Florida Regulations 34-5.002: Review for Sufficiency of Allegations of Breach of Public Trust and Order of Preliminary Investigation; Review of Allegations of Failure to Properly Complete Financial Disclosure Forms
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(1) After a complaint has been reviewed and found to be in proper form, the complaint shall be reviewed by the Executive Director in order to determine whether the complaint is legally sufficient to allege a breach of public trust. Complaints need not be as precise as would be required by the rules of civil procedure in a court of law and shall be deemed sufficient if the complainant under oath upon knowledge or belief alleges matters which, if true, may constitute a breach of public trust. A complaint shall not be insufficient because it is based upon evidence which would be hearsay evidence in a court of law. In order to make this determination, the Executive Director may request additional information from the complainant and may obtain information from public records.
(2) If the Executive Director finds that the complaint is legally sufficient, the Executive Director shall order an investigation of the complaint.
(3) If the Executive Director finds that the complaint is not legally sufficient, the complaint shall be brought before the Commission in executive session with the recommendations of the Executive Director. The Commission may find the complaint to be sufficient and order an investigation; may find the complaint to be insufficient, dismiss it, and notify the complainant that no investigation will be made; or may take such other action as may be appropriate. In any case where a complaint is found legally insufficient and dismissed, a summary of the reasons for dismissing the complaint together with the complaint itself and all documents related thereto shall become a public record and constitute a public report.
(4) Review of complaints alleging violation of Fla. Const. Art. II, § 8(a) or (i), or Sections 112.3144 or 112.3145, F.S., due to errors or omissions on an annual CE Form 6 — Full and Public Disclosure of Financial Interests, or CE Form 1 — Statement of Financial Interests.
(a) Effective May 1, 2013, the Commission shall treat an amended annual CE Form 6 — Full and Public Disclosure of Financial Interests, or CE Form 1 — Statement of Financial Interests, filed prior to September 1 of the year in which the disclosure is or was due as the original filing, regardless of whether a complaint has been filed.
(b) If a complaint filed after May 1, 2013, alleges an error or omission on an annual CE Form 6 — Full and Public Disclosure of Financial Interests, or CE Form 1 — Statement of Financial Interests, the Executive Director shall determine whether the complaint contains any allegations other than allegations of an immaterial, inconsequential, or de minimis error or omission on the disclosure form. If the complaint contains no such allegations, the staff shall take no action on the complaint other than to notify the respondent of the complaint. If the respondent files an amended disclosure correcting the error or omission with the Commission within 30 days of the date the notice is mailed, no further action shall be taken. If the respondent does not file an amended disclosure correcting the error or omission with the Commission within 30 days of the date the notice is mailed, the procedures in subsections (1)-(3), above, shall be followed.
Rulemaking Authority Florida Statutes § 112.322(9). Law Implemented Art. II, Section 8(f), (h), Fla. Const., Chapter 2014-183 Sections 3 and 4, LOF, 112.3144, 112.3145, 112.322, 112.324 FS. History-New 4-7-77, Amended 9-21-77, 7-13-80, 1-12-82, Formerly 34-5.02, Amended 10-29-13, 10-19-14.
Terms Used In Florida Regulations 34-5.002
- Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
- Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
- Executive session: A portion of the Senate's daily session in which it considers executive business.
- Hearsay: Statements by a witness who did not see or hear the incident in question but heard about it from someone else. Hearsay is usually not admissible as evidence in court.
- Oath: A promise to tell the truth.
(3) If the Executive Director finds that the complaint is not legally sufficient, the complaint shall be brought before the Commission in executive session with the recommendations of the Executive Director. The Commission may find the complaint to be sufficient and order an investigation; may find the complaint to be insufficient, dismiss it, and notify the complainant that no investigation will be made; or may take such other action as may be appropriate. In any case where a complaint is found legally insufficient and dismissed, a summary of the reasons for dismissing the complaint together with the complaint itself and all documents related thereto shall become a public record and constitute a public report.
(4) Review of complaints alleging violation of Fla. Const. Art. II, § 8(a) or (i), or Sections 112.3144 or 112.3145, F.S., due to errors or omissions on an annual CE Form 6 — Full and Public Disclosure of Financial Interests, or CE Form 1 — Statement of Financial Interests.
(a) Effective May 1, 2013, the Commission shall treat an amended annual CE Form 6 — Full and Public Disclosure of Financial Interests, or CE Form 1 — Statement of Financial Interests, filed prior to September 1 of the year in which the disclosure is or was due as the original filing, regardless of whether a complaint has been filed.
(b) If a complaint filed after May 1, 2013, alleges an error or omission on an annual CE Form 6 — Full and Public Disclosure of Financial Interests, or CE Form 1 — Statement of Financial Interests, the Executive Director shall determine whether the complaint contains any allegations other than allegations of an immaterial, inconsequential, or de minimis error or omission on the disclosure form. If the complaint contains no such allegations, the staff shall take no action on the complaint other than to notify the respondent of the complaint. If the respondent files an amended disclosure correcting the error or omission with the Commission within 30 days of the date the notice is mailed, no further action shall be taken. If the respondent does not file an amended disclosure correcting the error or omission with the Commission within 30 days of the date the notice is mailed, the procedures in subsections (1)-(3), above, shall be followed.
Rulemaking Authority Florida Statutes § 112.322(9). Law Implemented Art. II, Section 8(f), (h), Fla. Const., Chapter 2014-183 Sections 3 and 4, LOF, 112.3144, 112.3145, 112.322, 112.324 FS. History-New 4-7-77, Amended 9-21-77, 7-13-80, 1-12-82, Formerly 34-5.02, Amended 10-29-13, 10-19-14.