98-22927 RESO
RESOLUTION NO.
98-22927
A RESOLUTION OF THE MAYOR AND CITY COMMISSION
OF THE CITY OF MIAMI BEACH, FLORIDA, AMENDING
AND RESTATING THE CITIZEN PARTICIPATION PLAN IN
ORDER TO COMPLY WITH THE FEDERAL REGULATIONS
GOVERNING THE CONSOLIDATED PLAN AND CITY OF
MIAMI BEACH ORDINANCE NO. 97-3086 GOVERNING
AGENCIES, BOARDS AND COMMITTEES.
WHEREAS, the Mayor and City Commission adopted the existing Citizen
Participation Plan on July 19, 1978 via Resolution No. 78-15672; and said Plan was
subsequently amended on September 21, 1983, via Resolution No. 83-17475; on March
16,1988, via Resolution No. 88-19190; and November 16,1994, via Resolution No. 94-
21410, and on April 5, 1995, via Resolution No. 95-21538; and
WHEREAS, the City again deems it necessary to amend and clarify certain
portions of the Citizen Participation Plan.
WHEREAS, the amendments to the Citizen Participation Plan incorporate
changes based on the enactment of City of Miami Beach Ordinance No. 97-3086
governing Agencies, Boards and Committees; and whereas further changes include
incorporating and clarifying certain requirements of the federal regulation governing the
citizen participation process.
NOW THEREFORE, BE IT RESOLVED BY THE MAYOR AND CITY
COMMISSION OF THE CITY OF MIAMI BEACH, FLORIDA, that the Mayor and City
Commission hereby amend and restate the Citizen Participation Plan in order to comply
with the federal regulations governing the Consolidated Plan and City of Miami Beach
Ordinance No. 97-3086 governing Agencies, Boards and Committees.
PASSED AND ADOPTED this 7th day of
October
,1998.
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CITY CLERK
WI(
MAYOR
APPROVED AS TO
FORM & LANGUAGE
& FOR EXECUTION
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~ITY OF MIAMI BEACH
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COMMISSION MEMORANDUM NO. ~ ~ 1-18
TO:
Mayor Neisen O. Kasdin and
Members of the City C"~iSSiOn
Sergio Rodriguez /' (J.
City Manager
DATE: October 7,1998
FROM:
SUBJECT:
A RESOL TION OF THE MAYOR AND CITY COMMISSION OF THE
CITY OF l\'llAMI BEACH, FLORIDA, AMENDING AND RESTATING THE
CITIZEN PARTICIPATION PLAN IN ORDER TO COMPLY WITH THE
FEDERAL REGULATIONS GOVERNING THE CONSOLIDATED PLAN
AND CITY OF MIAMI BEACH ORDINANCE NO. 97-3086 GOVERNING
AGENCIES, BOARDS AND COMMITTEES.
ADMINISTRA TION RECOMMENDATION
Adopt the Resolution.
BACKGROUND
It is a requirement for the City of Miami Beach to have a citizen participation process in place in
order to receive federal grant funds. The Consolidated Plan, which is both a planning document and
an application for federal funds, covers the following formula grant programs: Community
Development Block Grant, HOME Investment Partnerships Program, Emergency Shelter Grants
Program and Housing Opportunities for Persons with AIDS Program. A Citizen Participation Plan
(CPP) is part of the requirements of the Consolidated Plan. The CPP sets out the role of citizens
in adopting the Consolidated Plan and amendments thereto, as well as general requirements for
citizen participation in the community development process. The federal regulations governing
the Consolidated Plan also stipulate that the City amend its locally adopted CPP to reflect changes
in the citizen participation process. .
The new and/or amended portions of the CPP incorporate the changes to the City ordinance
governing Agencies, Boards and Committees as well as streamline, update and reorganize the
language of the prior CPP. To assure citizen participation on the intended revisions, notice of the
proposed revisions was published in the Neighbors section of The Miami Herald and Art Deco
Tropical on August 27, 1998 stating that draft copies of the proposed revisions to the CPP are
available for public review at the City Clerk's Office and the Community/Economic Development
Department. No public comments were received. Copies of the proposed CPP were also
distributed to members of the Community Development Advisory Committee (CDAC) on August
24, 1998 for their review prior to their meeting on September 15, 1998.
AGENDA ITEM C-1 f)
DATE~
COMMISSION MEMORANDUM
PAGE 2
The Miami Beach City Commission adopted the existing Citizen Participation Plan on July 19, 1978
via Resolution No. 78-15672; and was subsequently amended on September 21, 1983 via Resolution
No. 83-17475, on March 16, 1988 via Resolution No. 88-19190, on November 16, 1994, via
Resolution No. 94-21410, and on April 5, 1995, via Resolution No. 95-21538.
ANAL YSIS
The City Administration finds that the current Citizen Participation Plan requires amendment due
to changes in the City ordinance governing membership on advisory boards in general and the
Community Development Advisory Committee (CDAC) in particular. In addition, the Citizen
Participation Plan requires the inclusion of several provisions that have previously applied but were
not stated in the Citizen Participation Plan. The Citizen Participation Plan has been amended as
follows:
1. The text has been streamlined and reorganized.
2. Provisions that relate to the internal operation of CDAC as a City committee have
been removed from the Citizen Participation Plan to be separately stated in a CDAC
handbook.
3. Other applicable requirements of federal regulations which have always been adhered
to, but were not previously stated in the plan, have been added. These provisions
include conducting two public hearings during each program year, stating the
requirements of the public comment periods for the performance reports and
Consolidated Plan, and the criteria for amending the Consolidated Plan.
4. The criteria for what constitutes a substantial amendment to the Consolidated Plan,
and the required 30-day public comment period on substantial amendments, have
also been included in the Citizen Participation Plan, in conformity with HUD
requirements.
The revisions to this document are in compliance with City Ordinance No. 97-3086 which sets Qut
the standards for all City Agencies, Boards and Committees and with HUD requirements for the
Citizen Participation Plan and the Consolidated Plan.
The City Administration met with the CDAC at their regularly scheduled meeting of September
15th, 1998 to discuss the proposed revisions to the Citizen Participation Plan. The CDAC
unanimously approved the Administration's recommendations for adoption of the revised Citizen
Participation Plan. No public comments were received during the public comment period advertised
on August 27, 1998.
COMMISSION MEMORANDUM
PAGE 3
CONCLUSION
The Administration recommends that the Mayor and City Commission adopt the attached
Resolution amending and restating the Citizen Participation Plan in order to comply with the federal
regulations governing the Consolidated Plan and City of Miami Beach Ordinance No. 97-3086
governing Agencies, Boards and Committees.
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F :\DDHPI$ALL ICHER Yl. ICDAC\P AR TICIPI98CPPLAN. CMO
CITY OF MIAMI BEACH
CITIZEN PARTICIPATION PLAN
Amended 1998
For Information Contact:
Community I Economic Development Department
City of Miami Beach
1700 Convention Center Drive
Miami Beach, FL 33139
305 673-7260 FAX:305 673-7772
Table of Contents
I. Background of the Citizen Participation Plan
Consolidated Plan
Purpose of the Citizen Participation Plan
1
1
2
II. General Guidelines for Citizen Participation
Participation
Submission of Views and Proposals
Public Hearings
Meetings
Availability and Dissemination of Program Records and Information
Access to Records
Technical Assistance
Complaints
2
2
3
4
4
5
5
6
6
III. The Consolidated Plan
Development of the Consolidated Plan
Publication of a Summary of the Proposed Consolidated Plan
Public Hearings
Public Comments
Displacement of Persons
Amendments to the Consolidated Plan
Performance Reports
7
7
7
8
8
8
8
10
IV. Community Development Advisory Committee
Purpose and Function of the Committee
General Requirements for Membership on CDAC
Composition
Conflict of Interest
Vacancies
Term of Appointment
Meetings
Compliance with Sunshine Law Requirements
Meeting Notices and Scheduling
Regular Meetings
Annual CDBG Planning Phase Meetings
Additional Requirements
10
10
11
11
11
12
12
12
12
13
13
13
15
Attachments
Community Development Target Areas
Ordinance 97-3086 - Agencies, Boards and Committees
Conflict of Interest Regulations and Ordinances
Summary of Sunshine Amendment Requirements
A
B
C
D
F:IDDHPI$ALL ICHER YL ICDACIP AR nclP' CPPToc. WPD
CITY OF MIAMI BEACH
CITIZEN PARTICIPATION PLAN
I. Background of the Citizen Participation Plan.
The City of Miami Beach (the City) is an entitlement recipient of federal funds from the U.S.
Department of Housing and Urban Development (HUD). The Community/Economic
Development (C/ED) Department administers the Community Development Block Grant Program
(CDBG), Emergency Shelter Grants Program (ESG), and HOME Investment Partnerships
(HOME) Program and is also responsible for the preparation and submission of an application for
assistance under the Section 108 Loan Guarantee Program for the City. The C/ED Department
is responsible for the planning, preparation, and submission of the Consolidated Plan (together
with the One Year Action Plan, the "Plan"), amendments to the Plan, and performance reports
submitted to HUD, affecting the CDBG, ESG and HOME Programs, including the day-to-day
operations of such programs. Consistent with the duties and responsibilities of the
Community /Economic Development Department, the City Administration will determine the
annual costs necessary to administer these programs, not to exceed 20% of the annual CDBG
entitlement grant plus program income, 5 % of the annual ESG entitlement grant, and 10 % of the
HOME Program. Also, the Administration will determine the annual funding necessary to meet
the required community development and housing needs and goals in accordance with the criteria
established by HUD. The awarding and monitoring of the distribution of these funds must comply
with the Plan.
A. Consolidated Plan.
The Plan satisfies the minimum statutory requirements for four programs: CDBG,
ESG, HOME, and Housing Opportunities for Persons With AIDS (HOPW A). The
Plan furthers the statutory goals of these programs through a collaborative process
whereby each community that receives formula federal grant funds establishes a
unified vision for community development actions. Consolidating the submission
requirements of these federal programs offers local jurisdictions a better chance to
shape the various programs into an effective, coordinated neighborhood and
community development strategy. It also creates the opportunity for strategic
planning and citizen participation to take place in a comprehensive context, and to
reduce duplication of efforts at the local level. A requirement of the Consolidated
Plan is a citizen participation plan that sets forth the City I s policies and procedures
for citizen participation.
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
B. Purpose of the Citizen Participation Plan.
The purpose of the Citizen Participation Plan (CPP) is (1) to provide for citizen
participation to assure effective citizen involvement, in an advisory role, in the
development of the Consolidated Plan, any substantial amendments to the
Consolidated Plan, and the performance reports submitted to HUD; and (2) to
encourage effective citizen participation, with particular emphasis on participation
by persons of low, and moderate income; who are residents of slum and blighted
areas and who live in the Community Development target areas; and minority
groups, in implementing these federally-funded programs in accordance with the
federal regulations at 24 CFR Part 91. The CPP also sets out the public's role in
the planning, implementation, and assessment of the programs covered by the Plan,
any substantial amendments thereto, the performance report, CDBG, ESG,
HOME, and the Section 108 Loan Guarantee Program.
Citizens will have a reasonable opportunity to comment on the original citizen
participation plan and any substantial amendments thereto. Additionally, the CPP
will be made available to the public at the City Clerk's Office and, upon request,
will be made available in a format accessible to persons with disabilities. A
reasonable number of free copies of the CPP are also available in the C/ED
Department.
II. General Guidelines for Citizen Participation.
A. Participation.
All aspects of the citizen participation process shall be conducted in an open
manner, with freedom of access for all interested persons. Citizens will be
provided with: timely access to local meetings; CDBG, ESG, HOME, and related
program information; Section 108 Loan Guarantee Program information; copies
of the Consolidated Plan and each One Year Action Plan; and other recortis
relating to the grantee's and sub-recipients' proposed and actual use of federal
funds, as required by the federal Housing and Community Development Act.
The Community Development Advisory Committee (CDAC), an eleven member
citizen advisory group, will be actively involved in the formulation of the Plan, and
will host public meetings and hearings in order to obtain citizen input at the initial
stages of development of the Plan.
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
The City will also:
a. Consult with the following agencies or groups in order to obtain their
input: the Housing Authority of the City of Miami Beach (the Housing
Authority), the local Community Housing Development Organization(s)
(CHDOs), providers of special needs or other assisted housing, local
Community Development Corporations, the CDAC, the Loan Review
Committee, social service providers, public health agencies and adjoining
local governments concerning the needs of low and moderate income
residents.
b. Gather input (a) by conducting interviews with various providers and
community leaders, (b) from persons attending the various public meetings
and hearings, and (c) from written comments from citizens and interest
groups submitted throughout the process.
c. Actively involve citizens in the development of the Consolidated Plan.
B. Submission of Views and Comments.
1. The City of Miami Beach provides for and encourages the submission of
views and comments regarding the Plan and related amendments, the
annual performance report on CDBG, ESG, HOME, and Section 108 Loan
Guarantee Programs activities by citizens; particularly those of low and
moderate income persons, residents of blighted neighborhoods, and
residents of areas in which federal funds are proposed to be used. Such
views may be submitted as follows: to the City of Miami Beach
Community /Economic Development Department, 1700 Convention Center
Drive, Miami Beach, FL 33139, during the planning period, or at public
meetings and public hearings.
2. However, formal Request for Proposals (RFPs) for the CDBG-funded and
ESG-funded activities will only be accepted during the designated annual
planning phase schedule for the CDBG and ESG programs. This does not
preclude activities recommended by the Administration or CDAC during
the planning phase; however, such will be subject to the same level of
review as all RFPs. In the event that funds are recaptured and/or become
available, the City Administration, with CDAC involvement, will undertake
the Plan amendment process consistent with the applicable Federal
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3
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
regulations. The Plan amendment process is discussed below under section
III. B.
3. Citizen comments and proposals regarding the Plan will be gIven
consideration, and the Plan will be modified if deemed necessary.
C. Public Hearings.
At least two public hearings per program year will be provided to obtain citizens I
views and to respond to proposals and questions. They will be conducted at
different stages of the program year. The first hearing will be for the purpose of
reviewing past program performance and to obtain the views of citizens on housing
and community development needs, including priority nonhousing community
development needs. The second public hearing will be held later in the program
year to address the development of proposed activities. This hearing will be held
after a draft Plan is published but prior to the adoption of the Plan.
These public hearings will be held at times and places which are convenient to
potential and actual beneficiaries and which can accommodate persons with
disabilities. The conference room on the first floor of City Hall, 1700 Convention
Center Drive, Miami Beach may be used for the conduct of these hearings and
satisfies these requirements. Additional locations that satisfy these requirements
may also be used. Non-English speaking residents will be accommodated by the
use of a translator if a significant number are reasonably expected to attend.
Advance notice of all public hearings will be published at least seven working days
before the hearing in the non-legal section of the newspaper. A newspaper of
general circulation, and if deemed necessary, a non-English newspaper, will be
used. Sufficient information will be published about the subject of the hearing to
permit informed comment.
D. Meetings.
Citizens will be provided with reasonable and timely access to local meetings.
Notices of all public meetings will be published before regularly-scheduled
meetings in the non-legal section of the newspaper. A newspaper of general
circulation, and if deemed necessary, a non-English newspaper, will be used.
Advance notice of emergency meetings will also be provided in the non-legal
section of the newspaper as soon as practicable.
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4
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
E. Availability and Dissemination of Program Records and Information.
The City of Miami Beach provides public access to program information and will
undertake affirmative efforts to make information available to citizens, especially
to those of low and moderate income, residents of blighted neighborhoods, and
minorities.
The City of Miami Beach will provide for full and timely disclosure of its program
records and information consistent with applicable federal, state, and local laws
regarding personal privacy and obligations of confidentiality. Documents relevant
to the CDBG, ESG, and HOME Programs and Section 108 Loan Guarantee
Program Application will be made available for citizen review upon request at the
City of Miami Beach Community/Economic Development Department during
normal working hours. Copies of the Citizen Participation Plan, Consolidated
Plan, One Year Action Plan, and annual reports submitted to HUD will be
available for citizen review or distribution at the City of Miami Beach
Community /Economic Development Department upon request.
As determined necessary by the Administration, certain program records and
notices may also be published in a non-English language newspaper of general
circulation in the City of Miami Beach.
A summary of the Consolidated Plan, and if applicable, a summary of the Section
108 Loan Guarantee Program Application, will be published at an appropriate time
in a newspaper of general circulation.
The City will take whatever actions are appropriate to encourage participation of
all its citizens, including minorities, non-English speaking persons, and persons
with disabilities, in all stages of the process. This may include, but not be limited
to, publication of materials, notices, and records in a language other than English,
and the provision of assistance for hearing, sight and mobility impaired persons.
F. Access to Records.
The City will provide citizens, public agencies and other interested parties with
reasonable and timely access to information and records concerning the City's
Consolidated Plan, and the City's use of assistance under the programs covered by
the Plan for the preceding five years. The materials available will include:
Amended & Restated: 1017/98
5
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
Consolidated Plan
Substantial Amendments to the Plan
Performance Reports Submitted to HUD
These materials will be available at the City of Miami Beach City Hall in the C/ED
Department during normal business hours. Persons needing special assistance can
contact the City Clerk's Office and the needed assistance will be provided to enable
access for persons with disabilities. In order that the C/ED Department may
function most effectively, requests for the information and records described above
will be processed, whenever possible, within 48 hours of submission of a written
request. A reasonable copying charge may be assessed for requests by any
individual or group requiring more than 5 sheets of paper per week, except for a
reasonable number of copies of the Consolidated Plan, substantial amendments to
the Plan, the Citizen Participation Plan, or performance reports.
G. Technical Assistance.
The City of Miami Beach Community/Economic Development Department staff
shall provide reasonable technical assistance to citizens so that they may adequately
participate in planning, implementing, and assessing the CDBG, ESG, HOME,
or Section 108 Loan Guarantee programs; the City's Consolidated Plan; Plan
amendments; and the performance reports submitted to HUD. Reasonable
technical assistance shall also be provided to groups of low and moderate income
persons and groups of residents of blighted neighborhoods who request assistance
in developing proposals for, or statements regarding, any of the programs covered
by the Consolidated Plan. Reasonable technical assistance may include the
provision of information or written documents and assistance in preparing RFP's
during the development of the Consolidated Plan, Plan amendments and
performance reports submitted to HUD, CDBG Planning Phase or the preparation
of an application under the Section 108 Loan Guarantee Program, as well as one-
on-one assistance if deemed necessary. Technical assistance will not incluae
providing funds to the groups seeking technical assistance.
H. Complaints.
Any citizen may file a written comment or complaint concerning the Consolidated
Plan, Plan Amendments, and the annual performance report with the City's
Community /Economic Development Department. The C/ED Department will
respond, in writing, to all written citizen complaints within 15 working days,
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
where practicable.
III. The Consolidated Plan.
A. Development of the Consolidated Plan.
1. Prior to adoption of the Consolidated Plan, the City of Miami Beach will
make available to citizens, public agencies and other interested parties a
draft copy of the Consolidated Plan that will include the amounts of
assistance expected to be available including all grants and program
income. Information on the range of activities and the income groups
expected to be served will also be included.
This information will be available in draft form at City Hall in the City
Clerk's office and public libraries located in the City for a period of at least
30 days prior to submission of the Consolidated Plan to the City
Commission for approval. The draft Plan will be available at these
locations during normal business hours. Persons needing special assistance
in receiving these materials may contact the City Clerk's Office for the
needed assistance.
The City will work with the Housing Authority to encourage the
participation of residents of public and assisted housing in the development
of the Consolidated Plan.
2. Publication of a Summary of the Proposed Consolidated Plan.
In order to provide a reasonable opportunity to examine the contents of the
proposed Consolidated Plan and to submit comments, the City will publish
a summary of the proposed Consolidated Plan in a newspaper of general
circulation as well as in a non-English speaking publication. Copies of the
draft Plan will also be available at the C/ED Department office at City
Hall, at the City Clerk's office, and at public libraries located in the City.
A list of the locations of these documents will be included in the summary.
The City will provide a reasonable number of free copies of the draft
Consolidated Plan to groups and citizens upon request.
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
3. Public Hearings.
The City will hold at least two public hearings during the development of
the Plan. The purpose of these hearings is to obtain citizen input and to
respond to proposals and questions. One of the hearings will be held prior
to the development of the draft plan and shall include discussion of the past
years' performance. A subsequent public hearing will be held after a draft
plan is published but prior to adoption of the Plan.
The guidelines for notice of these hearings and the accessibility of the place
and times are set out above under the general requirements for public
hearings.
4. Public Comments.
During the development of the Plan, a 30-day period for citizen comments
will be provided. The City will consider any comments or views of
citizens received in writing, or orally at the public hearings, in preparing
the final Consolidated Plan. A summary of the public I s views and
comments, and a summary of any comments or views not accepted, and the
reasons therefor, will be attached to the final Plan.
S. Displacement of Persons.
The City will use its best efforts to minimize the displacement of persons
in connection with activities covered by the Plan, and to assist those
persons displaced, even though the City expects no displacement to occur.
In the event that any displacement of persons is expected to occur, the City
will notify the public of the exact plans to minimize displacement and assist
those persons displaced, specifying the types and levels of assistance made
available by the City or by others as required by the City. Notification will
be by publication in the non-legal section of the newspaper. A newspaper
of general circulation, and, if deemed necessary, a non-English newspaper,
will be used.
B. Amendments to the Consolidated Plan.
The City will amend the Consolidated Plan whenever one of the following
decisions is made:
(1) To make a change in allocation priorities or a change in the method of
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
distributing funds;
(2) To carry out an activity, using funds from any program covered by the
Plan (including program income), not previously described in the One Year
Action Plan; or
(3) To change the purpose, scope, location or beneficiaries of an activity.
Only certain amendments to the Plan are considered "Substantial Amendments"
which are subject to the citizen participation process. The following criteria are
used by the City to determine if a change to the City's planned or actual activities
constitutes a Substantial Amendment to the Consolidated Plan:
(1) a change in the use of CDBG funding from one eligible use to another;
(2) if the service area, budget or beneficiaries is changed so that 50% or more of
the intended beneficiaries are no longer able to benefit from the Project. This
does not include a budgetary change in a direct benefit or other project where
a service or other benefit is available so long as funds are available;
(3) if the location of the project is changed so that 50% or more of the intended
beneficiaries are no longer able to benefit from the project; or
(4) if the project's location or eligible recipients are changed so that 50% or more
of the intended beneficiaries are no longer able to benefit from the project.
If the City determines that a proposed amendment will constitute a Substantial
Amendment to the Plan, citizens will be provided with reasonable notice and an
opportunity to comment on the proposed Substantial Amendment prior to
implementing the Substantial Amendment. A 30-day public comment period will be
announced by publication in the non-legal section of the newspaper. A newspap'er
of general circulation, and, if deemed necessary, a non-English newspaper, will be
used. Comments should be addressed orally or in vvriting to the ClEO Department.
The City will consider any comments or views received in writing or orally during
any public hearings in preparing the Substantial Amendment. A summary of the
views and comments, and a summary of any comments or views not accepted, and
the reasons therefor, will be attached to the Substantial Amendment to the Plan.
Upon adoption of any amendment to the Plan, the City will make the amendment
public by filing it with the City Clerk's office.
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
C. Performance Reports Submitted to HUD.
The City will provide citizens with reasonable notice and an opportunity to
comment on performance reports submitted to HUD. Notice of the availability of
performance reports for review will be placed in the non-legal section of the
newspaper. A newspaper of general circulation, and if deemed necessary, a non-
English newspaper, will be used. There will be a I5-day comment period during
which citizens may comment on the performance report prior to its submission to
HUD. The City will consider any comments or views received in writing or orally
during any public hearings in preparing the performance report. A summary of the
views and comments, and a summary of any comments or views not accepted, and
the reasons therefor, will be attached to the performance report.
IV. Community Development Advisory Committee.
A. Purpose and Function of the Committee.
The Community Development Advisory Committee (CDAC or the Committee)
shall serve as an advisory body to the C/ED Department staff and City
Commission on housing and community development issues, representing all
residents of Miami Beach especially those directly affected by the Consolidated
Plan. The role of the CDAC is to provide input regarding all phases of the
housing and community development program, and to effectuate and encourage
citizen participation from all individuals, especially low and moderate income
persons and residents of Community Development target areas.
The advisory services of the CDAC include, but are not limited to, the formation
of the Plan; however, the Committee or its officers will have no powers to make
administrative decisions nor direct staff actions. The Committee shall facilitate
community involvement regarding Community Development activities and shall
serve as a forum to hear citizen concerns, priorities, views and proposals.
The Community/Economic Development Department Director or their designee
shall provide technical assistance to the Committee and shall be the liaison between
the Committee and the City Administration.
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
B. General Requirements for Membership on CDAC.
1. Composition.
The composition of the CDAC shall comply with ordinance 97-3086,
Agencies, Boards and Committees, as same may be amended from time to
time. The Committee shall be composed of eleven appointed members.
Seven of the appointees are direct appointments of the Mayor and the City
Commissioners and must either be a resident of, or demonstrate
ownership/interest in a business established in, a locally designated
Community Development target area for a minimum of two (2) years (see
attached maps). The remaining four members shall be appointed at large
by all Commissioners.. The four at large members must either be a
resident of, or demonstrate ownership/interest in a business established in,
the City for a minimum of two (2) years.
These at large members shall be appointed to represent city-wide concerns,
and should be selected on the basis of their ability to provide expertise in
areas of relevance to the Community Development program (e.g. planning,
law, real estate, social work, etc.). However, no CDAC member may
submit an application for any CDBG, ESG, HOME, or Section 108 Loan
Guarantee funded assistance on any property or business in which they own
or retain an interest. In making their appointments, the Commission should
also take into consideration the need for representation of low and moderate
income persons, minority citizens, and residents of slum and blighted areas.
No City of Miami Beach employee nor an appointed or elected official
directly involved with the utilization or approval of Community
Development funds and/or expenditures is eligible for membership on the
CDAC.
Members shall not be in conflict of interest as outlined below. Moreover,
neither CDAC members nor firms who employ CDAC members may
provide consulting or other services to sub-recipients.
2. Conflict of Interest.
CDAC members must comply with all federal regulations, specifically
those listed under 24 CFR 570.611 for the CDBG Program, 24 CFR
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
92.356 for the HOME Program, 24 CFR 576.57(d) for ESG Program,
Florida Statutes 112.3143 (1989), and City of Miami Beach Ordinance 97-
3086, governing Agencies, Boards and Committees, which addresses
conflicts of interest, as same may be amended from time to time, and any
other laws, regulations or ordinances affecting conflicts of interest. See the
attached conflict of interest regulations and ordinances.
All City of Miami Beach and/or HUD Legal Opinions concerning CDAC
Conflicts of Interest will be followed.
3. Vacancies.
Vacancies which may occur on the Committee shall be filled by a City
Commission appointment, consistent with Section IV -B-1 above entitled
"Composition" and ordinance 97-3086. The City Manager will give
advance notice to the City Commission, by notification in the agenda, of
any vacancies on the CDAC.
4. Term of Appointment.
The term of appointment shall be for two years, from January 1st through
December 31st. Committee members may succeed themselves.
Appointments for the two-year term will be made by the City Commission
in January, with vacancies filled as soon as possible in order to maintain
continuity. Direct appointees may serve for no more than eight (8)
consecutive years, and at-large appointees may serve for no more than six
(6) consecutive years.
C. Meetings
1. Compliance with Sunshine Amendment Requirements.
All meetings of any board or commission of a municipal corporation at
which official acts are to be taken are declared public meetings and open
to the public at all times, and no rule, resolution or formal action shall be
considered binding except as may be taken at such meeting. All CDAC
meetings will comply with the requirements of Florida's "Sunshine
Amendment" and will be held in the open. Please see the attached
Summary of the Sunshine Amendment requirements.
Amended & Restated: 10/7/98
12
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
2. Meeting Notices and Scheduling.
The Community/Economic Development Department Director, with input
from the CDAC Chairperson, will set the time and place of meetings.
Regular and special purpose meetings may be held at the City of Miami
Beach City Hall, located at 1700 Convention Center Drive, which is a
facility located in a designated Community Development (low/moderate
income) target area, and is accessible to the handicapped. Members of the
community are encouraged to attend the CDAC meetings.
Regular meeting notices shall be provided in advance of said meeting. In
the case of a special meeting, a notice will be made as early as possible in
advance of such meeting, by personal communication. The C/ED
Department will make every effort to provide appropriate assistance with
the mailing of meeting summaries, agendas and notices.
3. Regular Meetings.
The CDAC will hold public meetings to discuss and provide
recommendations on the proposed use of funds by the City of sub-recipient
organizations and to give citizens the opportunity to (i) express needs and
comments and (ii) submit proposals for consideration by the Committee.
Committee meetings will be held at least once every two months or as
needed, and will be coordinated with the schedule for the preparation of
funding recommendations for the CDBG and/or ESG component of the
Plan. A tentative schedule of the Community Development process for the
City of Miami Beach will be made available by the Administration at the
earliest possible meeting of each calendar year.
In order to ensure representation from individuals residing in affected
Community Development target areas, the Administration, in conjunction
with CDAC, may hold neighborhood meetings/hearings to obtain input
directly from those affected; however, CDAC attendance is not mandatory
at these special meetings.
4. Annual CDBG, ESG and HOME Planning Phase Meetings.
The City Administration will determine the annual costs necessary to
Amended & Restated: 10/7/98
13
CITY OF MIAMI BEACH - CITIZEN P ARTICIP A TION PLAN
administer the CDBG, ESG and HOME Program, subject to the caps
described above. Also the Administration will determine the annual
funding necessary to meet the required housing and community
development needs and goals in accordance with the criteria established by
HUD. These funds must comply with the Plan. The CDAC will support
no less than the minimum funding necessary to achieve these goals. The
CDAC will then be asked to review the written RFPs from all
organizations, in order to recommend funding levels for eligible CDBG and
ESG activities. Annual funding decisions are determined each year and are
promulgated in a One Year Action Plan, in accordance with the
Consolidated Plan.
The citizens will be advised of:
(i) the annual CDBG, ESG and HOME grant amounts anticipated;
(ii) the proposed amount of Section 108 Loan Guarantee Program
Assistance;
(iii) estimated program income;
(iv) the proposed low/moderate income benefits once a Plan or Section
108 Loan Guarantee Program application has been developed; and
(v) proposed CDBG/Section 108 activities likely to result in
displacement (if any) and the types and levels of assistance the
grantee will make available to displaced persons, if any.
Further, citizens will be apprised of any items as specified in the National
Affordable Housing Act of 1990, Public Law 101-625, the Housing and
Community Development Act of 1974 as amended, and applicaole
regulations for the above.
During the final stages of the annual planning process for the allocation of
federal funds, the CDAC will invite the Mayor and City Commissioners to
attend the final meeting with the City Manager, so that the City
Commission Members may be apprised of the CDAC's reasons for their
citizen recommendations.
Amended & Restated: 10/7/98
14
CITY OF MIAMI BEACH - CITIZEN P ARTICIP A TION PLAN
The CDAC will request of the Mayor and City Commission, that following
the annual final public hearing on the One Year Action Plan, that the
Commission allow the CDAC Chairperson or their designee, to have the
opportunity to present the majority position of the CDAC to the City
Commission before the Commission adopts the federal funding
recommendations.
D. Additional Requirements.
Additional requirements governing the operation of the CDAC, including
provisions on positions within the CDAC, minimal requirements for a quorum and
voting, and absences and removal, among others, are set out in City of Miami
Beach ordinance 97-3086, which is attached to this Citizen Participation Plan, and
in the handbook provided to CDAC members.
F:IDDHPI$ALL ICHER YL ICDACIP ARTICIPICPP. WPD
Amended & Restated: 10/7/98
15
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
ATTACHMENT A
COMMUNITY DEVELOPMENT TARGET AREAS
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
ATTACHMENT B
ORDINANCE 97-3086 - AGENCIES, BOARDS AND COMMITTEES
ORDINANCE NO.
97-3086
AN ORDINANCE OF THE IV(A YOR AND CITY COMMISSIO~ OF
THE CITY OF MIA1"1I BEACH, FLORIDA, RELA TING TO
GO\ "ER,"MENTAL ORGANIZATION, AMENDING THE MIA;vlI BE.-\CH
CITY CODE SO AS TO CREATE A NE\V CHAPTER ENTITLED
"AGENCIES, BOARDS, AND COMMITTEES"; CREATING SECTION 1.1
ESTABLISHING THE BARRIER-FREE ENVIRONMENT COMMITTEE;
CRE.-\. TING SECTION 2.2 ESTABLISHING THE BEAUTIFICATION
COiH:VilTTEE; CREATING SECTION 2.3 ESTABLISHING THE BUDGET
ADVISORY COMMITTEE; CREATING SECTION 2.4 ESTABLISHING
THE y[JAMI BEACH COMMISSION ON THE STATUS OF WOMEN;
CRE.-\. TING SECTION 2.5 ESTABLISHING THE COMl\tHJNITY
DEv"ELOPMENT ADVISORY COMMITTEE; CREATING SECTION 2.6
ESTABLISHING THE COMMUNITY RELATIONS BOARD; CREATING
SECTION 2.7 ESTABLISHING THE COl'fVENTION CENTER ADVISORY
BOARD; CREATING SECTION 2.8 ESTABLISHING THE F AsmON, FILM,
TELEVISION Al'H) RECORDING COl\1MITTEE; CREATING SECTION 2.9
ESTABLISHING THE GOLF ADVISORY COMMITTEE; CREATING
SECTION 2.10 ESTABLISHING THE HEALTH ADVISORY COIHlVIITTEE;
CREA TING SECTION 2.11 ESTABLISHING THE HEAL TH FACILITIES
AT.TTHORITY; CREATIl'iG SECTION 2.12 ESTABLISHING THE HrSP.~,lC
A.FFAIRS COL\1lVIITTEE; CREATING SECTION 2.13 ESTABLISHING THE
COrvnllTTEE ON THE HOMELESS; CREA TING SECTION 2.14
ESTABLISHING THE LOAi'i REVIE\V COl\1MITTEE; CREATP.\iG
SECTION 2.15 ESTABLISHING THE ~"E AUTHORITY; CREATING
SECTION 2.16 ESTABLISHING THE NUISAl'iCE ABATEIHE~"T BOARD;
CREA TING SECTION 2.17 ESTABLISHING THE PARKS Al~"D
RECREATIONAL FACILITIES BOARD; CREATING SECTlON 2.18
ESTABLISHING THE PERSON1'"EL BOARD; CREATIl'iG SECTION 2.19
ESTABLISHING THE POLICE/CITIZEN RELATIONS COl\'IMITTEE;
CREA TING SECTION 2.20 ESTABLISHING THE SAFETY
COMMITT~E; CREATING SECTION 2.21 ESTABLISHL'iG THE CITY
OF MIAMI BEACH, FLORIDA SISTER CITIES PROGR4.l'1; CREATING
SECTION 2.22 ESTABLISHING THE TOURIST AND CO~y"ENTION
CENTER EXPANSION AUTHORITY; CREATING SECTION 2.23
ESTABLISHING THE TRl\NSPORTA TION A~"D PARKING
COMMITTEE; CREATING SECTION 2.24 ESTABLISHING THE YOUTH
CENTER ADVISORY BOARD; ESTABLISHING SAID BODIES, SETTING
FORTH GOVER'{ING REGULATIONS APPLICABLE TO AGENCIES,
BOARDS, AND COMMITTEES, ESTABLISHING RELEVANT
LEGISL4~TrVE AMENDMENTS, INCLUDING REPEALER (\"'HERE
APPROPRlA TE), PROvlDING FOR CODIFICATION, SEVER~BrLITY,
AND AN EFFECTIVE DATE.
NOW, THEREFORE, BE IT ORDAINED BY THE MA YOR AND CITY
COMMISSION OF THE CITY qF MIAMI BEACH, FLORIDA:
1
,
SECTION 1. That the Miami Beach City Code be amended to include a chapter entitled "Agencies,
Board, and Committees", said chapter to read as follows:
CHAPTER:
AGENCIES, BOARDS AND COMMITTEES
Table of Contents
I. GENERAL PROVISIONS
Sec. 1.1
Applicability
Sec. 1.2
General Requirements
See. 1.3
Miscellaneous Regulations
Sec. 1.3.1
Servin~ on More Than One A~encv. Board or
Commission Prohibited
A:encv. Board and Commission members _
Termination of Office
Prohibitin~ service on citv boards bv certain
persons or emplovees
Representative appearance before a:encv. board
or commission bv former member prohibited for
Sec. 1.3.2
See. 1.3.3
See. 1.3.4
one vear
.
2
-~:"1-
r
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
2.11
2.12
2.13
2.14
2.15
2.16
2.17
2.18
2.19
2.20
2.21
2.22
2.23
2.24
II. AGENCIES, BOARDS AND COMMITTEES
Sec. No.
2.1
Barrier-Free Environment Committee
Beautification Committee
Budget Advisory Committee
Miami Beach Commission On The Status Of Women
Community Development Advisory Committee
Community Relations Board
Convention Center Advisory Board
Fashion, Film, Television and Recording Committee
Golf Advisory Committee
Health Advisory Committee
Health Facilities Authority
Hispanic Affairs Committee
Committee On The Homeless
Loan Review Committee
Marine Authority
Nuisance Abatement Board
Parks and Recreational Facilities Board
Personnel Board
Police/Citizen Relations Committee
Safety Committee
City of Miami Beach, Florida Sister Cities Program
Tourist and Convention Center Expansion Authority
Transportation and Parking Committee
Youth Center Advisory Board
2.2
* * *
..
,)
1. GENER<\L PROVISIONS'
g 1.1 Applicability
Unless where otherwise stated within this Ordinance, this Chapter shall have applicability
to all agencies, boards and committees of the City of Miami Beach (including those related to the
Miami Beach Redevelopment Agency) except for tho3c .1gcncic3, bO;lfC3 or comm~r:cc3 ..".'hich .1i....~
the provisions in Article r of this Ordinance shall applv to the following a!!encies. boards or
committees onlv in those instances in which the applicable legislation or COntract are silent
concemin!! a matter set forth within said Article r:
- governed by federal, state or county law;
- created by contract;
- relate to land use issues; I
- relate to pension funds;
- referred to as "Commission Committees" (on which City Commissioners serve as
members); or
- exempt from certain provisions of this Chapter as set forth herein.
g1.2. General Requirements
Except as other;.vise specifically provided:
a) PJI agencies, boards and committees shall express a statement of their bodies'
purpose.
b) PJI agencies, boards and committees shall appoint a chairperson and a vice-
chairperson (or chair shall be appointed by Mayor in cases dealing with a "Mayor's
,Board or'Committee).
c) The enabling legislation for all agencies, boards and committees shall contain
qualifications for membership as to knowledge, and experience.
d) Members of agencies, boards and committees shall be affiliated with the CitY of
Miami Beach; this requirement shall be fulfilled in the following ways:
I) an individual shall have been a resident of Miami Beach for a minimum of
two (2) years; or
2) an individual shall demonstrate ovmership/interest for a minimum of two (2)
years in a business established on Miami Beach for a minimum of rnro (2)
years.
I See, City of Miami Beach Zoning Ordinance.
4
Exceptions to d(l) and d(2) shall only be permitted if it is determined by the Miami
Be3ch City Commission that an agency, board or committee requires the membership
of an individual with a specific position, knowledge, experience, or expertise not
available in another individual who may otherv.rise comply with the terms of d( I)
and/or d(2).
e) All "Ad Hoc" agency, board and committee terms shall be one year; all other
agency, board and committee terms shall be two (2) years, expiring on December 31
and commencing on January 1.
1) Members appointed by individual City Commissioners (hereinafter "direct
appointees") to a specific agency, board or commiaee shall serve for no more
than eight (8) consecutive years on said agency, board or committee.
2) Members appointed by the City Commission as a whole (hereinafter "at-large
appointees") to a specific agency, board or committee shall serv-e for no more
than six (6) consecutive years on said agency, board or committee.
Term limits set forth in subsections (1) and (2) hereinabove shall be measured retroactively
from an individual's initial appointment to membership on a specific agency, board, or
commmee.
f) .A..n individual member can serve as a chairperson of a specific agency, board or
committee for no more than four (4) consecutive years.
g) All agency, board and committee terms shall be staggered upon initial appoint.'11ent
by the City Commission.
h) All agencies, boards and committees shall be supported by a City deparunent. The
supporting department shall make everv' effort to provide appropri.ate assistance 'Nith
the mailmg of meeting summaries, agendas and notices.
i) Tn the event that any member of an agency, board or committee fails to attend three
(3) regularly scheduled meetings per year or 25% per year of the scheculed meetings,
whichever is greater, said member shall be automatically removed.
j) During meetings, a standard sign-in register must be completed bymembers of
agencies, boards or committees. If there is not a quorum to conduct agency, board
or committee business attendance and absences must other'Nise be recorded_
,
k) Attendance shall be recorded when an individual arrives within thirty (30) minutes
of the scheduled meeting time and remains for at least 70% of the meeting.
1) All agencies, boards and committees shall meet at least once quarterly, unless
ot~erwise indicated in this Chapter.
5
m) The chairperson or hislher designee shall bi-annually submit a completed vvTitten
report form (supplied by che Cicy Administration) to the City Commission and City
Manager. Additionally, che chairperson or hislher designee shall annually presenc an
oral report to the Commission and City Manager. The contents of both the report
form and the oral report shall be approved by the submitting ag~:1cy. board or
comrnitte~ prior to the presentations.
n) Upon appointment, individuals shall receive an explanation of the Go\'emrnenc in the
Sunshine Law, public records law, conflict of interest policy, mission statement
attendance requirements, and ocher pertinent information.
0) . \,:f71in:i3::.:.ti','c pa30nnd [ndividuals serving on an agency board or comrnitteMheH
~ as rwr: \oti:lg ex-officio members shall be non-voting members.
p) The issue of conflict of interest/abstention impairs an individual's abilicy to be an
effective member of an agency, board or committee. Members of any City agency,
board or committee shall abide by the applicable provisions of Florida Statutes,
Chapter 112; Metropolitan Dade County Code Chapter 2, and Code of City ofMiarni
Beach Chapter 2, Article III, thereof, and any other applicable provisions of law,
regarding conflicts of interest.
q) Members of the commlL."1icy shall be encouraged to attend agency, board and
cOIILrnittee meetings.
r) Members of agencies, boards and committees shall be encouraged to make
recommendations for the filling ofyacancies on their respective bodies.
g 1.3 l\iIisceIlaneous Regulations.
g1.3.1 Servin~ on More Than One A~encv. Board or Committee Prohibited.
No person shalr'be appointed or elected to, or serve on, more than one agency, board or
committee of the Cicy whether such agency, board or commission is now existing or hereafter
created or constituted under u.1e State Constitution, act oflegislarure, the Charter of the City, or any
ordinance or resolution ofche Cicy Commission. i\ny person hereafter appointed or elected to'ind
accepting appoL."1tment or election to more than one agency, board or comJnirree, whether appointive
or elective, shall be deemed to have forfeited forthwith all appointment or election to any and all
prior agencies, boards or cOlTh'11ittees in which he shall have been a member.
This Section shall not apply to City employees who are appointed or elected to Cicy agencies,
boards or committees which pertain to Cicy personnel or City pension funds, nor sha!! this section
prohibit a Cicy ag:encv, board or committee member from servinQ; on another City ag:encv, board orE- .. _.# - ..
,committee when ~uch service by persons holding a particular board membership is required by law
or by contract, nor shall this section prohibit a person from serving on more chan one agency, board
6
or committee when such other membership(s) is on an agency, board or committee designated as
"Ad Hoc" which is defined as an agency, board or committee which is created to carry out a
specified task to be accomplished within a stated time period (not to exceed one year) at which time
it automatically ceases to exist, or when such other membership(s) is on an agency, board or
committee created by the Mayor as a "Mayor's Board or Committee".
g1.3.1 A~encv, Board and Committee members - Termination of Office.
(a) Expiration of terms.
All persons serving on city agencies, boards or committees shall cease to hold office when
a successor is duly appointed, or sixty days after expiration of the term of their ofrlce (as said term
is specified in the ordinance, resolution or other law creating said office) whether or not a successor
has been appointed, whichever occurs first, and such persons shall at that time cease to exercise any
rights, power or prerogatives of office.
(b) Exceptions.
1. This section shall not apply to persons appointed to serve for a specified term "and
until a successor is appointed" (or words to that effect); such persons shall continue to serve until
reappointed or a successor is appointed by the City Commission.
2. This section shall not apply to any agency, board, committee, commission or
authority governed by federal, state or county law.
- ------ -. . -'
r{cr-Notification _()J~acancies.
The city manager shall give advance notice to the Miami Beach City Commission, by
notification in the agenda, of any and all future vacancies affected by tills section.
gl.3.3 Prohibitin~ service on citv boards bv certain persons or emplovees,
(a) Legislative purpose.
The city commission of the City of Miami Beach finds that certain individuals are serving
or have served on city agencies, boards and committees which concern themselves with municipal
functions in which members of their immediate family are employed. The city commission believes
that such situations can create needless controversies and conflicts among city employees, certain
agency, board and committee recommendations, lead to potential abuses of the city's personnel
system and inhibit open discussion of personnel and related issues. These dangers exist for agencies,
boards and committees which exercise delegated powers of the city, and for advisory agencies,
boards and committees which offer recommendations to the city ma..'1ager or the city comtnission.
This section is designed to prohibit such situations from arising in the future.
(b ~_.Pro_hi_~itioo.
No person or city employee shall hereafter be appointed or elected to serve on any agency,
board or committ~e of the city which supervises, monitors, advises, has responsibility over, or makes
7
recommendations with respect to, any city department, division, office or administrative function
which employs, either within the claSsified system or as an independent contractor, that person, that
person's spouse, parent, child, brother or sister, Any person appointed or elected in violation of this
section shall be automatically disqualified from so serving.
!
g1.3.4 Reoresent:ltive :lppearance before a~encv. board or committee bv former
member prohibited for one vear.
No person who has served upon any city advisory agency, board or committee, the zoning
board of adjustment, the pension board or the personnel board, may appear, in a representative
capacity, before such agency, board or committee of which he has been a member, for a period of
one year following the cessation of his membership thereon.
II. AGENCIES, BOARDS AND COlVIMITTEES
The follo'Ning portion of this Chapter sets forth the City of Miami Beach's agencies, boards
and committees, including their respective purposes, powers and duties, composition, City
affiliation requirements, attendance and terms.
#-
J
8
Sec. 2.5
COMMUNITY DEVELOPMENT ADVISORY COMMITTEE
--
')
Sec.2.5.l There is hereby established the Community Development Advisory Committee
whose purposes, power and duties, composition, membership qualification and general governing
regulations are as [0 11 0 \....s.
Sec. 2.5.2 PURPOSE: (per Citizen Participation Plan, adopted by Resolution #95-2 I 538):
The Communir:v' Development Advisory Committee (CDAC) shall serve as an advisory body,
representing all residents of Miami Beach especially those directly affected by the Consolidated Plan
which 'Will encompass CDBG, HOME, and ESGP funds, and the Section 108 Loan Guarantee
Program, to provide input regarding all phases of the Community Development Program, and to
effectuate and encourage citizen participation from all individuals, especially low and moderate
income persons a..'1d residents of Community Development target areas. In order to ensure
representation from individuals residing in affected CDBa target areas, the Administration in
conjunction with the CDAC, may hold neighborhood meetings/hearings to ob~ input directly from
those affected; however, CDAC attenda.."lce is not ma.."ldatory at these special meetings.
.
Sec. 2.5.3 PO\VERS MTI DUTIES: The Community Development Advisor:y COwnllrree shall
serve as an advisory body to tlJe Econorric and Community Development Division staff and City
Commission to include but not be limited to the formation of t.i.e Consolidated Pla..'1; however, the
COrIlII'jnee or their officers will have no powers to make administrative decisions nor direct staff
actions. Tne Committee shall facilitate community involvement regarding Community Development
activities and shall serve as a forum to hear citizen concerns, priorities, views, and proposals.
See, 2.5.4 COMPOSITION: The Community Development Advisory Corr.mittee shall be
composed of eleven (I 1) appointed members. Seven (7) members shall be "direct appointments";
the remaining four (4) members shall be appointed "at large".
Sec. 2.5.5 CITY AFFILIA nON: The seven (7) direct appointees shall fulfill the City
Affiliation requirement in either of the following ways:
a) An individual has been a resident of a locally designated Community Development
target area for a minimum of two (2) years.
b) An individual can demonstrate o\NTIership/interest for a minimum of two (2) years in a
business established in a locally designated Communit,Y Development target area for a
minimum of CWo (2) years.
I
,I
IS
The four (4) at-large appointees shall fulfill the City Affiliation requirement in either of the
following ways:
a) An individual has been a resident of Miami Beach for a minimum of tlNO (2) years.
b) An individual can demonstrate ownership/interest for a minimum of tv.'o (2) years in a
business located on Miami Beach for a minimum of two (2) years.
Sec. 2.5.6. I(.1\.lOW1.EDGE AND EXPERlENCE: The at-large members shall be appointed to
represent city-wide concerns, and should be selected on the basis of their ability to provide expertise
in areas of relevance to the Community Development Program (e.g. planning, law, re~ estate, social
work. etc.). However, no CDAC member may submit an application for any CDBG, HO!vfE, ESGP,
or Section 108 Loan Guarantee funded assistance on any property or business that they O'WTI or retain
an interest in. In making their appointments, the Commission should also take into consideration
the need for representation of low and moderate income persons, minority citizens, a.."1d residents of
slwn and blighted areas.
SUPPORTING DEPARTMENT:
Design, Development and Historic Preservation.
.. .. ..
16
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
CDBG CONFLICT OF INTEREST REGULATION
24 CFR 570.611
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
CDBG CONFLICT OF INTEREST REGULATION
24 CFR 570.611
~ 570,611 Contlict of interest.
(a) Applicabilitv, (1) rn the
procurement or, suppliesl
eqUIpment, construcllon, ana
services by recIpIents, and bv
~ubrecipients" ,tlie .contlict of
Ulterest proVlSlOns Ul 24 CFR
85,36 and 24 CFR 8442
re~ectively, shall apply, "
(2) rn all_~es not goveme~ by 24
CFR 8),.)6 ana 84.4_, the
provisions of this section shall
apply,. ,Such c~es include the
acqUIslllon and diSposlllon of real
property and the provision of
assIstance by the recipient or bv its
subrecipients to individUals,
busmesses or other private entities
under eligible activities that
authorize such assistance (e.g..
rehabilitation, preservation, and
other improvements of private
ErqQernes or facilities pursuant to
g57D.202; or grants, loans and
other assistance to businesses,
individuals and other Jlrivate
entities pursuant to ~~57D.203,
570.204 or 570.4'55, or
570.703(i)).
(b) Coriflicts prohibited. The
general rule is that no persons
des~bed in paragraph (c) of this
sectlon who exerClSe or have
exercised anv functions or
re~onsibilities' 'With respect to
CDBG activities assisted under this
part, or who are in a position to
parocipate in a decisi9n m,aki,ng
process or to gam InSIde
mformation 'With regard to such
activities, mav obtam a financial
interest or' benefit from a
CD8G-assisted activity, or have a
financial interest in any contract,
subcontract, or agreement with
.,
- See footnote l at )570.:00(aX5),
respect to a CDBG-assisted
aCllvity or with respect to the
proceeds of the CDBG assisted
activity, either for themselves or
those . with whom they have
business or immediate family ties,
during their tenure or for one year
thereafter, For the UDAG program.
the above restrictions shalf apply to
all activities that are a part of the
UDAG project, and shalf cover any
fUlancial interest or benefit durin~,
or at any time after, such person s
tenure.
(c) Persons covered. The contlict
at interest provisions of paragraph
(b) of this .section apply to any
person who IS an employee, agent.
consultant, officer. or elected
official or appointed official of the
recipient, or of any desi~ated
public agencies, or orsubreclpients
that are receiVIng funds under this
part.
(d) Exceptions. Upon the written
request of the ~eciplent, HUI? ~y
gI}lIlt an e~llon to the provlSlons
ofpar:agraph (b) of this section on a
case-by~ase basis when it has
satisfactorily met the threshold
req~emen~ of. (d)(l) of this
sectlon, taking mto account the
cwnulatiye effects of paragraph
(d)U2) of this section.
Q Threshold requirements. HUD'
WI consider an exception only
after the recipient has provided the
following docurnentatlon:
(i) A disclosure of the nature of
the conflict, accompanied by an
assurance that there has been public
disclosure of the conflict and a
description of how the public
disclosure was made; and
(ii) An opinion of the recipient's
attorney diat the interest for which
the exc~tion is sou@t would not
violate State or local law.
(2) Factors to be considered for
exceptions. In determining whether
to grant a recwested exception after
the recipient has satisfactorily met
the reQ!li.J:ements of _Ql!!:..agraph
(d)(l) oT this section, HUD shall
conclude that such an excepllon
will. serve to further the_purposes of
the Act and the effective and
efficient administration of the
recipient's program or proj~ct,
taking into account the cwnulanve
effect of the following factors, as
ap'p'licab Ie:
(I) Whether the exception would
provide a sig;nificant cost benefit or
an essentiaf degree of e:qJertise to
the program or project iliat would
otherwise not be available;
(ii) Whether an opportunity ,was
pro~ded for open compennve
bldding or negollJllOn;
(iii') Wnether the person affected is
a member of a group or class of
low- or moderate-Ulcome persons
intended to be the beneficiaries of
the assisted activity, and the
exception will pennit such person
to receive general Iv the same
interests or oenefits' as are being
made available or provided to the
group or class:
(iv) Whether the ::tffected person
has withdravm from his or her
functions or responsibilities. or the
decisionmaking process with
resp~ct ,to the, specific assisted
acuvltv Ul quesllon:
(v) Whether the interest or benefit
was present ~efore the, affected
gerson was Ul a poslnon as
described in paragraph (b) of this
secllon:
(vi) Whether undue hardship will
result either to the recipient or the
person affected when weigtled
a~t the public interest serveii by
avoiding the prohibited conflict;
and
(yii) . Any other relevant
conSIderations.
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
ESG CONFLICT OF INTEREST REGULATION
24 CFR 576.57(d)
g 576,57 Other Federal requirements.
(d) Conflicts of interest. In
addition to the conflict of interest
requirements in OMB Circulars A-102
and A-llO, no person-
(l)(i) Who is an employee, agent,
consultant, officer, or elected or
appointed official of the grantee, State
recipient, or nonprofit recipient (or of
any designated public agency) that
receives emergency shelter grant
amounts and (ii) who exercises or has
exercised any functions or
responsibilities with respect to assisted
activities, or
(2) Who is in a position to
participate in a decision making
process or gain inside information with
regard to such activities, may obtain a
personal or financial interest or benefit
from the activity, or have an interest in
any contract, subcontract, or
agreement with respect thereto, or the
proceeds thereunder, either for him or
herself or for those with whom he or
she has family or business ties, during
his or her tenure, or for one year
thereafter. HUD may grant an
exception to this exclusion as provided
in g570.611 (d) and (e) of this chapter.
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
HOME CONFLICT OF INTEREST REGULATION
24 CFR 92.356
9 n.J56 Cootliet of intere~t.
(a) Applicability In the
procurement of property and services
by participating jurisdictlons, State
recipients, and subreclplents, the
conthct of interest proVlslOns in 24
crn 85,36 and 24 CFR 8442,
re~"pectively, apply, In all cases not
governed by 24 CrR 85.36 and 24
CFR 84.42, the provision.;; of cJus
section apply,
(b) Conflicts prohiblled. ~o
persons described In paragraph (c) or'
this section who exercise or have
exercised any functions or
re~"ponsibilities with respect to
activities assisted with HOME funds or
who are in a position to partiCIpate m
a decisionmaking process or gam
inside information with regard to these
activities, may obtain a financial
interest or benefit from a
HOME.:!Ssisted activity, or h:lve an
interest in any contract, subcontract or
agreement with respect thereto, or the
proceeds thereunder, either for
themselves or those with whom they
have family or business ties, during
their tenure or for one year thereafter,
(c) Persons covered. The conilict
of interest provisions of paragraph (b)
of this section apply to any person who
is an employee, agent, consultant,
officer, or elected official or appointed
official of the participating jurisdiction,
State recipient, or subrecipient which
are receiving HOME funds,
(d) Exceptions: Threshold
requirements, Upon the written
request of the participating
jurisdiction, HUD may grant an
exception to the provisions of
paragraph (b) of this section on a
case-by-case basis when it determines
that the exception will serve to further
the purposes of the HONtE lnvestment
Partnerships Program and the effective
and efficient administration of the
participaung jurisdiction's program or
project. An exception may be
consIdered only ;Uter the participating
jurisdiction has provided the
tallowmg:
(1) A disclosure of the nature of
the conthct, accompanied by an
assurance that there has been public
disclosure of the conthct and a
description of how the public
disclosure was made; and
(2) An op1l1lon of the
participating jurisdiction's or State
recipient's anorney that the interest tor
which the exception is sought would
not violate State or local law,
(e) Factors to be considered/or
e;r:;eptions, In determining whether to
grant a requested exception after the
participating jurisdiction has
satistactorily met the requirements of
paragraph (d) of this section, HUD
will consider the cumulative effect of
the following factors, where
applicable:
(1) Whether the exception would
['ro"ide a significant cost benefit or an
essential degree of expertise to the
program or project which would
otherwise not be available;
(2) Whether the person affected is
a member of a group or class of
low-income persons intended to be the
beneficiaries of the assisted activity,
and the exception will permit such
person to receive generally the same
interests or benefits as are being made
a vailab Ie or provided to the group or
class;
(3) Whether the affected person
has withdrawn from his or her
functions or responsibilities, or the
decisionmaking process with respect
to the specific assisted activlty in
question;
(4) Whether the interest or benefit
was present before the affected person
was in a position as described in
paragraph (c) of this section;
(5) Whether undue hardship will
result either to the participating
JUI1sdiction or the person affected
when weighed against the public
interest served by avoiding the
prohibited conthct; and
(6) Any other relevant
consideration.;;,
(1) Owners and Developers. (1)
No owner, developer or sponsor of a
project assisted with HOtvtE funds (or
officer, employee, agent, elected or
appointed official or consultant of the
owner, developer or sponsor) whether
private, for pro tit or non-profit
(including J community housing
development orgaruzation (CHDO)
when JCting as an owner, developer or
sponsor) may occupy a
HOtvtE.assisted affordable housing
unit in a project This proVlsion does
not apply to an individual who receives
HOtvtE funds to acquire or rehabilitate
his or her principal residence or to an
employee or agent of the owner or
developer of a rental housing project
who occupies a housing unit as the
project manager or maintenance
worker.
(2) Exceptions, Upon writte:1.
request of a housing owner or
developer, the participating
jurisdiction (or State recipient, if
authorized by the State participating
jurisdiction) may grant an exception to
the provisions of paragraph (t)(l) of
this section on a case-by-case basis
when it determines that the exception
will serve to further the purposes of
the HOME program and the effective
and efficient administration of the
owner's or developer's HONtE-assisted
project In determining whether to
grant a requested exception. the
participating jurisdiction shall consider
the following factors:
(i) Whether the person receiving
the benefit is a member of a group or
class of low-income persons intended
to be the beneficiaries of the assisted
housing, and the exception \vilI permit
such person to receive generally the
same interests or benetits as are being
made available or prOVIded to the
group or class;
(ii) W"hether the person has
withdrawn from lus or her functions or
resporlSlbilities, or the decisionmaking
process with respect to the specuic
assisted housing In question~
(iii) W"hether the tenant protection
reqUIrements of 992.253 are bemg
observed;
(iv) \Vhether the aJfumative
marl<eting requirements of 992,351 are
being observed and tallowed; and
(v) Any other factor relevant to
the participating jurisdiction's
determination, including the timing of
the requested exception.
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
ST A TE OF FLORIDA VOTING CONFLICTS STATUTE
FLORIDA STATUTES TITLE X
SECTION 112.3143
PUBLIC OFFICERS AND EMPLOYEES: GENERAL PROVISIONS
F.S. 1997
112.3143 Voting conflicts.-
(1) As used in this section:
(a) "Public officer" includes any person elected or
appointed to hold office in any agency, including any
person serving on an advisory body.
(b) "Relative" means any father, mother, son,
daughter, husband, wife, brother, sister, father-in-law,
mother-in-law, son.in-Iaw, or daughter-in-law.
(2) No state public officer is prohibited from voting
in an official capacity on any matter. However, any
state public officer voting in an official capacity upon
any measure which would inure to the officer's special
private gain or loss; which he or she knows would inure
to the special private gain or loss of any principal by
whom the officer is retained or to the parent organiza-
tion or subsidiary of a corporate principal by which the
officer is retained; or which the officer knows would
inure to the special private gain or loss of a relative or
business associate of the public officer shall, within 15
days after the vote occurs, disclose the nature of hi~ or
her interest as a public record in a memorandum filed
with the person responsible for recording the minutes ?f
the meeting, who shall incorporate the memorandum In
the minutes.
(3)(a) No county, municipal, or other local public
officer shall vote in an official capacity upon any mea-
sure which would inure to his 'or her special private gain
or loss; which he or she knows would inure to the spe-
cial private gain or loss of any principal by whom he or
she is retained or to the parent organization or subsi~-
iary of a corporate principal by which he or she IS
retained, other than an agency as defined in's.
112.312(3); or which he or she knows would inure to
the special private gain or loss of a relative or business
associate of the public officer. Such public officer shall,
prior to the vote being taken, publicly state to the
assembly the nature of the officer's interest in the mat-
ter from which he or she is abstaining from voting and,
within 15 days atter the vote occurs, disclose the nature
of his or her interest as a public record in a memoran-
dum filed with the person responsible for recording the
minutes of the meeting, who shall incorporate the mem-
orandum in the minutes.
(b) However, a commissioner of a community rede-
velopment agency created or designated pursuant to s,
163.356 or s. 163.357, or an officer of an independent
special tax district elected on a one-acre, one-vote
basis, is not prohibited from voting, when voting in said
capacity,
(4) No appointed public officer shall participate in
any matter which would inure to the officer's special pri-
vate gain or loss; which the officer knows would inure
to the special private gain or loss of any principal by
whom he or she is retained or to the parent organiza-
tion or subsidiary of a corporate principal by which he
or she is retained; or which he or she knows would
inure to the special private gain or loss of a relative or
business associate of the public officer, without first dis-
closing the nature of his or her interest in the matter.
(a) Such disclosure, indicating the nature of the
conflict, shall be made in a written memorandum filed
with the person responsible for recording the minutes of
the meeting, prior to the meeting in which consideration
of the matter will take place, and shall be incorporated
into the minutes. Any such memorandum shall become
a public record upon filing, shall immediately be pro-
vided to the other members of the agency, and shall be
read publicly at the next meeting held subsequent to
the filing of this written memorandum.
(b) In the event that disclosure has not been made
prior to the meeting or that any conflict is unknown prior
to the meeting, the disclosure shall be made orally at
the meeting when it becomes known that a conflict
exists. A written memorandum disclosing the nature of
the contlict shall then be filed within 15 days after the
oral disclosure with the person responsible for record-
ing the minutes of the meeting and shall be incorpo-
rated into the minutes of the meeting at which the oral
disclosure was made. Any such memorandum shall
become a public record upon filing, shall immediately
be provided to the other members of the agency, and
shall be read publicly at the next meeting held subse-
quent to the filing of this written memorandum.
(c) For purposes of this subsection, the term "par-
ticipate" means any attempt to influence the decision
by oral or written communication, whether made by the
officer or at the officer's direction.
(5) Whenever a public officer or former public offi-
cer is being considered for appointment or reappoint-
ment to public office, the appointing body shall consider
the number and nature of the memoranda of conflict
previously filed under this section by said officer.
HIIIOry.-S, 6, c!1, 75-208; s, 2, en, 84-318; s, ',en, 84-357; s, 2. en, 86-148;
$,5, c!1, 91,85; $, 3, c!1, 94-2n; s, 1408, c!1, 95-147,
'NOI..-'Agency" is defined ,n s, 112,312(2),
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
MIAMI-DADE COUNTY CONFLICTS OF INTEREST
AND CODE OF ETHICS ORDINANCE
DADE COUNTY CODE SECTION 2-11.1
ADMINISTRATION
This prohibition related to communications shall
not be applicable to (a) communications con-
ducted through the chairperson at a duly adver-
tised public meeting; (b) written requests for
infonnation or clarification from prospective propos-
ers related to the RFQ; and (c) communications
initiated by the County administration (i,e., mem-
bers of the County Manager's Office, the Finance
Department, the affected operating department,
and the County Attorney's Office) or the County's
financial advisor related to a written request for
information or clarification from a prospective
proposer or related to the RFQ. A violation of this
provision may result in a disqualification of the
proposer for consideration under the terms of this
section.
CD Exceptions. The provisions of this section do
not apply to the issuance of revenue bonds by the
following Dade County peripheral bond issuing
authorities:
The Dade County Educational Facilities Au-
thority;
The Dade County Health Facilities Authority;
The Housing Finance Authority of Dade County,
Florida;
The Dade County Industrial Development Au-
thority.
COrd. No. 94-158, SS 1-9, 9-13-94; Ord. No. 95-35,
SS 1,2,4,5,2-21-95; Ord. No. 95-102, S 1,6-20-95;
Ord. No. 96-90, SS 1-3,6-18-96; Ord. No. 97-2, S
1, 1-14-97; Ord. No. 97-8, S 1, 2-4-97; Ord. No.
97-21, g 1, 3-18-97)
Editor's note-Ord, No, 94-158, adopted Sept. 13, 1994,
amended the Code by the addition of provisions which have
been included herein as a new ~ 2-10.6. Said Ord, No, 94-158
repealed the provisions of Ord, No, 93-67, adopted July 15,
1993, from which former ~ 2.10,6, relative to similar subject
matter derived, Former ~ 2-10,6 also derived from Ord, No,
94-62, S I, enacted April 19, 1994,
Cross reference-General obligation bonds, Ch, 16,
\
I
i
./
See, 2-11. Outside em'ployment by County
employees.
(a) Generally prtJhibited. No full-time County
employee shall accept outside employment, either
incidental, occasional or otherwise, where County
time, equipment or material is to be used or
where such employment or any part thereof is to
be performed on County time.
Supp, No, 21
264.41
S 2.11.1
(b) When permitted. A full-time County em-
ployee may accept incidental or occasional outside
employment so long as such employment is not
contrary, detrimental or adverse to the interest of
the County or any of its departments and the
approval required in subsection (c) is obtained.
(c) Approval of department head required. Any
outside employment by any full-time County em-
ployee must first be approved in writing by the
employee's department head who shall maintain
a complete record of such employment.
(d) Penalty. Any employee convicted of violat-
ing any provision of this section shall be punished
as provided in Section 1-5, and, in addition thereto,
shall be subject to dismissal by his department
head.
(Ord. No. 58-5, g 25.01, 2-18-58)
Annotation-AO 7-1.
Sec. 2-11.1. Conflict of Interest and Code of
Ethics Ordinance.
(a) Designation. This section shall be desig-
nated and known as the "Dade County Conflict of
Interest and Code of Ethics Ordinance." This
section shall be applicable to all County personnel
as defined herein, and shall also constitute a
minimum standard of ethical conduct and behav-
ior for all municipal officials and officers, auton-
omous personnel, quasi-judicial personnel, advi-
sory personnel, departmental personnel and
employees of municipalities in the County insofar
as their individual relationships with their own
municipal governments are concerned. Refer-
ences in the section to County personnel shall
therefor be applicable to municipal personnel who
serve in comparable capacities to the County
personnel referred to, (Ord. No. 72-82, S 1, 11-21-
72; Ord. No. 73-27, S 1,3-20-73)
(b) Definitions, For the purposes ofthis section
the following definitions shall be effective:
(1) The tenn "Commissioners" shall refer to
the Mayor and the members of the Board
of County Commissioners as duly consti-
tuted from time to time.
(2) The tenn "autonomous personnel" shall
refer to the members of semi-autonomous
authorities, boards, and agencies as are
~ 2-11.1
DADE COUNTY CODE
entrusted with the day to day policy set-
ting, operation and'management of cer-
tain defined County functions or areas of
responsibility, even though the ultimate
responsibility for such functions or areas
rests with the Board of County Commis-
sioners.
(3) The term "quasi-judici~l personnel" shall
refer to the members of the Zoning Ap-
peals Board and such other boards and
agencies of the County as perform quasi-
judicial functions.
(4) The term "advisory personnel" shall refer
to the members of those County advisory
boards and agencies whose sole or pri-
mary responsibility is to recommend leg-
islation or give advice to the Board of
County Commissioners.
(5) The term "departmental personnel" shall
refer to the Manager, his department
heads, the County Attorney and all Assis-
tant County Attorneys.
(6) The term "employees" shall refer to all
other salaried personnel employed by the
County.
(7) The term "compensation" shall refer to
any money, gift, favor, thing or value or
financial benefit conferred in return for
services rendered or to be rendered.
(8) The term "controlling financial interest"
shall refer to ownership, directly or indi-
. rectly, to ten (10) percent or more of the
outstanding capital stock in any corpora-
tion or a direct or indirect interest of ten
(10) percent or more in a firm, partner-
ship, or other business entity.
(9) The term "immediate family" shall refer
to the spouse, parents and children of the
person involved.
(10) The term "transact any business" shall
refer to the purchase or sale by the County
of specific goods or services for a consid-
eration. Wrd. No. 72-82, 9 1, 11-21-72;
Ord. No. 73-23, 9 1, 3-20-73; Ord. No.
86-24, 9 3, 4-1-86)
(11) The term "Ethics Commission" shall refer
to the Metropolitan Dade County Commis-
sion on Ethics and Public Trust.
Supp, No. 21
(c) Prohibition on transacting business within
the County. No person included in the terms
defined in subsection (b)( 1) through (6) and in
subsection (b)(9) shall enter into any contract or
transact any business in which he or a member of
his immediate family has a financial interest,
direct or indirect, with Dade County or any per-
son or agency acting for Dade County, and any
such contract, agreement or business engagement
entered in violation of this subsection shall ren-
der the transaction voidable. Willful violation of
this subsection shall constitute malfeasance in
office and shall effect forfeiture of office or posi-
tion. Nothing herein shall prohibit or make illegal
(1) the payment of taxes, special assessments or
fees for services provided by County government;
(2) the purchase of bonds, anticipation notes or
other securities that may be issued by the County
through underwriters or directly from time to
time; (3) the participation ofthe persons included
in the terms defined in subsection (b)(1) through
(6), except for employees of the general services
administration and their "immediate family" as
defined in (b)(9), in the public auction process
utilized by the County for the disposal of surplus
motor vehicles; (4) the purchase of surplus per-
sonal property, pursuant to administrative order,
by persons defined in subsection (b)(l) through (6)
and (9); (5) an application for direct assistance
from the Dade County Department of Housing
and Urban Development or an application to
participate in a program administered by the
Department of Special Housing has been submit-
ted by an applicant who is a County person as
defined in subsection (b) and who would but for
this section be eligible for such assistance from
said department; provided, however, that the ex-
ception provided in this paragraph shall not ex-
tend to an employee of the Dade County Depart-
ment of Housing and Urban Development or the
Department of Special Housing who participates
in the administration of said programs; or (6) and
application to participate in a single-family mort-
gage loan program sponsored by the Housing
Finance Authority of Dade County, has been sub-
mitted by a County person as defined in subsec-
tion (b), and would but for this section be eligible
for participation in said program; provided, how-
ever, that the exception provided in this para-
graph shall not extend to an employee of the Dade
264.42
}
ADMINISTRATION
~ 2.11.1
County Finance Department who participates in
the administration of said single-family mortgage
loan program.
Extension of waiver. The requirements of this
subsection may be waived for a particular trans-
action only by affirmative vote of two-thirds of the
entire Board of County Commissioners, after pub-
lic hearing. Such waiver may be affected only
after findings by two-thirds of the entire Board
that:
(1) An open-to-all sealed competitive bid has
been submitted by a County person as
defined in subsection (b)(2), (3) and (4), or
(2) The bid has been submitted by a person or
firm offering services within the scope of
practice of architecture, professional en-
gineering, or registered land surveying as
defined by the laws of the State of Florida
and pursuant to the provisions of the
Consultants' Competitive Negotiation Act,
and when the bid has been submitted by a
County person defined in subsection (b)(2),
(3) and (4), or
(3) The property or services to be involved in
the proposed transaction are unique and
the County cannot avail itself of such
property or services without entering a
transaction which would violate this sub-
section but for waiver of its requirements,
and
(4) That the proposed transaction will be to
the best interest of the County.
Such findings shall be spread on the minutes of
the Board. This subsection shall be applicable
only to prospective transactions, and the Board
may in no case ratify a transaction entered in
violation of this subsection.
)
Provisions cumulative. This subsection shall be
taken to be cumulative and shall not be construed
to amend or repe~l any other law pertaining to
the same subject matter. lOrd. No. 72-82, ~ 1,
11-21-72; Ord. No. 73-24, ~ 1, 3-20-73; Ord. No.
73-45, S 1, 5-1-73; Ord. Ko, 75-91, S 1, 11-4-75;
Ord. No. 75-119, S 1, 12-16-75; Ord. No. 79-85, S 1,
10-16-79; Ord. No, 80-33, 9 1, 5-6-80; Ord. No.
Supp, ;-';0, 21
85-84, ~ 1, 10-1-85; Ord. No. 85-98, ~ 1, 11-5-85;
Ord. No. 87-58, ~ 1, 9-1-87; Ord. No. 88-102, ~ 1,
10-18-88; Ord. No. 91-113, ~ 1, 10-1-91)
(d) Further prohibition on transacting busi-
ness with the County. No person included in the
terms defined in subsections (b)(1) through (6)
and in subsection (b)(9) shall enter into any
contract or transact any business through a firm,
corporation, partnership or business entity in
which he or any member of his immediate family
has a controlling financial interest, direct or indi-
rect, with Dade County or any person or agency
acting for Dade County, and any such contract,
agreement or business engagement entered in
violation of this subsection shall render the trans-
action voidable. The remaining provisions of sub-
section (c) will also be applicable to this subsec-
tion as though incorporated herein by recitation.
Additionally, no person included in the term
defined in subsection (b)(l) shall vote on or par-
ticipate in any way in any matter presented to the
Board of County Commissioners if said person
has any of the following relationships with any of
the persons or entities which would be or might be
directly or indirectly affected by any action of the
Board of County Commissioners: (i) officer, direc-
tor, partner, of counsel, consultant, employee,
fiduciary or beneficiary; or (ii) stockholder, bond-
holder, debtor, or creditor, if in any instance the
transaction or matter would affect the person
defined in subsection (b)(l) in a manner distinct
from the manner in which it would affect the
public generally. Any person included in the term
defined in subsection (b)(l) who has any of the
above relationships or who would or might, di-
rectly or indirectly, profit or be enhanced .by the
action of the Board of County Commissioners
shall absent himself or herself from the Commis-
sion meeting during the discussion of the subject
item and shall not vote on or participate in any
way in said matter. (Ord. No. 72-82, ~ 1, 11-21-72;
Ord. No. 73-45, ~ 2, 5-1-73; Ord. No. 86-11, ~ 1,
2-18-86; Ord. No. 86-24, ~ 1,4-1-86)
(e) Gifts.
(1) Definition. The term "gift" shall refer to
the transfer of anything of economic value,
whether in the form of money, service.
loan, travel, entertainment, hospitality,
265
o 2-11.1
DADE COUNTY CODE
item or promise, or in any other form,
without adequate and lawful consider-
ation.
(2) Exceptions. The provisions of subsection
(e)(l) shall not apply to:
a. Political contributions specifically au-
thorized by State law:
b. Gifts from relatives or members of
one's household;
c. Awards for professional or civic
achievement;
d. Material such as books, reports, pe-
riodicals or pamphlets which are
solely informational or of an adver-
tising nature.
(3) Prohibitions. A person described in sub-
section (b)(l) through (6) shall neither
solicit nor demand any gift. It is also
unlawful for any person or entity to offer,
give or agree to give to any person in-
cluded in the term defined in subsection
(b)(l) through (6) or for any person in-
cluded in the term defined in subsection
(b)(l) through (6) to accept or
.
Supp, No. 21
266
"
~.
ADMINlSTRATION
~ 2.11.1
agree to accept from another person or en.
tity, any gift for or because of:
a. An official public action taken, or to be
taken, or which could be taken;
b. A legal duty performed or to be per.
formed, or which could be performed;
or
c, A legal duty 'violated or to be violated,
or which could be violated by any
person included in the term defined in
subsection (b)(1).
(4) Disclosure. Any person included in the term
defined in subsection (b)(l) through (6) shall
disclose as provided herein any gift, or se.
ries of gifts from anyone person or entity,
having a value in excess of twenty-five dol-
lars ($25.00). Said disclosure shall be made
by filing a copy of the disclosure form re-
quired by Chapter 112, Florida Statutes,
for "local officers" with the Clerk of the
Board of County Commissioner simulta-
neously with the filing of the form with the
Secretary of State. (Ord. No. 78-82, S 1, 11-
21-72; Ord. No. 86-25, S 1,4-1-86; Ord. No.
87-70, S 1, 10-20-87; Ord. No. 91-62, S 1,
6-4-91)
(f) Compulsory disclosure by employees of firms
doing business with the County. Should any person
included in the terms defined in subsections (b)(1)
through (6) be employed by a corporation, firm,
partnership or business entity in which he does
not have a controlling financial interest, either
himself or through a member of his immediate
family, and should the said corporation, firm, part.
nership or business entity have substantial busi.
ness commitments to or from the County or any
County agency, or be subject to direct regulation
by the County or a County agency, then said
person shall file a sworn statement disclosing such
employment and interest with the Clerk of the
Circuit Court in and f~r Dade Countv. (Ord. No,
72.82, S 1, 11.21.72)
)
, I
+
(g) Exploitation of official position prohibited.
No person included in the terms defined in sub.
section ibHl) through (6) shall use or attempt to
use his official position to secure special privi.
leges or exemptions for himself or others except
as may be specifically permitted by other ordi.
nances and resolutions previously ordained or
adopted or hereafter to be ordained or adopted by
the Board of County Commissioners. (Ord. No.
72-82, S 1, 11.21.72)
(h) Prohibition on use of confidential informa-
tion. No person included in the terms defined in
subsection (b)(1) through (6) shall accept employ.
ment or engage in any business or professional
activity which he might reasonably expect would
require or induce him to disclose confidential in-
[ormation acquired by him by reason of his offi.
cial position, nor shall he in fact ever disclose con-
fidential information garnered or gained through
his official position with the County, nor shall he
ever use such information, directly or indirectly,
for his personal gain or benefit. (Ord. No. 72.82, S
1, 11.21-72)
(i) Financial disclosure.
(1) All persons and firms included within sub-
sections (a) and (b)(2), (3) and (4) of this sec-
tion shall file, no later than 12:00 noon of
July 1st of each year including the July 1st
following the last year that person is in of-
fice or held such employment, one (1) of the
following:
a. A copy of that person's or firm's cur-
rent federal income tax return; or
b. A current certified financial statement
on a form of the type approved for use
by State or national banks in Florida
listing all assets and liabilities having
a value in excess of one thousand dol-
lars ($1,000.00) and a short description
of each; or
c. An itemized source of income- state.
ment, under oath and on a form ap'
proved by the County for said purpose.
Compliance with the financial disclosure
provisions of Chapter 112 (Part lIIl, Florida
Statutes, as amended, or with the provi-
sions of Article II, Section 8 of the Florida
Constitution, as amended by the voters on
November 2, 1976, and any general laws
promulgated thereunder, shall constitute
compliance with this section.
(2) County and municipal personnel. The fol.
lowing County personnel shall comply with
267
~ 2.11.1
DADE COUNTY CODE
the filing requirements of subsection (i)(l)
above: The Mayor and members of the
Board of County Commissioners; County
Attorney and Assistant County Attorneys;
County Manager; Assistant County Man-
ager(s); Special Assistant(s) to the County
Manager; heads or directors of County de.
partments and their assistant or deputy de.
partment heads; employees of the Metro-
Dade Police with the rank of captain, major
and chief; Building and Zoning Inspectors.
References herein to specified County per.
sonnel and Boards shall be applicable to
municipal personnel and Boards that serve
in comparable capacities to the County per-
sonnel and Boards referred to.
(3) Candidates for County and municipal of-
fice. All candidates for County and munic-
ipal elective office shall comply with the
filing requirements of subsection (i)(I) above
at the same time that candidate files qual-
ifying papers.
(4) Consultants. All persons or firms providing
professional services as defined by Section
2-10.4(1)(a) and (b) of the Code of Metropol-
itan Dade County, to Dade County or any
municipalities, their agencies, or instru-
mentalities, shall comply with the filing reo
quirements of subsection (il( 1) above within
ninety (90) days of the effective date hereof.
All persons or firms subsequent to the ef-
fective date of this section, which engage in
competitive negotiation with Dade County
or any of its municipalities, their agencies
or instrumentalities under and pursuant to
Section 2-10.4 of the Code of Metropolitan
Dade County shall comply with the re-
porting requirements of subsection (i)(l) of
this section within thirty (30) days of exe-
cution of a contract arising out of said com-
petitive negotiations and .prior to any pay-
ments from said County, municipalities or
other agencies or instrumentalities. Failure
.
to comply with the terms hereof by such
persons or firms shall render existing con-
tracts voidable and shall automatically void
any contracts negotiated and executed sub-
sequent to the effective date of this section
where the required information is not fur-
nished within thirty (30) days of the execu-
tion of said contract as noted herein.
(5) Reports; filing, All documents required to
be filed hereunder by County persons or
consultants shall be filed with the super.
visor of elections. Documents required to
be filed hereunder by municipal persons or
consultants shall be filed with the munic.
ipal Clerk of that entity.
(6) Public disclosure. All documents filed pur.
suant to this subsection shall constitute
public records within the meaning of
Chapter 119, Florida Statutes.
(7) Construction. The construction of this sub.
section shall be considered as supplemental
to and not in substitution of any require.
ments of Chapter 112, Florida Statutes, or
any rules and regulations promulgated
thereunder. (Ord. No. 77-13, S 1,3-1-77; Ord.
No. 83.18, S 1, 4.19-83; Ord. No. 84-39, S 1,
5.15-84)
U) ConfZicting employment prohibited. No person
included in the terms defined in subsections (b)(1)
through (6) shall accept other employment which
would impair his independence of judgment in the
performance of his public duties. (Ord. No. 72-82,
S 1, 11-21-72; Ord. No. 77-13, S 2, 3.1.77)
(k) Prohibition on outside employment.
(1) No person included in the terms defined in
subsections (b)(5) [departmental personnel]
and (6) [employees] shall receive any com.
pensation for his or her services as an of-
ficer or employee of the County, from any .
source other than the County, except as may
be permitted by Section 2.11 of this Code of
Ordinances.
(2) All full.time County and municipal em.
ployees engaged in any outside employment
for any person, firm, corporation or entity
other than Dade County, or the respective
municipality, or any of their agencies or
instrumentalities, shall file, under oath, an
annual report indicating the source of the
outside employment, the nature of the work
being done pursuant to same and any
amount or types of money or other consid-
268
ADMINISTRATION
eration received by the employee from
said outside employment. Said County
employee's reports shall be filed with the
supervisor of elections no later than 12:00
noon on July 1st of each year, including
the July 1st following the last year that
person held such employment. Municipal
employee reports shall be filed with the
Clerk of their respective municipalities.
Said reports shall be available at a rea-
sonable time and place for inspection by
the public. The County Manager or any
city Manager may require monthly re-
ports from individual employees or groups
of employees for good cause. (Ord. No.
72-82, S 1, 11-21-72; Ord. No. 77-13, S 3,
3-1-77; Ord. No. 77-79, S 1, 1-11-77; Ord.
No. 77-87, S 1, 12-6-77; Ord. No. 83-18, S
2,4-19-83; Ord. No. 84-39, S 2, 5-15-84)
(1) Prohibited investments. No person included
in the terms defined in subsections (b)(l) through
(6) shall have personal investments in any enter-
prise, either himself or through a member of his
immediately family, which will create a substan-
tial conflict between his private interests and the
public interest. (Ord. No. 72-82, S 1, 11-21-72;
Ord. No. 77-13, S 4,3-1-77)
,)
(m) Certain appearances and payment prohib-
ited.
(1) No person included in the terms defined
in subsections Cb)(1), (5) and (6) [commis-
sioners, departmental personnel and em-
ployees] shall appear before any County
Board or agency and make a presentation
on behalf of a third person with respect to
any license, contract, certificate, ruling,
decision, opinion, rate schedule, fran-
chise, or other benefit sought by the third
person. Nor shall such person receive com-
pensation, directly or indirectly or in any
form, for services rendered to a third
person, wM has applied for or is seeking
some benefit from the County or a County
agency, in connection with the particular
benefit sought by the third person, Nor
shall such person appear in any court or
before any administrative tribunal as co un-
Supp, ,,"0, 21
~ 2.11.1
sel or legal advisor to a part who seeks
legal relief from the County or a County
agency through the suit in question.
(2) No person included in the terms defined
in subsections (b)(2), (3) and (4) (autono-
mous personnel, quasi-judicial personnel,
and advisory personnel] shall appear be-
fore the County board or agency on which
he or she serves, either directly or through
an associate, and make a presentation on
behalf of a third person with respect to
any license, contract, certificate, ruling,
decision, opinion, rate schedule, fran-
chise, or other benefit sought by the third
person. Nor shall such person receive com-
pensation, directly or indirectly or in any
form, for services rendered to a third
party, who has applied for or is seeking
some benefit from the County board or
agency on which such person serves, in
connection with the particular benefit by
the third party. Nor shall such person
appear in any court or before any admin-
istrative tribunal as counselor legal ad-
visor to a third party who seeks legal
relief from the County board or agency on
which such person serves through the suit
in question. However, this section shall
not prohibit an architect serving without
compensation on the Dade County Board
of Energy Regulation or on any architec-
tural Board, whose sole function is to pass
on the aesthetics of plans submitted, from
submitting plans on behalf of a client so
long as such member makes known his
representation of the applicant and dis-
qualifies himself from speaking or xoting
or otherwise participating on such appli-
cation. (Ord. No. 72-82, S 1, 11-21-72; Ord.
No. 73-25, S 1,3-20-73; Ord. No. 73-51, S
1, 5-15-73; Ord. No. 77-13, S 4, 3-1-77;
Ord. No. 79-39, S 1,6-19-79)
(n) Actions prohibited when financial interests
involved. No person included in the terms defined
in subsections (b)(1) through (6) shall participate
in any official action directly or indirectly affect-
ing a business in which he or any member of his
immediate family has a financial interest. A fi-
nancial interest is defined as a special financial
269
9 2-11.1
DADE COUNTY CODE
interest, direct or indirect, as that term is used in
Section 4.03 of the County's Charter; or as a
financial interest as defined in Section 769 of the
Restatement of the Law of Torts as an investment
or something in the nature of an investment. This
section shall not prohibit any official, officer,
employee or person from taking official action (1)
to promote tourism or downtown development or
redevelopment within the County or any portion
thereof, or (2) to authorize the expenditure of
public funds for promoting tourism or downtown
development or redevelopment, so long as no such
authorized public funds are to be paid to such
person or a member of his immediately family or
any business in which he or any member of his
immediate family has a financial interest. (Ord.
No. 72-82, S 1, 11-21-72; Ord. No. 73-50, S 1,
5-15-73; Ord. No. 75-76, S 1, 9-17-75; Ord. No.
77-13, S 4, 3-1-77)
(0) Acquiring financial interests. No person
included in the terms defined in subsections (b)(1)
through (6) shall acquire a financial interest in a
project, business entity or property at a time
when he believes or has reason to believe that the
said financial interest will be directly affected by
his official actions or by official actions by the
County or County agency of which he is an
official, officer or employee. (Ord. No. 72-82, S 1,
11-21-72; Ord. No. 77-13, S 4, 3-1-77)
(p) Recommending professional services. No per-
son-included in the terms defined in subsections
(b)(l) through (6) may recommend the services of
any lawyer or law firm, architect or architectural
firm, public relations firm, or any other person or
firm, professional or otherwise, to assist in any
transaction involving the County or any of its
agencies, provided that such recommendation may
properly be made when required to be made by
the duties of office and in advance at a public
meeting attended by other County officials, officers
or employees. (Ord_ No. 72-82, ~ 1, 11-21-72; Ord.
No. 77-13, 94,3-1-77)
(q) Continuing applicatL'bn for two (2) years
after County service. No person included in the
terms defined in subsection (b)(l), (5) and (6)
[commissioners, departmental personnel and em-
ployees] shall, for a period of two (2) years after
his County service or employment has ceased, act
Supp, No, 21
as agent or Attorney for anyone other than Dade
County in connection with any judicial or other
proceeding, application, request for ruling or other
determination, contract, claim, controversy, charge,
accusation, arrest or other particular matter in
which Dade County or one (1) of its agencies is a
party or has a direct and substantial interest, and
in which he participated personally and substan-
tially as an official, officer or employee, through
decision, approval, disapproval, recommendation,
the rendering of advice, investigation, or other-
wise, while so employed in County service. (Ord.
No. 72-82, S 1, 11-21-72; Ord. No. 77-13, ~ 4,
3-1-77)
(r) Ethics Commission to render opinions on
request. Whenever any person included in the
terms defmed in subsection (b)(l) through (6) and
subsection (b)(9) is in doubt as to the proper
interpretation or application of this conflict of
interest and Code of Ethics Ordinance as to
himself or herself, or whenever any person who
renders services to the County is in doubt as to
the applicability of the said ordinance as to him-
self or herself, he or she may submit to the Ethics
Commission a full written statement of the facts
and questions he or she has. The Ethics Commis-
sion shall then render an opinion to such person
and shall publish these opinions without use of
the name of the person advised unless such per-
son requests the use of his or her name. (Ord. No.
73-26, ~ 1, 3-20-73; Ord. No. 77-13, ~ 4, 3-1-77;
Ord. No. 97-105, S 2, 7-8-97)
(s) Lobbying.
(1) As used in this section, "County person-
nel" means those County officers and em-
ployees specified in Section 2-11.l(i)(2) of
the Dade County Conflict of Interest and
Code of Ethics Ordinance.
"Lobbyist" means all persons, firms, or
corporations employed or retained by a
principal who seeks to encourage the pas-
sage, defeat, or modifications of (1) ordi-
nance, resolution, action or decision of the
County Commission; (2) any action, deci-
sion, recommendation of any County board
or committee; or (3) any action, decision or
recommendation of County personnel dur-
ing the time period of the entire decision-
270
)
ADMINISTRATION
S 2-11.1
)
making process on such action, decision
or recommendation which foreseeably will
be heard or reviewed by the County Com-
mission, or a County board or committee.
"Lobbyist" specifically includes the prin-
cipal, as described above, as well as any
agent, officer or employee of a principal,
regardless of whether such lobbying activ-
ities fall within the normal scope of em-
ployment 'of such agent, officer or em-
ployee.
(2) All lobbyists shall, before engaging in any
lobbying activities, register with the Clerk
of the Board of County Commissioners.
Every person required to so register shall
. (a) register on forms prepared by the
Clerk, (b) pay a registration fee of twenty-
five dollars ($25.00) and (c) state under
oath his or her name, business address,
the name and business address of each
person or entity which has employed said
registrant to lobby, and the specific issue
on which he or she has been employed to
lobby. If the lobbyist represents a corpo-
ration, partnership or trust, the chief of-
ficer, partner or beneficiary shall also be
identified. Without limiting the foregoing,
the lobbyist shall also identify all persons
holding, directly or indirectly, a five (5)
percent or more ownership interest in
such corporation, partnership, or trust.
Separate registration shall be required
for each specific issue. Sucli issue shall be
described with as much detail as is prac-
tical, including but not limited to a spe-
cific description (where applicable) of a
pending request for a proposal, invitation
to bid, public hearing number, etc. The
Clerk of the Board of County Commission-
ers shall reject any registration statement
which does not provide a description of
the specific issue on which such lobbyist
has been employed to lobby. Registration
of all lobbyists shall be required prior to
October 1 of every even-numbered year
and each person who withdraws as a
lobbyist for a particular client shall file an
appropriate notice of withdrawal. The fee
for biennial registration shall be one hun-
dred twenty-five dollars ($125.00). Ini-
Supp, =,"0, 21
tially, all lobbyists shall register on or
before June I, 1991. In addition, every
registrant shall be required to state the
extent of any business or professional
relationship with any current person de-
scribed in subsection (b)(l). The registra-
tion fees required by this subsection shall
be deposited by the Clerk into a separate
account and shall be expended for the
purpose of recording transcribing, admin-
istration and other costs incurred in main-
taining these records for availability to
the public. There shall be no fee required
for filing a notice of withdrawal and the
Board of County Commissioners may, in
its discretion, waive the registration fee
upon a finding of financial hardship.
(3) (a) Any public officer, employee or ap-
pointee who only appears in his or
her official capacity shall not be re-
quired to register as a lobbyist.
(b) Any person who only appears in his
or her individual capacity for the
purpose of self-representation with-
out compensation or reimbursement,
whether direct, indirect or contin-
gent, to express support of or oppo-
sition to any item, shall not be re-
quired to register as a lobbyist.
(4) Any person who only appears as a repre-
sentative of a not for profit corporation or
entity (such as a charitable organization,
a neighborhood association, or a trade
association or trade union), without spe-
cial compensation or reimbursement for
the appearance, whether direct, indirect
or contingent, to express support of or
opposition to any item, shall register with
the Clerk as required by this subsection,
but, upon request, shall not be required to
pay any registration fees.
(5) Any person who appears as a representa-
tive for an indhidual or firm for an oral
presentation before a county certification,
evaluation, selection, technical review or
similar committee, shall list on an affida-
vit provided by the County, all individuals
who may make a presentation. The affi-
271
~ 2-11.1
DADE COUNTY CODE
davit shall be filed by staff with the clerk's
office at the time the proposal is submit-
ted. For the purpose of this subsection
only, the listed members of the presenta-
tion team shall not be required to pay any
registration fees. No person shall appear
before any committee on behalf of an
individual or firm unless he or she has
been listed as part of the firm's presenta-
tion team pursuant to this paragraph or
unless he or she is registered with the
Clerk's office and has paid all applicable
fees.
(6) Commencing July 1, 1986, and on July 1
of each year thereafter, the lobbyist shall
submit to the Clerk of the Board of County
Commissioners a signed statement under
oath listing all lobbying expenditures in
excess of twenty-five dollars ($25.00) for
the preceding calendar year. A statement
shall be filed even if there has been no
expenditures during the reporting period.
(7) The Clerk shall publish logs on a quar-
terly and an annual basis reflecting the
lobbyist registrations which have been
filed in accordance with this subsection
(s). The Clerk shall publish logs for the
fourth quarter of fiscal year 1989-90 and
the first quarter of fiscal year 1990-91 as
soon as practicable after the effective date
of this ordinance. All logs required by this
ordinance shall be prepared in a manner
substantially similar to the logs prepared
for the Florida Legislature pursuant to
Section 11.045, Florida Statutes.
(8) The Ethics Commission shall investigate
any person engaged in lobbying activities
who may be in violation of this subsection
(s). In the event that a violation is found
to have been committed, the Ethics Com-
mission may reprimand, censure, sus-
pend or prohibit such person from lobby-
ing before the County Commission or any
committee, board .or personnel of the
County; provided, however, that any sus-
pension or prohibition may not exceed a
period of two (2) years. Notwithstanding
any other provision of the Conflict of In-
terest and Code of Ethics Ordinance, or
Supp. No, 21
the Code of Metropolitan Dade County,
the penalties provided in this paragraph
(8) shall be the exclusive penalties im-
posed for violations of this subsection (s).
(9) All members of the County Commission,
and all County personnel, shall be dili-
gent to ascertain whether persons re-
quired to register pursuant to this subsec-
tion have complied. Commissioners or
County personnel may not knowingly per-
mit a person who is not registered pursu-
ant to this subsection to lobby the Com-
missioner, or the relevant committee, board
or County personnel.
(10) The validity of any action or determina-
tion of the Board of County Commission-
ers or County personnel, board or commit-
tee shall not be affected by the failure of
any person to comply with the provisions
of this subsection (s).
(t) Powers and jurisdiction of Ethics Commis-
sion. The Ethics Commission shall be empowered
to review, interpret, render advisory opinions and
letters of instruction and enforce the conflict of
Interest and Code of Ethics Ordinance. Jurisdic-
tion of the Ethics Commission shall automatically
extend to Commissioners, autonomous personnel,
quasi-judicial personnel, departmental person-
nel, immediate family and lobbyists as defined in
subsections (b) and (s) who are required to comply
with the Conflict of Interest and Code of Ethics
Ordinance. Jurisdiction of the Ethics Commission
may extend to employees, advisory personnel and
immediate family as defmed in subsection (b) who
are required to comply with the Conflict of Inter-
est and Code of Ethics Ordinance if at least two
(2) members of the Ethics Commission vote to
assume jurisdiction. In the event that the Ethics
Commission does not assume jurisdiction as pro-
vided in the preceding sentence, the Ethics Com-
mission may refer the complaint to the State
Attorney for appropriate action. Notwithstanding
the foregoing, the Ethics Commission shall not
have jurisdiction to consider an alleged violation
of subsection (c) if the requirements of subsection
(c) have been waived for a particular transaction
as provided therein,
272
ADMINISTRATION
(u) Penalty.
(1) Proceeding before Ethics Commission. A
finding by the Ethics Commission that a
person has violated this section shall sub-
ject said person to an admonition or pub-
lic reprimand and/or a fine of two hun-
dred fifty dollars ($250.00) for the first
such violation and five hundred dollars
($500.00) for each subsequent violation.
(2) Prosecution by State Attorney in State
court. Every person who is convicted of a
violation of this section in State court
shall be punished by a fine not to exceed
five hundred dollars ($500_00) or impris-
onment in the County Jail for not more
than thirty (30) days, or by both such fine
and imprisonment.
(Ord. No. 72-82, ~ 1,11-21-72; Ord. No. 73-26, ~ 1,
3-20-73; Ord. No. 77-13, ~ 4, 3-1-77; Ord. No.
86-24, S 2, 4-1-86; Ord. No. 91-22, S 1, 2-19-91;
Ord. No. 92-27, S 1, 4-21-92; Ord. No. 95-21, ~ 1,
2-7-95; Ord. No. 97-105, S 2, 7-8-97)
Editor's note-Ord. No, 72-82, 9 I, amended this Code by
repealing former 9 2-11.1 relative to County officers and
employees transacting business with the County and enacted
in lieu thereof a new 9 2-11.1 as herein set out. Former 9 2-11.1
Wag derived from Ord. No. 59-44, 99 2-5, adopted Dec. I,
1959,
Annotations-AO 7-1; CAO's 76-8, 76-32, 76-36, 76-39,
76-43, 76-46, 76-50, 76.55, 77-1, 77.9, 77-14, 77.16, 77-19,
77-26, 77.33, 77-37, 77-40, 77-41, 77-44, 77.52, 77-53, 77-56,
77-63, 77-68, 78-2, 78-10. 78-11, 78-12, 78-17, 78-25, 78-33,
78-44, 78-47, 78-53, 78-54, 79-6, 79-7, 79-12, 79-16, 79-19,
79.32, 79-37, 80-3, 80-4, 80.11, 80-21, 80-24, 80-25, 80-28,
80.29, 81-4, 81-13, 81.18, 81-22, 81.31, 81-38, 82.1, 82.10,
82.13, 82-19, 82-24, 82-25, 82.28, 82-29, 83-2, 83-6, 83-11,
83-22, 85-8.
State law reference--Code of ethics for public officers
and employees, F,S. 9 112.311 et seq.
Sec, 2-11.2. Sale of public property by mu-
nicipalities.
)
No municipal corporation in Dade County, Flor-
ida, shall sell or convey for private use or to
private ownership all or any part of any tract of
real property ten ("10) acres or more in contiguous
area owned by it that has been or is hereafter
acquired by said municipality for a public or
municipal purpose, until full and complete infor-
mation and data concerning the contemplated
sale or transfer of such real property shall have
Supp, No, 21
9 2.11.2.1
been first submitted to the Board of County
Commissioners for a review and consideration,
and the Board of County Commissioners shall
have approved and consented to such sale or
transfer as being in conformity 'v\ith the compre-
hensive plan of development for Metropolitan
Dade County and not contrary to the best inter-
ests of the public.
Any sale, transfer or conveyance of real prop-
erty made in violation of the provisions of this
section shall be null and void and of no binding
force or effect. .
The provisions of this section shall not be
applicable to public streets, roads, highways or
alleys abandoned, discontinued or closed in accor-
dance with law, or to public lands dedicated or
utilized for public road purposes.
(Ord. No. 59-40, ~~ 1-3, 10-27-59; Ord. No. 60-1,
1-5-60)
Sec. 2-11.2.1. Disposition of County surplus
property.
(a) Definitions. For the purposes of this sec-
tion, the following definitions shall be effective:
(1) Surplus property shall mean property clas-
sified as surplus pursuant to Section
274.05, Florida Statutes.
(2) Property means all tangible personal prop-
erty owned by Dade County of a noncon-
sumable nature.
(3) Eligible community based organization
means a not-for-profit agency, group, or-
ganization, society, association, CQrpora-
tion, partnership or individual that pro-
vides a community service designed to
improve or enhance the well-being of the
community of Dade County at large or to
improve or enhance the well-being of cer-
tain individuals within this community
that have special needs. An eligible com-
munity based organization shall be tax
exempt under the provisions of Section
501(c)(3) of the Internal Revenue Code of
1954 and otherwise be a qualified recipi-1ent of surplus property pursuant to Sec-
tion 274,05, Florida Statutes.
272,1
~ 2-11.2.1
DADE COUNTY CODE
(b) Sale, donation or other disposition of sur-
plus property. To the extent not inconsistent with
state or federal law, surplus property may be sold,
donated or otherwise disposed of only in the
manner set forth in this section. Within the rea-
sonable exercise of its discretion and having con-
sideration for the best interests of the County, the
value and condition of the surplus property, and
the probability of such property being desired by
the prospective bidder to whom offered, the County
shall offer surplus property to other governmen-
tal units in the County or shall have the discre-
tion to offer the property to eligible community
based organizations by sale or donation. Any
property which is determined to be without com-
mercial value shall first be offered for sale or
donation to eligible community based organiza-
tions. Surplus property to be offered for sale or
donation to eligible community based organiza-
tions. Surplus property to be offered to eligible
community based organizations by sale or dona-
tion pursuant to this section must be intended to
be used by such organization in Dade County. The
offer shall disclose the value, condition, and in-
tended use of the surplus property.
In the event that the surplus property is not
otherwise disposed of by operation of this section
it shall be disposed of in the manner set forth in
Section 274.06, Florida Statutes. Any and all
proceeds derived from the sale of surplus property
determined to be without commercial value shall
be piaced by the county in a restricted fund for the
benefit of organizations which provide social and
human service within the County and eligible
community based organizations. Funds derived
from this source shall not be used as an offset or
to reduce funds made available to these organiza-
tions from other County sources.
(Ord. No. 96-164, ~ 1, 11-12-96)
Sec. 2-11.3. Automatic suspension of County
official charged 'with commis-
sion of a felony.
Whenever any person setvrng as an appointive
official of the government of Dade County, in-
Supp, No, 21
272.2
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CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
CITY OF MIAMI BEACH ETHICS ORDINANCE
ORDINANCE 97-3105
ORDINANCE NO.
97-3105
AN ORDINANCE OF THE MAYOR AND CITY
COMMISSION OF THE CITY OF MIAMI BEACH, FLORIDA
AMENDING MIAMI BEACH CITY CODE CHAPTf;R 2
ENTITLED "ADMINISTRATION", ARTICLE III THEREOF
ENTITLED "STANDARDS OF CONDUCT FOR CITY
OFFICERS AND EMPLOYEES", BY CREATING SECTION
2-47.4 ENTITLED "SUPPLEMENTAL ABSTENTION AND
DISCLOSURE REQUIREMENTS", AND 2-47.5 ENTITLED
"CERTAIN APPEARANCES PROHIBITED"; PROVIDING
FOR CODIFICATION, REPEALER, SEVERABILITY, AND
EFFECTIVE DATE.
\VHEREAS, the Mayor and City Commission of the City of Miami Beach, Florida are
concerned with actual and/or appearance related conflicts of interest of public officials which
interfere in ensuring the City Commission's goal of good government; and
WHEREAS, conflict of interest laws presently exist within the Florida Statutes, Dade
County Code, as well as Miami Beach City Code; and
WHEREAS, neither the State or County laws prohibit the governing body of a municipality
from imposing upon its officers and employees additional or more stringent standards of conduct
and disclosure requirements than those specified in said laws, provided that those standards of
conduct and disclosure requirements do not otherwise conflict with the provisions of said legislation;
and
WHEREAS, the following legislation is thus hereby enacted for the purposes of
supplementing existing conflict of interest regulations where not otherwise in conflict with State and
County laws, so as to permeate and insure the public process and the concomitant process of
governmg.
NOW, THEREFORE, BE IT ORDAINED BY THE MAYOR Al"ID CITY
COMMISSION OF THE CITY OF MIAMI BEACH, FLORIDA:
SECTION 1.
AMENDMENT OF CHAPTER 2, ARTICLE III, ENTITLED
"STANDARDS OF CONDUCT FOR CITY OFFICERS AND
EMPLOYEES"
That Miami Beach City Code Chapter 2, Article III thereof, entitled "Standards of Conduct
.
for City Officers and Employees" is hereby amended by the creation of the following Section 2-47.4
entitled "Supplemental Abstention and Disclosure Requirements", and Section 2-47.5 entitled
"Certain Appearances Prohibited", said sections to read as follows:
Article III, Standards of Conduct for City Officers1 ftfld Employees and Agency
Members
* * ..
Sec. 2-47.4 Supplemental Abstention and Disclosure Requirements.
In addition to those conflict of interest abstention and disclosure requirements currently
required bv State and/or County law. the followin~ requirements shall also applv to City of Miami
Beach Public Officers:
ill A Public Officer with a conflict of interest on a particular matter is prohibited
from participating in that matter. "Participation" means any attempt to
influence the decision bv oral or written communication, whether made bv
the Officer or at the Officer's direction.
ill Written disclosures of conflict of interest shall contain the full nature of the
conflict at issue. including but not limited to names of individuals whose
relationship with the Officer results in the subiect conflict. and all material
facts relevant to the conflict issue. The wntten memorandum disclosing
conflict of interest shall be stated into the record before any discussion be~ins
2
on the subiect agenda item: this written disclosure memorandum must be
filed regardless of whether the Officer possessing the contlict was III
attendance or not during consideration of the subiect item.
ill "Public Officer" includes any person elected or appointed to hold office in
anvaQ'encv.
ill "A~encv" shall mean any board. commission. committee or authority of the
City of Miami Beach whether advisorY. ad hoc or standing in nature.
Sec.2-47.5. Certain Appearances Prohibited
ill No Member of a City of Miami Beach board. agency or committee or a
member of any board. agency or committee created hereafter which is
designated as a board. agency or committee subiect to the purview of this
Ordinance shall:
g.. either directly or through an associate. appear. represent or act on
behalf of a third person before the City Commission or any City
Agency with respect to any Agency action sought bv the third
person.
1L either directly or through an associate be engaged as a lobbyist fo~
and on behalf of a third person with respect to any official action bv
any public officer sought bv said third person.
""
~
ill Definitions.
As used in this Section. the followinf? definitions shall applv:
g,. "A!?encv" means any board. commission. committee or authority of
the City of Miami Beach whether advisorY. ad hoc or standing in
nature.
1L "Associate" means any person or entity engaged in or carrYing on a
business enterprise with a City of Miami Beach Agencv member as
a partner. ioint venturer. or co-corporate shareholder where the
shares of such cor:poration are not listed on any national or regional
stock exchange or CO-O\VTler of propertY.
~ "Lobbvist" means all persons. finns. or cor:porations employed or
retained. whether paid or not. * bv a principal who seeks to encourage
the passaQ'e. defeat. or modi fication( s) of any (1) ordinance,
resolution, action or decision of any Commissioner: (2) any action.
decision. recommendation of any city board or committee: or (3) any
action. decision or recommendation of the City Manager. Deputy City
ManaQ'er. Assistant City Managers, all department heads. all division
heads. the Citv Attornev. Chief Deputv City Attornev. Deputv CitY
Attornevs. and/or all Assistant Citv Attornevs (except when said
personnel are acting in connection with Administrative Hearings)
during the time period of the entire decision-makin!? process on such
action. decision or recommendation which foreseeablv will be heard
or reviewed bv the Citv Commission. or a city Agencv. "Lobbvist".
4
as defined above. specifically includes the principal. as described
above. as well as any agent. attorney. officer or employee of a
principal. rel?ardless of whether such lobbying activities fall within
the normal scope of employment of such agent...attomev. officer or
employee. '" For purposes of this Ordinance. "Lobbvist" shall
exclude any person who only appears as a representative of a not for
profit corporation or entity (such as a charitable organization. a
neig-hborhood or homeowner association. a local Chamber of
Commerce or a trade association or trade union). without special
compensation or reimbursement for the appearance. whether direct.
indirect or continllent. to express support of or opposition to any item.
d. "Public Officer" means any person elected or appointed to hold office
in the City of Miami Beach. a member of an Allencv which shall
include an advisorY bodv.
SECTION 2.
CODIFICA TION
It is the intention of the Mayor and City Commission of the City of Miami Beach, and it is
hereby ordained that the provisions of this ordinance shall become and be made a part of the Code
of the City of Miami Beach, Florida. The sections of this ordinance may be renumbered or relettered
to accomplish such intention, and the word "ordinance" may be changed to "section", "article," or
other appropriate word.
5
SECTION 3,
SEVERABILITY
If any section, sentence, clause or phrase of this ordinance is held to be invalid or
unconstitutional by any court of competent jurisdiction, then said holding shall in no way affect the
, validity of the remaining portions of this ordinance.
-
SECTION 4.
REPEALER
All ordinances or parts of ordinances in conflict herewith be and the same are hereby
repealed.
SECTION 5.
EFFECTIVE DATE
This Ordinance shall take effect the 27ch day of December, 1997.
PASSED and ADOPTED this 17 ch day of December , 1997.
ATTEST:
fJ
~6- r &lA.~
CITY CLERK
MAYOR
(Requested by Commissioner David Dermer)
1st reading 12/3/97
2nd reading 12/17/97
lKO:sct:jean.4 "\ethicom l.ord
4~J:!, ,
.
I hereby certify that the ab<M: aDd idWegoing is a
of ~ witness tbcRlof I set my baud aDd
:: ~ '1"oay~ 191i.
diYcriBK .
BY~~ iQilud.a;:p
D 'I f (Sell).
APPROVED AS TO
fORM & lANGUAGE
& FOR EXECUTION
1st Reading 12/3/97
2nd Reading
6
i
OFFICE OF THE CITY A TIORNEY
~ tf~mi 1lem-h
F
L
o
R
o
A
MURRAY H. Du""BBIN
City Attorney
.
T eJephone:
TeIecopy:
(305) 673-7470
(305) 673-7002
COMMISSION LVIEMORANDUlVI No.l <i5(j--91
DATE; DECEMBER 17, 1997
TO: l\'l-\. YOR NEISEN KASDIN,
MEMBERS OF THE CITY COMMISSION
(
FROM: MURRAYH.DUBBIl'i.l ~
CITY ATTORNEY IW\
SUBJECT: ORDINA1'lCE Al\1ENDING MIAMI BEACH CITY CODE CHAPTER 2, ARTICLE
III ENTITLED "STANDARDS OF CONDUCT FOR CITY OFFICERS AND
EMPLOYEES" BY CREATING SECTION 2-47.4 ENTITLED "SUPPLEMENTAL
ABSTENTION AND DISCLOSURE REQUIREMENTS", AND SECTION 2-47.5
ENTITLED "CERTAIN APPEARANCES PROHIBITED".
At the request of Commissioner David Denner, the attached Ordinance, which passed fIrst reading
on December 3, 1997, has been drafted amending the City's Conflict ofInterest regulations as presently
embodied within Chapter 2, Article III of the Miami Beach City Code. The proposed amendments create
two new sections within the City's Ethic Code, said sections supplementing state and county conflict of
interest regulations by establishing more stringent standards of conduct and abstention/disclosure
requirements than those currently specifIed in said laws. The attached Ordinance is thus ready to be h~ard
by the City Commission for ::second and final reading.
JKO :sctjean" ~ "\ethics2. em
Agenda Item e 56
Date l2'-ll5t
170() Convention Center Drive - Fourth Floor - :Miami Beach, Florida 33139
CITY OF MIAMI BEACH - CITIZEN PARTICIPATION PLAN
ATTACHMENT D
SUMMARY OF SUNSHINE AMENDMENT REQUIREMENTS
CITY OF ~IAMr BEACH
TO:
All Members of Boards,
Counsels
or
FROM: Laurence Fe ingol
City Attorney
SUBJECT: Public Meetings
Government in t~
DATE: June 25, 1990
----------------------------------------------------------------
In or~er to help ensure compliance with the Government in the
Su~shl~e Law by various officials, we have set forth below some
gu~dellnes for compliance.
.A. Meetinas
1. . All meetings of any board or commission ot a municipal
corporatlon at which official acts are to be taken a.re declared
public ~eetings and open to the public at all times, and no rule,
resolutlon or formal action shall be considered binding except as
may be taken at such meeting.
2. Open meeting law applies. to all boards and committees,
whether advisory or not. In short, any meeting at which two
appointed or elected public officials from any board or committee
discuss items en .hich they may foreseeably have to vote must be
public. Ad Hod Advisory boards, briefing sessions and informal
discussions by a body are included, even if no vote is taken. ,
A public'body must avoid secret meetings or gathe~ing from which
the public and the press are excluded, such as a meeting
immediately preceding an official meeting even though the meeting
is ostensibly for purely social. purposes.
B. Procedu ra 1 Requ i rements
1. Hea!.>onabJe notice is required prior to public meetings.
"Reasonable notice" varies depending on ,the facts in each
situation. Such notice is even required ln the absence ot a
quorum. (See "0" beloW' fot' minimum requirements.)
f 2. Reasonable rules and pol iciQ8 th4t in.ur. orderly d
o publ ic JIleet 1 ngs may be adonted by the body H con uct
reg i r"'. o....-ver
U rement that all persons ~ho attend 4 public meetin i' a
their names and addresses is not a reasonable raqtJir.;en\eg .tar
Florida la~ regarding this concern was amended in 1978 to . The
that ~o ~ublic meeting may be held where thera is an unr.a~~~:b~e
restrlctlon 0: public access because the facilities diacri i 8
on the basis of sex, age, race, creed, color, origin or .c~n~~ite
status. ~ c
No votes may be taken by secret ballot.
4. Minutes must be taken of every meeting,
workshops. No voice recording is necessary.
] .
including
c. Sanctions or Penalties fer Noncompliance
1. . Hembers 0 f the publ ic body may be guil ty ot a second
degree mlsdemeaner ~hich carries penalties of imprisonment not to
exceed 60 days and a fine not to exceed $500 or both.
2. Actions of the body taken outside of a public meeting may
be declared null and void.
D. General
lea) The City Clerk shall be furnished and maintain, tor desk
reference and public inspection, a listing of scheduled me.ting
times and the places ~here the meetings are to be held.
(b) Media representatives who are normally notified by the
ci ty Clerk or ci ty Manager when a Special Meeting of the City
Commission is called should also be notified, preferably ~8 hours
in advance, by such bodies when they are holding a nonscheduled
meeting or when the meeting is being held at a location other than
the regular or listed meeting place.
2. Prior to all meetings being convened, a suitable sign
should be posted at the entranca of the meeting location. The sign
should be of such size and contain such language that ...ould
reasonably info~ a person as to the identity of the body holding
the meeting and/or the nature of the meeting.
the assistance 'o~
If any questions by members arise which require
our office they are encouraged to contact us at any time.
LF:JCD/jal
Beards.mem
2
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CE GUIDE REV/1.1.97
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[P!1JQ)U'B~[Q1c\\ ~(g:10~D~~~~(iJ}~~ 'Q)G~J
I
GUIDE to the
SUNSHINE AMENDMENT
and
CODE of ETHICS
for Public Officers and Employees
I
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FLORIDA COMMISSION
ON ETHICS
Guide to the
SUNSHINE AMENDMENT
and
CODE OF ETHICS
for
PUBLIC OFFICERS
and EMPLOYEES
I. HISTORY OF FLORIDA'S
ETHICS LAWS
Florida has been a leader among the states
in establishing ethics standards for public officials
and recognizing the right of her people to protect
the public trust against abuse. Our state constitu-
tion was revised in 1968 to require that a code of
ethics for all state employees and non-judicial of-
ficers prohibiting conflict between public duty and
private interests be prescribed by law.
Florida's first successful constitutional initia-
tive resulted in the adoption of the "Sunshine
Amendment" in 1976, providing additional constitu-
tional guarantees concerning ethics in govern-
ment. In the area of enforcement, the Sunshine
Amendment requires that there be an indepen-
dent commission (the Commission on Ethics) to
investigate complaints concerning breaches of
public trust by public officers and employees oth-
er than judges.
The "Code of Ethics for Public Officers and
Employees" adopted by the Legislature is found
in Chapter 112 (Part III) of the Florida Statutes.
Foremost among the goals of the Code- is to pro-
mote the public interest and maintain the respect
of the people for their government. The Code is
also intended to ensure that public officials con-
duct themselves independently and impartially,
not using their offices for private gain other than
compensation provided by law. While seeking to
protect the integrity of government, the Code also
seeks to avoid the creation of unnecessary barri-
ers to public service.
Criminal penalties which initially applied to
violations of the Code were eliminated in 1974 in
favor of administrative enforcement. The
Legislature created the Commission on Ethics
that year "to serve as guardian of the standards
of conduct" for public officials, state and local,
Five of the Commission's nine members are ap-
pointed by the Governor, and two each are ap-
pointed by the President of the Senate and
Speaker of the House of Representatives, No
more than five Commission members may be
members of the same political party, and none
may hold any public employment during their two-
year terms of office. A chair is selected from
among the members to serve a one-year term
and may not succeed himself or herself.
II. ROLE OF THE COMMISSION
ON ETHICS
In addition to its constitutional duties regard-
ing the investigation of complaints, the
Commission:
· Renders advisory opinions to public offi-
cials;
· Prescribes forms for public disclosure;
. Prepares mailing lists of public officials sub-
ject to financial disclosure for use by
Supervisors of Elections and the Secretary
of State in distributing forms and notifying
delinquent filers;
· Makes recommendations to disciplinary offi-
cials when appropriate for violations of
ethics and disclosure laws, since it does not
impose penalties;
· Administers the Executive Branch Lobbyist
Registration Law;
. May file suit to void contracts.
III. THE ETHICS LAWS
The ethics laws generally consist of two types
of provisions, those prohibiting certain actions or
2
conduct and those requiring that certain disclo-
sures be made to the public, The following de-
scriptions of these laws are simplified to put peo-
ple on notice of their requirements. However, we
also suggest that you review the wording of the
actual law, Citations to the appropriate laws are
contained in brackets, The laws summarized be-
low apply generally to all public officers and em-
ployees, state and local, including members of
advisory bodies, The principal exception to this
broad coverage is the exclusion of judges, as
they fall within the jurisdiction of the Judicial
Qualifications Commission,
A. PROHIBITED ACTIONS OR CONDUCT
1, Solicitation and Acceptance of Gifts
Public officers, employees, local government
attorneys, and candidates are prohibited from so-
liciting or accepting anything of value, such as a
gift, loan, reward, promise of future employment,
favor, or service, that is based on an understand-
ing that their vote, official action, or judgment
would be influenced by such gift. (Sec.
112.313(2), Fla. Stat.]
A person required to file financial disclosure
FORM 1 or FORM 6 (see part III F of this
brochure), as well as a procurement employee for
the State, is prohibited from soliciting any gift
from a political committee, committee of continu-
ous existence, lobbyist who has lobbied his or
her agency within the past 12 months, or the
partner, firm, employer, or principal of such a lob-
byist. (Section 112.3148, Fla. Stat.]
A person required to file FORM 1 or FOR~
6, as well as a State procurement employee, IS
prohibited from directly or indirectly accepting a
gift worth over $100 from such a lobbyist, from a
partner, firm, employer, or pnnclpal of the lobby-
ist, or from a political committee or committee of
continuous existence. (Section 112.3148, Fla.
Stat.]
2. Unauthorized Compensation
Public officers or employees, local government
attorneys, and their spouses and minor children are
3
.. . .4 _.__~~"4__.....
prohibited from accepting any compensation, pay-
ment, or thing of value when they know, or with
the exercise of reasonable care should know,
that it is given to influence a vote or other official
action. [See, 112,313(4), Fla, Stat.]
3, Misuse of Public Position
Public officers and employees, and local
government attorneys are prohibited from cor-
ruptly using or attempting to use their official po-
sitions to obtain a special privilege for them-
selves or others. [See, 112,313(6), Fla. Stat.]
4. Disclosure or Use of Certain Information
Public officers and employees, and local
government attorneys are prohibited from dis-
closing or using information not available to the
public and obtained by reason of their public po-
sitions for the personal benefit of themselves or
others. [Sec. 112.313(8), Fla. Stat.]
5. Solicitation or Acceptance of Honoraria
A person required to file financial disclosure
FORM 1 or FORM 6 (see part III F of this
brochure), as well as a procurement employee for
the State, is prohibited from soliciting an hono-
rarium which is related to his or her public office
or duties. [Section 112.3149, Fla. Stat.]
A person required to file FORM 1 or FORM
6, as well as a State procurement employee, is
prohibited from knowingly accepting an honorari-
um from a political committee, committee of con-
tinuous existence, lobbyist who has lobbied the
person's agency within the past 12 months, or
the partner, firm, employer, or principal of such a
lobbyist. However, he or she may accept the pay-
ment of expenses related to an honorarium event
from such individuals or entities, provided that
the expenses are disclosed. See part III F of this
brochure. [Section 112.3149, Fla. Stat.]
Lobbyists and their partners, firms, employ-
ers, and principals, as well as political committees
and committees of continuous existence, are pro-
hibited from giving an honorarium to persons re-
quired to file FORM 1 or FORM 6 and to State pro-
curement employees. Violations of this law may
4
result in fines of up to $5,000 and prohibitions
against lobbying for up to two years. [Section
112.3149, Fla, Stat.]
B. PROHIBITED EMPLOYMENT AND BUSI-
NESS RELATIONSHIPS
1, Doing Business With One's Agency
(a) A public employee acting as a purchas-
ing agent, or public officer acting in an official ca-
pacity, is prohibited from purchasing, renting, or
leasing any realty, goods, or services for his or
her agency from a business entity in which the of-
ficer or employee, his or her spouse, or child own
more than a 5% interest. [Sec. 112.313(3), Fla.
StaL]
(b) A public officer or employee, acting in a
private capacity, also is prohibited from renting,
leasing, or selling any realty, goods, or services
to his or her own agency if the officer or employ-
ee is a state officer or employee, or, if he or she
is an officer or employee of a political subdivi-
sion, to that subdivision or any of its agencies.
[Sec. 112.313(3), Fla. Stat.]
2. Conflicting Employment or Contractual
Relationship
(a) A public officer or employee is prohibited
from holding any employment or contract with
any business entity or agency regulated by or do-
ing business with his or her public agency. [Sec.
112.313(7), Fla. Stat.]
(b) A public officer or employee also is pro-
hibited from holding any employment or having a
contractual relationship which will pose a fre-
quently recurring conflict between private inter-
ests and public duties or which will impede the
full and faithful discharge of public duties. [Sec.
112.313(7), Fla. Stat.]
(c) Limited exceptions to this prohibition
have been created in the law for legislative bod-
ies, certain special tax districts, drainage districts,
and persons whose professions or occupations
qualify them to hold their public positions. [Sec.
112.313(7)(a) & (b), Fla. Stat.]
5
. __._~ .__ ..r'___",~__,_
3, Exemptions-The prohibitions against doing
business with one's agency and having conflict-
ing employment may not apply:
(a) When the business is rotated among all
qualified suppliers in a city or county,
(b) When the business is awarded by
sealed, competitive bidding and the official, his or
her spouse, or child have not attempted to per-
suade agency personnel to enter the contract.
NOTE: Disclosure of the interest of the official,
spouse, or child and the nature of the business
must be filed prior to or at the time of submission
of the bid on Commission FORM 3A with the
Secretary of State or Supervisor of Elections, de-
pending on whether the official serves at the
state or local level.
(c) When the purchase or sale is for legal
advertising, utilities service, or for passage on a
common carrier.
(d) When an emergency purchase must be
made to protect the public health, safety, or wel-
fare.
(e) When the business entity is the only
source of supply within the political subdivision
and there is full disclosure of the official's interest
to the governing body on Commission FORM 4A.
(f) When the aggregate of any such trans-
actions does not exceed $500 in a calendar year.
(g) When the business transacted is the de-
posit of agency funds in a bank of which a coun-
ty, city, or district official is an officer, director, or
stockholder, so long as agency records show that
the governing body has determined that the
member did not favor his or her bank over other
qualified banks.
(h) When the prohibitions are waived in the
case of ADVISORY BOARD MEMBERS by the
appointing person or by a two-thirds vote of the
appointing body (after disclosure on Commission
FORM 4A).
(i) When the public officer or employee pur-
chases in a private capacity goods or services, at
a price and upon terms available to similarly situ-
6
ated members of the general public, from a busi-
ness entity which is doing business with his or
her agency.
(j) When the public officer or employee in a
private capacity purchases goods or services from
a business entity which is subject to the regulation
of his or her agency where the price and terms of
the transaction are available to similarly situated
members of the general public and the officer or
employee makes full disclosure of the relation-
ship to the agency head or governing body prior
to the transaction. [Sec. 112.313(12), Fla. Stat.]
4. Additional Exemption
No elected public officer is in violation of the
conflicting employment prohibition when em-
ployed by a tax exempt organization contracting
with his or her agency so long as the officer is not
directly or indirectly compensated as a result of
the contract, does not participate in any way in
the decision to enter into the contract, abstains
from voting on any matter involving the employer,
and makes certain disclosures. [Sec.
112.313(14), Fla. Stat.]
5. Lobbying State Agencies By Legislators
A member of the Legislature is prohibited
from representing another person or entity for
compensation during his or her term of office be-
fore any state agency other than judicial tri-
bunals. [Art II. Sec. 8(e), Fla. Const. and Sec.
112.313(9), Fla. Stat.]
6. Employees Holding Office
A public employee is prohibited from being a
member of the governing body which serves as
his or her employer. [Sec. 112.313(10), Fla. Stat.]
7. Professional and Occupational Lie:ensing
Board Members
An officer, director, or administrator of a
state, county, or regional professional or occupa-
tional organization or association, while holding
such position, may not serve as a member of a
state examining or licensing board for the profes-
7
~ -.....- ."~!_Jl_....:"'=.........
sion or occupation. [Sec. 112.313( 11), Fla, Stat.]
8. Contractual Services: Prohibited Employment
A state employee of the executive or judicial
branches who participates in the decision-making
process involving a purchase request, who influ-
ences the content of any specification or procure-
ment standard. or who renders advice, investiga-
tion, or auditing, regarding his or her agency's
contract for services, is prohibited from being em-
ployed with a person holding such a contract with
his or her agency, [Sec. 112,3185(2), Fla. Stat.]
9, Local Government Attorneys
Local government attorneys and their law
firms are prohibited from representing private in-
dividuals and entities before the unit of local gov-
ernment which they serve. A local government
attorney cannot recommend or otherwise refer to
his or her firm legal work involving the local gov-
ernment unit unless the attorney's contract autho-
rizes or mandates the use of that firm.
C. RESTRICTIONS ON APPOINTING, EM-
PLOYING, AND CONTRACTING WITH RELA-
TIVES
A public official is prohibited from seeking for
a relative any appointment, employment, promo-
tion or advancement in the agency in which he or
she is serving or over which the official exercises
jurisdiction or control. No person may be appoint-
ed, employed, promoted, or advanced in or to a
position in an agency if such action has been ad-
vocated by a related public official who is serving
in or exercising jurisdiction or control over the
agency; this includes relatives of members of col-
legial government bodies. NOTE: This prohibition
does not apply to school districts, community col-
leges, and state universities, or to appointments
of boards in municipalities of less than 35,000,
other than those with land-planning or zoning re-
sponsibilities. Also, the approval of budgets does
not constitute "jurisdiction or control" for the pur-
poses of this prohibition. [Sec. 112.3135, Fla.
Stat.]
8
, ,
~ ---.'~ -...... - '.---.. - .-..-
A state employee of the executive or judicial
branches or the PSC is prohibited from directly or
indirectly procuring contractual services for his or
her agency from a business entity of which a rel-
ative is an officer, partner, director, or proprietor,
or in which the employee, his or her spouse, and
children own more than a 5% interest. [Sec,
112,3185(6), Fla, Stat.]
D. POST OFFICEHOLDING AND EMPLOY-
MENT (REVOLVING DOOR) RESTRICTIONS
1. Lobbying By Former Legislators, Statewide
Elected Officers, and Appointed State Officers
A member of the Legislature or a statewide
elected or appointed state official is prohibited for
two years following vacation of office from repre-
senting another person or entity for compensa-
tion before the government body or agency of
which the individual was an officer or member.
[Art. II, Sec, 8(e), Fla. Const. and Sec.
112.313(9), Fla. Stat.] This applies to appointed
State officers who are appointed on or after Jan.
1,1995.
2. Lobbying By Former State Employees
Certain employees of the executive and leg-
islative branches of state government are prohib-
ited from personally representing another person
or entity for compensation before the agency with
which they were employed for a period of two
years after leaving their positions, unless em-
ployed by another agency of state government.
[Sec. 112.313(9), Fla. Stat.] These employees in-
clude the following:
(a) Executive and legislative branch employ-
ees serving in the SENIOR MANAGEMENT SER-
VICE and SELECTED EXEMPT SERVICE, as
well as any person employed by the DEPART-
MENT OF THE LOTTERY having authority over
policy or procurement.
(b) Persons serving in the following 'position
classifications: the Auditor General; the Sergeant
at Arms and Secretary of the Senate; the
Sergeant at Arms and Clerk of the House of
Representatives; the executive director of the
9
. -~ ~"_ho':"'~JL'.1....,~J'''''''.
Legislative Committee on Intergovernmental
Relations and the executive director and deputy
executive director of the Commission on Ethics;
an executive director, staff director, or deputy
staff director of each joint committee, standing
committee, or select committee of the
Legislature; an executive director, staff director,
executive assistant, legislative analyst, or attor-
ney serving in the Office of the President of the
Senate, the Office of the Speaker of the House of
Representatives, the Senate Majority Party
Office, the Senate Minority Party Office, the
House Majority Party Office, the House Minority
Party Office; the Chancellor and Vice-
Chancellors of the State University System; the
general counsel to the Board of Regents; the
president, vice presidents, and deans of each
state university; any person hired on a contractu-
al basis and having the power normally conferred
upon such persons, by whatever title; and any
person having the power normally conferred upon
the above positions.
This prohibition does not apply to a person
who was employed by the Legislature or other
agency prior to July 1, 1989; who was employed
by the Legislature or other agency on July 1,
1989; who was a defined employee of the SUS or
the PSC who held such employment on
December 31, 1994; or who reached normal re-
tirement age and retired by July 1, 1991.
PENALTIES: Persons found in violation of
this section are subject to the penalties contained
in the Code (see PENALTIES, Part V) as well as
a civil penalty in an amount equal to the compen-
sation which the person receives for the prohibit-
ed conduct. [Sec. 112.313(9)(a)5., Fla. Stat.]
3. Additional Restrictions on Former State
Employees
A former executive or judicial branch em-
ployee or PSC employee is prohibited from hav-
ing employment or a contractual relationship, at
any time after retirement or termination of em-
ployment, with any business entity (other than a
public agency) in connection with a contract in
which the employee participated personally and
10
~~..J" ",,.:~_.oI ....J,......, .... ,'.
substantially by recommendation or decision
while a public employee. [Sec. 112.3185(3), Fla.
Stat.]
A former executive or judicial branch state
employee or PSC employee who has retired or
terminated employment is prohibited from having
any employment or contractual relationship for
two years with any business entity (other than a
public agency) in connection with a contract for
services which was within his or her responsibility
while serving as a state employee. [Sec.
112.3185(4), Fla. Stat.]
Unless waived by the agency head, a former
executive or judicial branch state employee or
PSC employee may not be paid more for contrac-
tual services provided by him or her to the former
agency during the first year after leaving the
agency than his or her annual salary before leav-
ing, [Sec. 112.3185(5), Fla. Stat.]
These prohibitions do not apply to PSC em-
ployees who were so employed on or before Dec.
31, 1994.
4. Lobbying By Former Local Government
Officers and Employees
A person elected to county, municipal,
school district, or special district office is prohibit-
ed from representing another person or entity for
compensation before the government body of
which he or she was an officer for two years after
leaving office. This does not apply to an elected
official who held office on October 1, 1992 or a
school district official who held office on January
1 1995 until reelected after that date. Appointed
officers' and employees of counties, municipali-
ties, school districts, and special districts may be
subject to a similar restriction by local ordinance
or resolution. [Sec. 112.313(13) and (14), Fla,
Stat.]
E. VOTING CONFLICTS OF INTEREST
NO STATE PUBLIC OFFICIAL is prohibited
from voting in an official capacity on any matter.
However, a STATE PUBLIC OFFICER who vot~s
on a measure which inures to his or her speCial
private gain or loss, or which the officer knows
would inure to the special private gain or loss of
'1
11
__...""- ..4._._........__...
any PRINCIPAL by whom he or she is retained
of the PARENT ORGANIZATION or SUB~
SIDIARY of a CORPORATE PRINCIPAL by
which he or she is retained, of a RELATIVE, or of
a BUSINESS ASSOCIATE, must file a memoran-
dum of voting conflict on Commission FORM 8A
with the recording secretary within 15 days after
the vote occurs. disclosing the nature of his or
her interest in the matter,
NO COUNTY, MUNICIPAL, or other LOCAL
PUBLIC OFFICER shall vote in an official capaci-
ty upon any measure which would inure to his or
her special private gain or loss, or which the offi-
cer knows would inure to the special private gain
or loss of any PRINCIPAL by whom he or she is
retained, of the PARENT ORGANIZATION or
SUBSIDIARY of a CORPORATE PRINCIPAL by
which he or she is retained, of a RELATIVE, or of
a BUSINESS ASSOCIATE. The officer must pub-
licly announce the nature of his or her interest
before the vote and must file a memorandum of
voting conflict on Commission FORM 8B with the
meeting's recording officer within 15 days after
the vote occurs disclosing the nature of his or her
interest in the matter, However, members of com-
munity redevelopment agencies and district offi-
cers elected on a one-acre, one-vote basis are
not required to abstain.
NO APPOINTED STATE OR LOCAL OFFI-
CER shall PARTICIPATE in any matter which
would inure to the officer's special private gain or
loss, the special private gain or loss of any PRINCI-
PAL by whom he or she is retained, of the PAR-
ENT ORGANIZATION or SUBSIDIARY of a COR-
PORATE PRINCIPAL by which he or she is re-
tained, of a RELATIVE or of a BUSINESS ASSO-
CIA TE, without first disclosing the nature of his or
her interest in the matter. The memorandum of vot-
ing conflict (Commission FORM 8A or 8B) must be
filed with the meeting's recording officer, be provid-
ed to the other members of the agency, and be
read publicly at the next meeting.
If the conflict is unknown or not disclosed pri-
or to the meeting, the appointed official must
orally di~close the conflict at the meeting when
the conflict becomes known. Also, a written mem-
12
orandum of voting conflict must be filed with the
meeting's recording officer within 15 days of the
disclosure being made and must be provided to
the other members of the agency with the disclo-
sure being read publicly at the next scheduled
meeting, [Sec. 112,3143, Fla, StaLl
,
.
I
F. DISCLOSURES
Conflicts of interest may occur when public
officials are in a position to make decisions which
affect their personal financial interests. This is
why public officers and employees. as well as
candidates who run for public office, are required
to publicly disclose their financial interests. The
disclosure process serves to remind officials of
their obligation to put the public interest above
personal considerations. It also helps citizens to
monitor the considerations of those who spend
their tax dollars and participate in public policy
decisions or administration.
All public officials and candidates do not file
the same degree of disclosure; nor do they all file
at the same time or place. Thus, care must be
taken to determine which disclosure forms a par-
ticular official or candidate is required to file.
The following forms are described below to
set forth the requirements of the various disclo-
sures and the steps for correctly providing the in-
formation in a timely manner.
i
I'
f
1. FORM 6 - Full and Public Disclosure
Who Must File:
Persons required by law to file FORM 6 are
elected constitutional officers and candidates for
such office; the Mayor and members of the City
Council of Jacksonville and candidates for these
offices; the Duval County Superintendent of
Schools; Judges of Compensation Claims; and
members of the Florida Housing Finance Agency,
the Florida Commission on Tourism, the Florida
Film and Television Investment Board, the
Florida Black Business Investment Board, and
the Prepaid Postsecondary Education Expense
Board.
What Must be Disclosed:
13
FORM 6 is a detailed disclosure of assets li-
abilities, and sources of income over $1 ,000 ~nd
their values, as well as net worth. Officials may
opt to file their most recent income tax return in
lieu of listing sources of income but still must dis-
close their assets, liabilities, and net worth, In ad-
dition, the form requires the disclosure of certain
relationships with, and ownership interests in,
specified types of businesses such as banks,
savings and loans, insurance companies, and
utility companies,
When and Where To File:
Incumbent officials must file FORM 6 annual-
ly by July 1 with the Secretary of State. CANDI-
DATES must file with the officer before whom
they qualify at the time of qualifying. [Art. II, See,
8(a) and (h), Fla. Const., and Sec. 112.3144, Fla.
Stat.]
2. FORM 1 - Limited Financial Disclosure
Who Must File:
Persons required to file FORM 1 include all
state officers, local officers, candidates for local
elective office, and specified state employees as
defined below (other than those officers who are
required by law to file FORM 6).
STATE OFFICERS include:
(1) Appointed members of any board having
statewide jurisdiction, excluding members of
boards which are solely advisory;
(2) Members of the Board of Regents, the chan-
cellor and vice-chancellor of the state university
system, and presidents of state universities; and
(3) ~II elected public officers (excluding con-
greSSional) not covered under "local officers" and
any person appointed to fill a vacancy in such
elective office.
LOCAL OFFICER includes:
(1) Any person elected to office in any political
subdivision and any person appointed to fill a va-
cancy for an unexpired term in such elective office;
(2) An appointed member of a board of any po-
14
.' ._~... ... -~. ~. '\~"'
litical subdivision (except members of solely advi-
sory bodies);
(3) Any member of a body exercising land-plan-
ning, zoning, or natural resources responsibili-
ties, whether advisory or not:
(4) A mayor and the chief administrative officer
of a county, municipality, or other political subdi-
VISion;
(5) Any person holding one or more of the fol-
lowing positions within a county or municipality:
city or county attorney; chief building inspector;
water resources coordinator; pollution control di-
rector; environmental control director; administra-
tor with power to grant or deny a land develop-
ment permit;
(6) A chief of police; fire chief; municipal clerk;
district school superintendent; community college
president; medical examiner; and a purchasing
agent having the authority to make any purchase
exceeding $1,000 for any political subdivision of
the state or any entity thereof.
SPECIFIED STATE EMPLOYEE includes:
(1) The Public Counsel created by Chapter 350;
an assistant state attorney, an assistant public
defender, a full-time state employee who serves
as counselor assistant counsel to any state
agency; a judge of compensation claims; an ad-
ministrative law judge; and a hearing officer;
(2) Any person employed in the offices of the
Governor or member of the Cabinet who is ex-
empt from the career service system, except
those persons in clerical, secretarial, or similar
positions;
(3) Each appointed secretary, assistant secre-
tary, deputy secretary, executive director, assis-
tant executive director, or deputy execy,tive direc-
tor of each state department, commission, board,
or council; and the division director, assistant di-
vision director, deputy director, bureau chief, or
assistant bureau chief of any state department or
division, or persons having the power normally
conferred upon such person by whatever title;
15
. ... ~ ," ...,..-.~,. ~I.!J''''''~.''';'_.'''''_~J....
(4) A superintendent or institute director of a
state mental health institute established for train-
ing and research in the mental health field or of
any major state institution or facility for correc-
tions. training. treatment, or rehabilitation;
(5) A business manager, purchasing agent hav-
ing the power to make any purchase exceeding
$1,000; finance and accounting director, person-
nel officer, and grants coordinator for any state
agency;
(6) Voting members of the Information
Technology Resource Procurement Advisory
Council;
(7) Any person employed in the legislative
branch of government, except persons employed
in maintenance, clerical, secretarial, or similar
positions and legislative assistants exempted by
the presiding officer of their house; and
(8) Each employee of the Ethics Commission.
What Must Be Disclosed:
FORM 1 requirements are set forth fully on
the form. In general, this includes the reporting
person's sources and types of financial interests,
such as the names of employers and addresses
of real property holdings. NO DOLLAR VALUES
ARE REQUIRED TO BE LISTED. In addition, the
form requires the disclosure of certain relation-
ships with, and ownership interests in, specified
types of businesses such as banks, savings and
loans, insurance companies, and utility compa-
nies.
When to File:
CANDIDATES for elected local office must
file FORM 1 together with and at the same time
they file their qualifying papers.
STATE and LOCAL OFFICERS and SPECI-
FIED STATE EMPLOYEES are required to file
disclosure by July 1 of each year. They also must
file within thirty days from the date of appoint-
ment or the beginning of employment. Those ap-
pointees requiring Senate confirmation must file
prior to confirmation.
16
......-:.__...-~_.. -......
Where to File:
Each LOCAL OFFICER files FORM 1 with
the Supervisor of Elections in the county in which
he or she permanently resides.
A STATE OFFICER or SPECIFIED STATE EM-
PLOYEE files with the Department of State,
Division of Elections, Room 1801, The Capitol,
Tallahassee, Florida 32399. [Sec. 112.3145, Fla.
Stat.]
3, FORM 9 - Quarterly Gift Disclosure
Each person required to file FORM 1 or FORM
6, and each State procurement employee, must file
a FORM 9, Quarterly Gift Disclosure, with the
Secretary of State on the last day of any calendar
quarter following the calendar quarter in which he
or she received a gift worth over $100, other than
gifts from relatives, gifts prohibited from being ac-
cepted, gifts primarily associated with his or her
business or employment, and gifts otherwise re-
quired to be disclosed. FORM 9 NEED NOT BE
FILED if no such gift was received during the cal-
endar quarter.
Information to be disclosed includes a descrip-
tion of the gift and its value, the name and address
of the donor, the date of the gift, and a copy of any
receipt for the gift provided by the donor. [Sec.
112.3148, Fla. Stat.]
4. FORM 30 - Donor's Quarterly Gift Disclosure
As mentioned above, the following persons and
entities generally are prohibited from giving a gift
worth over $100 to a reporting individual (a person
required to file FORM 1 or FORM 6) or to ,a State
procurement employee: a political comml,ttee or
committee of continuous existence; a lobbYist who
lobbies the reporting individual's or procurement
employee's agency; and the partner, firrrr, employ-
er, or principal of such a lobbyist. If such person or
entity makes a gift worth between $25 and $100 to
a reporting individual or State procurement employ-
17
.~ _...._._,._._~..-
ee (that is not accepted in behalf of a governmental
entity or charitable organization), the gift should be
reported on FORM 30, The donor also must notify
the recipient at the time the gift is made that it will
be reported.
The FORM 30 should be filed by the last day of
the calendar quarter following the calendar quarter
in which the gift was made, If the gift was made to
an individual in the legisla.tiv~ branch, FORM 30
should be filed with the JOINT LEGISLATIVE
MANAGEMENT COMMITTEE. If the gift was to
any other reporting individual or State procurement
employee, FORM 30 should be filed with the DE-
PARTMENT OF STATE, DIVISION OF ELEC-
TIONS. The first filing of this report was due on
March 31, 1992.
5, FORM 10 - Annual Disclosure of Gifts from
Government Agencies and Direct-Support
Organizations and Honorarium Event Related
Expenses
State government entities, airport authorities,
counties, municipalities, school boards, water man-
agement districts, and the Tri-County Commuter
Rail Authority may give a gift worth over $100 to a
person required to file FORM 1 or FORM 6, and to
State procurement employees, if a public purpose
can be shown for the gift. Also, a direct-support or-
ganization for a governmental entity may give such
a gift to a person who is an officer or employee of
that entity. These gifts are to be reported on FORM
10, to be filed by July 1,
The governmental entity or direct-support orga-
nization giving the gift must provide the officer or
employee with a statement about the gift no later
than March 1 of the following year. The officer or
employee then must disclose this information by fil-
ing a statement by July 1 with his or her annual fi-
nancial disclosure that describes the gift and lists
the donor, the date of the gift, and the value of the
total gifts provided during the calendar year. State
procurement employees file their statements with
the Department of State, [Sec. 112.3148, Fla. Stat.]
18
In addition, a person required to file FORM 1 or
FORM 6, or a State procurement employee, who
receives expenses or payment of expenses after
January 1, 1991, related to an honorarium event
from someone who is prohibited from giving him or
her an honorarium, must disclose annually the
name, address, and affiliation of the donor, the
amount of the expenses, the date of the event, a
description of the expenses paid or provided, and
the total value of the expenses on FORM 10, The
donor paying the expenses must provide the officer
or employee with a statement about the expenses
within 60 days of the honorarium event.
Honorarium related expenses from someone who
does not employ a lobbyist do not have to be re-
ported.
The disclosure must be filed by July 1, for ex-
penses received during the previous calendar year,
with the officer's or employee's FORM 1 or FORM
6. State procurement employees file their state-
ments with the Department of State. [Sec.
112.3149, Fla. Stat., as created by Ch. 90-502,
Laws of Fla.]
6. FORM 2 - Quarterly Client Disclosure
The state officers, local officers, and specified
state employees as listed above, as well as elected
constitutional officers, must file a FORM 2 if they or
a partner or associate of their professional firm rep-
resent a client for compensation before an agency
at their level of government.
A FORM 2 disclosure includes the names of
clients represented by the reporting person or by
any partner or associate of his or her professional
firm for a fee or commission before agencies at the
reporting person's level of government. Such repre-
sentations DO NOT INCLUDE appearances in min-
isterial matters, appearances before judges of com-
pensation claims, or representations on behalf of
one's agency in one's official capacity. Nor does
the term include the preparation and filing of forms
and applications merely for the purpose of obtain-
ing or transferring a license, so long as the is-
suance of the license does not require a variance,
19
._--,-' -... ._"....... -.. - .--~_. .-. ,,-- ~
.. ~ , -"' ~ ,-, ~ -,' ~_. ... '.. I. '
special consideration, or a certificate of public con-
venience and necessity,
When to File:
This disclosure should be filed quarterly, within
15 days after the last day of the calendar quarter
during which a reportable representation was
made. FORM 2 need not be filed merely to indicate
that no reportable representations occurred during
the preceding quarter; it should be filed ONLY
when reportable representations were made during
the quarter,
Where To File:
LOCAL OFFICERS file with the Supervisor of
Elections of the county in which they permanently
reside.
STATE OFFICERS and SPECIFIED STATE
EMPLOYEES file with the Department of State,
Division of Elections, Room 1801, The Capitol,
Tallahassee, Florida 32399. [Sec. 112.3145(4), Fla.
StaL]
IV. A V AILABILlTY OF FORMS
LOCAL OFFICERS and EMPLOYEES who
must file annually FORMS 1 or 10 will be sent
these forms by mail from the Supervisor of
Elections in the county in which they permanently
reside not later than JUNE 1 of each year. Newly
elected and appointed officials or employees
should contact the board of their agency for copies
of the forms.
ELECTED CONSTITUTIONAL OFFICERS,
OTHER STATE OFFICERS, and SPECIFIED
ST ATE EMPLOYEES who must file annually
FORMS 1,6 or 10 will be sent these forms by mail
from the Department of State by JUNE 1 of each
year. Newly elected and appointed officers and em-
ployees should contact the heads of their agencies
or the Department of State for copies of the forms,
Any person needing one or more of the other
forms (FORMS 2, 3A, 4A, 8A, 8B, 9, 30, and 50)
20
~~_... ,,_~_~:...._". .._-~... -0" _'.."_ ,.,
described here may obtain them upon request from
a Supervisor of Elections or from the Department of
State, Division of Elections, Room 1802, The
Capitol, Tallahassee, Florida 32399,
V. PENALTIES
A. Non-criminal Penalties for Violation of the
Sunshine Amendment and the Code of Ethics
There are no criminal penalties for violation of
the Sunshine Amendment and the Code of Ethics.
Penalties for violation of those laws may include:
impeachment, removal from office or employment,
suspension, public censure, reprimand, demotion,
reduction in salary level, forieiture of no more than
one-third salary per month for no more than twelve
months, a civil penalty not to exceed $10,000, and
restitution of any pecuniary benefits received,
-I
I
(
"
B, Penalties for Candidates
CANDIDATES for public office who are found in
violation of the Sunshine Amendment or the Code
of Ethics may be subject to one or more of the fol-
lowing penalties: disqualification from being on the
ballot, public censure, reprimand, or a civil penalty
not to exceed $10,000.
.
.'
C. Penalties for Former Officers and
Employees
FORMER PUBLIC OFFICERS or EMPLOYEES
who are found in violation of a provision applicable
to former officers or employees or whose violation
occurred prior to such officer's or employee's leav-
ing public office or employment may be subject to
one or more of the following penalties: public cen-
sure and reprimand, a civil penalty not to exceed
$10,000, and restitution of any pecuniary benefits
received. [Sec. 112,317, Fla. Stat.]
D. Penalties for Lobbyists and Others'
An executive branch lobbyist who has failed to
comply with the Executive Branch Lobbying
Registration law (see Part VIII) may be fined up to
21
. .."......-'-,..... -~
$5,000, reprimanded, censured, or prohibited from
lobbying executive branch agencies for up to 2
years.
Lobbyists, their employers, principals, partners,
and firms, and political committees and committees
of continuous existence who give a prohibited gift
or honorarium or fail to comply with the gift report-
ing requirements for gifts worth between $25 and
$100 may be penalized by a fine of not more than
$5,000 and a prohibition on lobbying, or employing
a lobbyist to lobby, before the agency of the public
officer or employee to whom the gift was given for
up to 2 years,
E, Felony Convictions: Forfeiture of
Retirement Benefits
Public officers and employees are subject to
forfeiture of all rights and benefits under the retire-
ment system to which they belong if convicted of
certain offenses prior to their retirement. The of-
fenses include embezzlement or theft of public
funds; bribery; felonies specified in Chapter 838,
Florida Statutes; impeachable offenses; and
felonies committed with intent to defraud the public
or their public agency. [Sec. 112.3173, Fla. Stat.]
VI. ADVISORY OPINIONS
Conflicts of interest may be avoided by greater
awareness of the ethics laws on the part of public
officials and employees through advisory assis-
tance from the Commission on Ethics.
A. Who Can Request An Opinion
Any public officer, candidate for public office, or
public employee in Florida who is in doubt about
the applicability of the standards of conduct or dis-
closure laws to himself or herself, or anyone who
has the power to hire or terminate another public
employee, may seek an advisory opinion from the
Commission about himself or herself or that em-
ployee.
22
-_.,.-~--_.._-_..~. ....-
B, How To Request An Opinion
Opinions may be requested by letter presenting
a question based on a real situation and including a
detailed description of the situation. Opinions are
issued by the Commission and are binding on the
conduct of the person who is the subject of the
opinion, unless material facts were omitted or mis-
stated in the request for the opinion, Published
opinions will not bear the name of the persons in-
volved unless they consent to the use of their
names,
C, How To Obtain Published Opinions
Published opinions of the Commission on
Ethics are available for purchase at prices below
their actual cost. The opinions are printed in loose-
leaf volumes containing a subject-matter index and
a citator to all Florida Statutes and State constitu-
tional provisions construed or relied upon by the
Commission. Every agency of government should
have a set of opinions for ready reference when the
need arises.
The Commission also publishes a Digest of its
advisory opinions which is available to anyone
upon request. The Digest is published quarterly
and is sent free of charge. The order form at the
end of this booklet may be used to request copies
of the Commission's published opinions.
VII. COMPLAINTS
A. A Citizen's Responsibility
The Commission on Ethics cannot conduct in-
vestigations of alleged violations of the Sunshine
Amendment or the Code of Ethics unless a person
files a sworn complaint with the Commission alleg-
ing such violation has occurred.
If you have knowledge that a person in "govern-
ment has violated the standards of conduct or dis-
closure laws described above or has committed
some other breach of the public trust, you may re-
port these violations to the Commission by filing a
sworn complaint Otherwise, the CommiSSion IS un-
23
able to take action. even after learning of such mis-
deeds through newspaper reports and phone calls.
Should you desire assistance in obtaining or
completing a complaint form (FORM 50). you may
receive either by contacting the Commission office
at the address or phone number shown on the in-
side front cover of this booklet.
8, Confidentiality
The complaint. as well as all proceedings and
records relating to the complaint. are confidential
until the accused requests that such records be
made public or until the complaint reaches a stage
in the Commission's proceedings where it be-
comes public, This means that unless the
Commission receives a written waiver of confiden-
tiality from the accused, the Commission is not free
to release any documents or to comment on a
complaint to members of the public or press, so
long as the complaint remains in a confidential
stage,
IN NO EVENT MAY A COMPLAINT BE FILED
OR DISCLOSED WITH RESPECT TO A CANDI-
DATE FOR ELECTION WITHIN 5 DAYS PRECED-
ING THE ELECTION DATE.
C. How the Complaint Process Works
The Commission staff must forward a copy of
the original sworn complaint to the accused within
five days of its receipt. Any subsequent sworn
amendments to the complaint also are transmitted
within five days of their receipt.
Once a complaint is filed. there are three proce-
dural stages which it goes through under the
Commission's rules. The first stage is a determina-
tion of whether the allegations of the complaint are
legally sufficient, that is, whether they indicate a
possible violation of any law over which the
Commission has jurisdiction. If the complaint is
found not to be legally sufficient, the Commission
will order that the complaint be dismissed without
investigation, and all records relating to the com-
plaint will become public at that time.
24
If the complaint is found to be legally sufficient,
a preliminary investigation will be undertaken by
the investigative staff of the Commission. The sec.
and stage of the Commission's proceedings in-
volves this preliminary investigation and a decision
by the Commission of whether there is, probable
cause to believe that there has been a VIolation of
any of the ethics laws, If the Commission finds no
probable cause to believe there has been a viola-
tion of the ethics laws, the complaint will be dis-
missed and will become a matter of public record. If
the Commission finds probable cause to believe
there has been a violation of the ethics laws, the
complaint becomes public and usually enters the
third stage of proceedings. This stage requires the
Commission to decide whether the law was actually
violated and, if so, whether a penalty should be
recommended. At this stage, the accused has the
right to request a public hearing (trial) at which evi-
dence is presented or the Commission may order
that such a hearing be held. Public hearings usual-
ly are held in or near the area where the alleged vi-
olation occurred.
When the Commission concludes that a viola-
tion has been committed, it may recommend one or
more penalties to the appropriate disciplinary body
or official and issues a public report of its findings.
When the Commission determines that a per-
son has filed a complaint with knowledge that the
complaint contains one or more false allegations ,or
with reckless disregard for whether the complaint
contains false allegations, the complainant will be
liable for costs plus reasonable attorney's fees in-
curred by the person complained against. The
Department of Legal Affairs may bring a civil action
to recover such fees and costs, if they are not paid
willingly.
D. Dismissal of Complaints At Any Stage of
Disposition
The Commission may, at its discretion, dismiss
any complaint at any stage of disposition should it
25
determine that the public interest would not be
served by proceeding further, in which case the
Commission will issue a public report stating with
particularity its reasons for the dismissal. [Sec.
112.324(10), Fla. Stat.]
E. Statute of Limitations
Executive branch departments. state universi-
ties, community colleges, and water management
districts are prohibited from using public funds to
retain an executive branch (or legislative branch)
lobbyist, although these agencies may use full-time
employees as lobbyists. [Sec. 11,062, Fla. Stat.]
Beginning October 1, 1993, all sworn com-
plaints alleging a violation of the Sunshine
Amendment or the Code of Ethics have to be filed
with the Commission within 5 years of the alleged
violation or other breach of the public trust. Time
starts to run on the day AFTER the violation or
breach of public trust is committed. The statute of
limitations is tolled on the day a sworn complaint is
filed with the Commission. If a complaint is filed
and the statute of limitations has run, the complaint
will be dismissed. [Sec. 112.3231, Fla. Stat.]
Additional information about the executive
branch lobbyist registration system may be ob-
tained by contacting the Lobbyist Registrar at the
following address:
Executive Branch Lobbyist Registration
Room G-68, Claude Pepper Building
111 W. Madison Street
Tallahassee, FL 32399-1425
Phone: 904/922-4990
IX. WHISTLE-BLOWER'S ACT
VIII. EXECUTIVE BRANCH
LOBBYING
In 1986, the Legislature enacted a
"Whistleblower's Act" to protect employees of
agencies and government contractors from ad-
verse personnel actions in retaliation for disclosing
information in a sworn complaint alleging certain
types of improper activities on the part of an
agency contractor, or for participating in an investi-
gation or hearing conducted by an agency.
Since then, the Legislature has revised this law
to afford greater protection to these employees.
While this language is contained within the
Code of Ethics, the Commission has no jurisdiction
or authority to proceed against persons who violate
this Act in behalf of a person who is being retaliated
against. Therefore, a person who has disclosed in-
formation alleging improper conduct governed by
this law and who may suffer adverse consequences
as a result should contact one or more of the follow-
ing: the Office of the Chief Inspector General in the
Executive Office of the Governor; the Department of
Legal Affairs; the Office of the Public Counsel; or a
private attorney. [Sec. 112.3187 - 112.31895, Fla.
Stat.]
Any person who, for compensation and on be-
half of another, lobbies an agency of the executive
branch of state government with respect to a deci-
sion in the area of policy or procurement may be
required to register as an executive branch lobby-
ist. Registration is required before lobbying an
agency and is renewable annually. In addition, ex-
penditure reports must be filed annually, and quar-
terly expenditure reports must be made for any cal-
endar quarter in which lobbying expenditures are
made. [Sec. 112.3215, Fla. Stat.]
Paying an executive branch lobbyist a contin-
gency fee based upon the outcome of any specific
executive branch action, and receiving such a fee,
is prohibited. A violation of this prohibition is a first
degree misdemeanor, and the amount received is
subject to forfeiture. This does not prohibit sales
people from receiving a commission. [Sec.
112.3217, Fla. Stat.]
26
27
x. ADDITIONAL INFORMATION
As mentioned above, we suggest that you re-
view the language used in each law for a more de-
tailed understanding of Florida's ethics laws. The
"Sunshine Amendment" is Article II, Section 8, of
the Florida Constitution, The Code of Ethics for
Public Officers and Employees is contained in Part
III of Chapter 112, Florida Statutes,
Additional information about the Commission's
functions and interpretations of these laws may be
found in Chapter 34 of the Florida Administrative
Code, where the Commission's rules are pub-
lished, and in The Florida Administrative Law
Reports, which publishes many of the
Commission's final orders. The Commission's
rules, orders, and opinions also will be available
electronically on the Internet and a computer "bul-
letin board," For information about these services,
contact the Commission's office.
If you are a public officer or employee con-
cerned about your obligations under these laws,
you may wish to contact an attorney who repre-
sents your agency or a private attorney for advice.
The staff of the Commission will be happy to re-
spond to oral and written inquiries by providing in-
formation about the law, the Commission's inter-
pretations of the law, and the Commission's proce-
dures.
28
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ADVISORY OPINIONS
ORDER FORM
COMMISSION ON ETHICS
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