electronic filing system pursuant to s.
112.3144(2), F.S.
26
Not later than August 1 of each year, the Commission must determine which
persons required to file a Form 6 failed to do so and must send weekly delinquency notices by
email as long as a person remains delinquent.
27
Form 6 disclosures must be received by the
Commission no later than 5 p.m. of the due date.
28
Form 6 filers are given a grace period until
September of the current year, where no investigative or disciplinary action based on
delinquency will be taken if the filer submits the Form 6 by 5 p.m. on September 1 of the current
year.
29
Candidates for constitutional office must file a Form 6, verified under oath and affirmation, to
the qualifying officer at the time of qualifying.
30
When a candidate has qualified for office prior
to the deadline to file an annual financial disclosure, the disclosure filed with the candidate’s
qualifying papers is deemed to satisfy the annual disclosure requirement and the qualifying
officer is required to submit an electronic copy to the Commission by July 1.
31
Candidates for
office who are not already required to file a Form 6, are required to file their Form 6 with the
election office in which they file their qualifying papers at the time they qualify.
32
Candidates
who are incumbents running for the same office or who currently hold another position currently
requiring the annual filing of a Form 6 and who qualifies as a candidate after they have filed a
22
Section 112.31446, F.S.
23
Section 112.3144(6)(c), F.S. (Section 91, ch. 2022-157, amended subsection (6)(c), among others, in order to implement
specific appropriations in the 2022-2023 General Appropriations Act for the development and implementation of the
electronic filing system. Section 92, ch. 2022-157, provides that the amendment made to subsection (6)(c), among others, by
this act expires July 1, 2023, and the text of those subsections and paragraphs shall revert to that in existence on June 1, 2022.
Therefore, effective July 1, 2023, the triggering date requiring filings of financial disclosures be made solely through the
electronic filing system, is changed from January 1, 2023, back to January 1, 2022.)
24
Section 112.3144(8)(a), F.S.
25
Id.
26
Section 112.3144(8)(b), F.S.
27
Section 112.3144(8)(c), F.S.
28
Section 112.3144(8)(d), F.S.
29
Id.
30
Section 99.061(5), F.S.
31
Section 99.061(5), F.S.; s. 112.3144(3), F.S.
32
Sections 99.061(5), 99.061(7)(a)5., F.S. BILL: CS/SB 774 Page 5
Form 6 with the Commission may file a copy of the Form 6, verification or receipt of the filing
of the Form 6 with the Commission, to the qualifying officer.
33
Statement of Financial Interests (Form 1)
In addition to provisions governing the Form 6, current law provides for a less detailed
disclosure of financial interests using the Commission’s CE Form 1 (Form 1).
34
A Form 1 must
be filed by a large group of local officers, including all officers holding elected positions in any
political subdivision of the state, other than counties, and specified appointed officers.
35
Other
persons required to file a Form 1 include specified state officers and employees and persons
seeking to qualify as candidates for these specified state or local office.
36
Currently, mayors; city
commissioners; elected members of a city council, town council, village council, or other
governing body of a city, town or village; and city, county, town, or village managers are
required to file a Form 1.
37
Form 1 requires filers to disclose specified information related to sources of income, real
property, intangible personal property, liabilities, and interests in specified businesses.
38
Although no specific dollar values of incomes, property, or liabilities are required to be reported,
the filer must report which assets or liabilities exceed certain dollar thresholds.
39
Form 1 filers
must disclose: all sources of income in excess of $2,500, excluding public salary; all sources of
income from a business entity that the filer had a material interest in where their gross income
was in excess of $5,000 and in excess of 10% of the businesses gross income; any property,
except for their residence or vacation home, in which the person owns more than 5% of the value
of the property; any intangible personal property in excess of $10,000; and any liability in excess
of $10,000.
40
A Form 1 must be filed annually with the Commission by July 1, 2023.
41
Currently, a local officer
42
must file a Form 1 within 30 days of appointment or employment and
then annually by July 1 of each year with the supervisor of election in the county in which he or
she permanently resides.
43
Currently, specified state employees
44
and state officers
45
must file a
Form 1 with the Commission within 30 days of appointment or employment and then annually
by July 1 of each year.
46
Candidates for local elective office who were not previously required to
33
Section 112.3144(4), F.S.; s. 99.061(7)(a)(5), F.S. (Currently, unlike the Code of Ethics under s. 112.3144(4), F.S. the
Elections Code under s. 99.061(7)(a)(5), F.S. only allows the filing of a copy of full and public disclosure at the time of
qualifying.)
34
See s. 112.3145, F.S.; R. 34-8.202, F.A.C.
35
See s. 112.3145, F.S.; ss. 99.061(5) and 99.061(7)(a)(5), F.S.; R. 34.8.202, F.A.C.
36
Id.; see Florida Commission on Ethics, Guide to the Sunshine Amendment and Code of Ethics for Public Officers and
Employees, p. 16-18., available at https://ethics.state.fl.us/Documents/Publications/GuideBookletInternet.pdf?cp=2023310
(last visited March 10, 2023)
37
See s. 112.3145(1), F.S.; R. 34.8.202, F.A.C.
38
Section 112.3145, F.S.
39
See s. 112.3145(3)(a)(b), F.S. (Beginning January 1, 2023, filers may only use the threshold based on dollar value when
filing their Form 1.)
40
Section 112.3145(3)(b), F.S.
41
Section 112.3145(2)(b), F.S.
42
As defined in s. 112.3145(1)(a), F.S.
43
Section 112.3145(2)(b), F.S.
44
As defined in s. 112.3145(1)(b), F.S.
45
Not required to file Form 6 as defined in s. 112.3145(1)(c), F.S.
46
Section 112.3145(2)(b), F.S. BILL: CS/SB 774 Page 6
file an annual financial disclosure are required to file their Form 1 with the qualifying officer at
the time of qualifying.
47
The Commission is required, not later than May 1 of each year, to prepare a current list with the
contact information for every state officer, local officer, and specified employee.
48
Each
government unit is required to assist the Commission in compiling the list by providing, not later
than February 1 of each year, the name and contact information of every state officer, local
officer, or specified state employee within the respective unit of government as of December 31
of the preceding year.
49
The Commission, not later than May 15 of each year, must provide each
supervisors of elections with a current list of all local officers required to file with such
supervisors of elections.
50
Not later than June 1 of each year, the Commission and supervisors of
elections, must distribute a copy of the Form 1 and a notice of all applicable disclosure forms and
filing deadlines by e-mail.
51
Not later than August 1 of each year, the Commission and each
supervisor of elections must determine which individuals required to file a Form 1 have failed to
do so and must send delinquency notices to these individuals by certified mail, return receipt
requested.
52
Filers are given a grace period until September 1 of the current year, where no investigative or
disciplinary action based on delinquency will be taken if the filer submits the disclosure by
September 1 of the current year.
53
Statements must be received by the Commission by 5 p.m. of
the due date, however, any statement that is postmarked by the U.S. Postal Service by midnight
of the due date or certificate of mailing or receipt from postal carrier before the due date is
deemed timely filed.
54
Not later than November 15 of each year, the supervisors of election in
each county must certify to the commission a list of the names and contact information of
individuals who failed to file their Form 1.
55
However, effective July 1, 2023, all filers of Form 1
(except non incumbent candidates) must file their financial disclosures with the Commission
solely through the Commission’s electronic filing system.
56
Requirements for Form 6 and Form 1
All persons required to file a Form 6 and Form 1 must disclose interests in specified businesses
granted a privilege to operate in the state of Florida.
57
All Form 6 and Form 1 filers also must file
47
Section 112.3145(2)(d), F.S.
48
Section 112.3145(8)(a)1, F.S.
49
Id.
50
Section 112.3145(8)(a)2, F.S.
51
Section 112.3145(8)(b), F.S.
52
Section 112.3145(8)(c), F.S.
53
Id.
54
Id.
55
Section 112.3145(8)(d), F.S.
56
Section 112.3145(2)(e), F.S. (Section 94, ch. 2022-157, amended subsection (2)(e), among others, in order to implement
specific appropriations in the 2022-2023 General Appropriations Act for the development and implementation of the
electronic filing system. Section 95, ch. 2022-157, provides that the amendment made to subsection (2)(e), among others, by
this act expires July 1, 2023, and the text of those subsections and paragraphs shall revert to that in existence on June 1, 2022.
Therefore, effective July 1, 2023, the triggering date requiring filings of financial disclosures be made solely through the
electronic filing system for Form 1s to the Commission, is changed from January 1, 2024, back to January 1, 2023.)
57
Section 112.3145(7), F.S. (i.e. specific entities including banks, insurance companies, cemetery companies, public utilities
and others.) BILL: CS/SB 774 Page 7
quarterly reports naming clients represented for a fee before agencies at the filer’s level of
government.
58
Certain Form 6 and Form 1 filers must certify their completion of any required
ethics training on their respective financial disclosure form.
59
General law also requires an
individual subject to filing Form 6 or Form 1 to file a final disclosure statement within 60 days
after leaving his or her public position.
60
Any person required to File a Form 6 or Form 1 whose name is on the Commission’s list, and to
whom notice has been sent, but who fails to timely file, is assessed a fine of $25 per day for each
day late up to a maximum of $1,500.
61
However, this limitation on automatic fines does not limit
the civil penalty that may be imposed if the statement is filed more than 60 days after the
deadline has passed.
62
The Commission is required to promulgate rules for determining the
amount of the fine for a late filing,
63
an appeal process, procedures for grounds for waiving the
fine based on unusual circumstances, and notice requirements.
64
Candidate Qualifications in Respect to Financial Disclosures
Under the Election Code, at the time of qualifying for office, each candidate for a constitutional
office must file a full and public disclosure of financial interests pursuant to s. 8, Art II, of the
Florida Constitution, which must be verified under oath or affirmation. A candidate for any other
office, including elective office, must file a statement of financial interests.
65
When a candidate
has qualified for office prior to the deadline to file an annual financial disclosure, the disclosure
file with the candidate’s qualifying papers is deemed to satisfy the annual disclosure
requirement.
66
As of January 1, 2023, under the Code of Ethics, an incumbent in an elective office or a
candidate holding another position subject to an annual filing requirement who has filed his or
her annual disclosure electronically may submit a copy of the disclosure filed with the
Commission, or a verification or receipt for the filing, with the officer before whom he or she
qualifies.
67
A candidate not subject to an annual filing requirement does not file with the
Commission, but may complete and print the appropriate disclosure form to file with the officer
before whom he or she qualifies.
68
Under the Elections Code, in order for a candidate to be
qualified, the filing officer must receive the full and public disclosure (Form 6) or statement of
financial interests (Form 1).
69
This provision is inconsistent with the verification or receipt
provisions in the Code of Ethics.
70
58
Section 112.3145(6), F.S.
59
See s. 112.3142, F.S.; s. 112.3144(1)(a), F.S.; s. 112.3145(5), F.S.
60
Section 112.3144(10), F.S.; s. 112.3145(2)(b), F.S.
61
Section 112.3145(8)(g), F.S.
62
Id.
63
See s. 112.3145(8)(g)1-3, F.S. (Form 1); s. 112.3144(8)(f)1-3, F.S. (Form 6); R. 34-8.011(3), F.A.C.; R. 34-8.210(2),
F.A.C.
64
See R. 34-8.015, F.A.C.; R. 34-8.215, F.A.C.
65
Section 99.061, F.S.
66
Sections 112.3144(3), 112.3145(2)(a), F.S.
67
Ss. 112.3144(4), 112.3145(2)(c), F.S.
68
Id.
69
Section 99.061(7)(a)5., F.S.
70
Section 99.061(7)(b), F.S. (If the filing officer receives qualifying papers during the qualifying period prior to the last day
of qualifying, which do not include all statutorily required items, the filing officer must make a reasonable effort to notify the BILL: CS/SB 774 Page 8
Procedures on Complaints and Violations
Current law authorizes the Commission to investigate alleged violations of the Code of Ethics
upon a written complaint executed on a form prescribed by the Commission and signed under
oath or affirmation by any person, or upon receipt of a written referral of a possible violation
from the Governor, the Department of Law Enforcement, a State Attorney, or a United States
Attorney.
71
The Commission may dismiss any such complaint or referral at any stage of
disposition if it determines that the violation alleged is a de minimis violation attributable to
inadvertent or unintentional error. The Commission is not authorized to dismiss complaints
alleging de minimis violations
72
involving financial disclosure statements.
73
The Commission
may, at its discretion, dismiss any complaint at any stage of disposition should it determine that
the public would not be served by proceeding further, in which case, the Commission must issue
a public report stating with particularity its reasons for dismissal.
74
Penalty Provisions
The penalty provisions for violations of the Code of Ethics are located in s. 112.317, F.S. There
are no criminal penalties for violation of the Code of s. 8, Art. II, of the Florida Constitution. The
penalty provisions cover public officers and public employees, former public officers and
employees, candidates, and lobbyists and lobbyists firms. Depending on the individual and the
position he or she holds, penalties include impeachment, removal from office or employment,
suspension, public censure and reprimand, and a civil penalty not to exceed $10,000, among
other penalties. The Commission is without jurisdiction to impose any penalty, but may make
recommendations for an appropriate penalty to the appropriate disciplinary authority charged
with imposing penalties as designated under the procedures of s. 112.324(3), F.S.
75
Ethics Training
All constitutional officers, all elected municipal officers, and each commissioner of a community
redevelopment agency (CRA) created under part III. 163, F.S., must complete 4 hours of ethics
training each calendar year which addresses, at a minimum, s. 8, Art. II of the Florida
Constitution, the Code of Ethics for Public Officers and Employees, and the public records and
public meetings law of Florida.
76
This requirement may be satisfied by completion of a
continuing legal education class or other continuing professional education class, seminar, or
presentation, if the required subject is covered by the class.
77
candidate of any missing or incomplete items and must inform the candidate that all required items must be received by the
close of qualifying.)
71
Section 112.324(1)(b), F.S.
72
Section 112.324(11), F.S. (a de minimis violation is any violation that is unintentional and not material in nature.)
73
See ss. 112.3144 and 112.3145, F.S.
74
Section 112.324(12), F.S. (In order for the Commission to dismiss a complaint under this provision, it must find that the
public interest would not be served by proceeding further and must issue a public report explaining its justification for
dismissal. In contrast, to dismiss a violation for being de minimis, the Commission must find that the violation was
unintentional and not material in nature.)
75
Section 112.324(3), F.S.; s. 112.322(2)(b), F.S.
76
Section 112.3142(2)(a)-(c), F.S.
77
Id. BILL: CS/SB 774 Page 9
A constitutional officer or elected municipal officer assuming a new office or a new term of
office after March 31 is not required to complete ethics training for the calendar year in which
his or her term of office began.
78
CRAs are not included in this new office or new term of office
exemption language.
Lobbyist Registration and Compensation Reporting
Lobbyist must register to lobby the executive branch or the legislative branch in Florida.
Executive branch lobbying is regulated by the Code of Ethics and administered by the
Commission.
79
Legislative branch lobbying is regulated primarily by Joint Rule of the House and
Senate and administered by the Office of Legislative Services.
80
Both registration systems
require lobbyists to register annually for each principal represented and to indicate the entities to
be lobbied.
81
In addition, lobbying firms must file quarterly compensation reports.
82
Both the
Commission and the Legislature have instituted electronic registration and compensation
reporting.
83
Executive branch lobbyists, however, must supply a written oath to complete each
registration as well as a signed statement of authority from the principal.
84
State agency employees and employees of legislative and judicial branch entities acting in the
normal course of their duties are exempt from executive branch lobbying registration.
85
However, local government officers and employees must register to lobby the state executive
branch.
Compensation reporting is subject to random audits, and findings of non-compliance are reported
to the Commission, in the case of executive branch lobbying firms, for investigation.
86
The executive branch lobbyist registration law provides specific procedures for its
enforcement.
87
The Commission reports probable cause findings to the Governor and Cabinet for
appropriate action, which can include a fine up to $5,000 and prohibition from lobbying for up to
two years.
88
A person accused of violating the lobbyist registration law may also request a
hearing within 14 days of the mailing of the probable cause notification.
89
78
Section 112.3142(2)(e), F.S.
79
Section 112.3215, F.S.
80
Section 11.045, F.S. and Joint rule 1.
81
Section 112.3215(3), F.S.; Joint Rule 1.2.
82
Section 112.3215(5)(a)1., F.S.; Joint Rule 1.4.
83
Section 112.32155, F.S.; Joint Rule 1.1(2)(f)
84
Section 112.3215(3), F.S.
85
Section 112.3215(1)(h)(2), F.S.
86
Section 112.3215(8)(c), F.S.
87
Section 112.3215(8)-(9), F.S.
88
Section 112.3215(9)-(10), F.S.
89
Section 112.3215(9), F.S. BILL: CS/SB 774 Page 10
III. Effect of Proposed Changes:
90
Disclosure of Financial Interests
The bill provides the following in regards to Form 1 and Form 6 filers:
Requires certain local officers, mayors and elected members of the governing body of a
municipality to annually file a Form 6 full and public disclosure of financial interest’s
statement with the Commission on Ethics through the Commission’s electronic filing system.
Exempts local officers required to file a Form 6 from the present requirement to file a Form
1.
Requires if an elected local officer, now required to file a Form 6 with the Commission,
leaves office before the expiration of his term, each individual appointed to replace such an
officer must file a Form 6 within 30 days from the appointment and must file a Form 6
annually for the remainder of that individual’s term.
Adds clarifying language that each Form 6 filer must fill out his or her Form 6 on the
Commission on Ethics electronic filing system by the due date annually.
Maintains the current law, beginning January 1, 2024, that each Form 1 filer must file his or
her annual Form 1 with the Commission through the Commission’s electronic filing system.
Because Form 1 filers, beginning January 1, 2024, can only submit a Form 1 with the
Commission by filling out the Form 1 financial statement on the Commission’s electronic
filing system, the bill removes supervisors of elections from being involved in the Form 1
filing process.
Requires local officers to file their quarterly reports of the names of clients represented for a
fee or commission be filed with the Commission through the electronic filing system.
Allows Form 1 and Form 6 filers to submit federal income tax returns or other attachments to
report income.
The bill provides the following in regard to the Commission’s electronic filing system:
Requires the Commission’s electronic filing system to have the capability to allow filers to
upload attachments, including federal income tax returns.
Requires the Commission’s instructions for its electronic filing system to notify filer’s that
certain personal account information should not be included in the filing.
Removes language allowing Form 1 and Form 6 filers to fill out and submit paper versions of
the forms to the Commission through mail.
Requires the Commission to notify Form 1 and Form 6 filers by email of all deadlines for
filing, instructions on completing the online Form 1 and Form 6, and instructions on how to
upload attachments and documentation to the electronic filing system.
Requires the Commission to notify a Form 1 or Form 6 filer of delinquent filings weekly,
through email, as long as the person remains delinquent.
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The following bill’s provisions were legislative recommendations made by the Florida Commission on Ethics in the
Commission’s most recent annual report to the Legislature: 1) Enhanced financial disclosure for local elected officials; 2)
Dismissal of complaints alleging de minimis financial disclosures; 3) Increase of maximum civil penalties; 4) Extension of
the ethics training filing exemption to commissioners of community redevelopment agencies; and 5) Dismissal of lobbying
firm audit matters. See Florida Commission on Ethics, Annual Report to the Florida Legislature for Calendar Year 2022, P.
23-24, available at https://ethics.state.fl.us/Documents/Publications/2022%20Annual%20Report.pdf?cp=202337 (Last visited
March 10, 2023) BILL: CS/SB 774 Page 11
Specifies that the only determining factor the Commission may use in determining the
amount of fine for late submission to the Commission of a Form 1 or Form 6 is the date the
filer submitted their Form 1 or Form 6 on the Commission’s electronic filing system.
Candidate Qualifications in Respect to Financial Disclosures
The bill adds language to the Election Code
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allowing filers of Form 1 and Form 6 financial
disclosure statements to submit a verification or receipt of the filing to the qualifying officer at
the time of qualifying, making this section of the Election Code consistent with the Code of
Ethics.
Procedures on Complaints and Violations
The bill allows the Commission to dismiss any complaint or referral for de minimis violations of
financial disclosures.
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Penalty Provisions
The bill increases the maximum civil penalty allowed under s. 112.317(1), F.S., from $10,000 to
$20,000.
Ethics Training
The bill adds commissioners of community redevelopment agencies (CRAs) to the new office or
new term of office exemption language contained in s. 112.3142(2)(e), F.S., that already exists
for constitutional officers and elective municipal officers. CRAs assuming a new office or term
of office after March 31 are not required to complete ethics training for the calendar year in
which their term of office began.
Lobbyist Registration and Compensation Reporting
The bill adds clarifying language of what allegations must be contained in a complaint or report
initiating the requirement for the Commission to investigate potential violations and allows the
Commission to dismiss any complaint or investigation from a random audit of lobbying reports,
at any stage of disposition, if it determines that the public interest is not served by proceeding
further. If the Commission dismisses an action, the Commission must issue a public report
stating with particularity its reasons for the dismissals.
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See s. 99.061(7)(a)5, F.S.
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See s. 112.3144, F.S. (Form 6 financial disclosure statements); s. 112.3145, F.S. (Form 1 financial disclosure statements)
(allows Commission to dismiss complaints or referrals relating to unintentional or non-material violations of the submission
of Form 1 or Form 6 financial disclosure statements.) BILL: CS/SB 774 Page 12
IV. Constitutional Issues:
A. Municipality/County Mandates Restrictions:
The bill imposes additional financial disclosures on certain officers of local government,
but the burden on the governments themselves does not appear to reach the threshold
required to be affected by s. 18, Art. VII, Fla. Const.
B. Public Records/Open Meetings Issues:
None.
C. Trust Funds Restrictions:
None.
D. State Tax or Fee Increases:
None.
E. Other Constitutional Issues:
Section 8(j)(1), Art. II, of the Florida Constitution provides that the Legislature is
authorized to change the definition and requirements for full and public financial
disclosures.
V. Fiscal Impact Statement:
A. Tax/Fee Issues:
None.
B. Private Sector Impact:
None.
C. Government Sector Impact:
The bill imposes additional financial disclosures on certain officers of local government
that will create an indeterminate but most likely insignificant impact. These new Form 6
filers will increase the number of Form 6 disclosures filed with the Commission through
the Commission’s electronic filing system, which is now active. This increase in the
number of Form 6 filings may increase the amount of time and resources that
Commission staff requires to review, redact, and publish such disclosures and may
require some programming changes to the electronic filing system for the specified local
officers to now file the Form 6 on the electronic system. However, with all Form 1 filers
soon being required to file their Form 1 disclosures solely with the Commission through
the electronic filing system, and with the Commission actively preparing for these BILL: CS/SB 774 Page 13
increased disclosures and changes to the electronic system, any changes to the process
required by adding these specified local officers is most likely negligible.
VI. Technical Deficiencies:
None.
VII. Related Issues:
None.
VIII. Statutes Affected:
The bill substantially amends the following sections of the Florida Statutes: 99.061, 112.3142,
112.3144, 112.31445, 112.31446, 112.3145, 112.317, 112.3215, and 112.324.
IX. Additional Information:
A. Committee Substitute – Statement of Changes:
(Summarizing differences between the Committee Substitute and the prior version of the bill.)
CS by Ethics and Elections on March 14, 2023:
Retains from the original bill the requirement that specified local officers file a Form
6 financial disclosure instead of the Form 1 they are currently required to file, with
some drafting revisions and the removal of non-elected managers from the
requirement.
Maintains and makes permanent requirements for e-filing of financial disclosures as
specified in the current year implementing bill.
Adds new provisions relating to dismissal of de minimis offenses, the maximum civil
penalty for violations of the Code of Ethics, ethics training requirements for
commissioners of a community redevelopment agency, and authorization for a
candidate to submit a verification or receipt of a previous financial disclosure filing to
the qualifying officer.
B. Amendments:
None.
This Senate Bill Analysis does not reflect the intent or official position of the bill’s introducer or the Florida Senate.