What to do if you receive a Complaint filed with the Commission on

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WhattodoifyoureceiveaComplaintfiledwiththeCommissionon

Ethics

ByKevinS.Hennessy,Esq.

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WhatistheCommissiononEthics?

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TheFloridaCommissiononEthicsisaninememberboardwithitsprimaryresponsibilitybeing

investigatingandissuingpublicreportsoncomplaintsallegingbreachesofthepublictrustbypublic

officersandemployees.TheCommissiondoesnot(andcannot)conductinvestigationsofpublic

officialsoremployeesonitsowninitiative.Itrequiresasworncomplaintallegingaviolationofthecode

ofethicsorsomeotherrecognizablebreachofthepublictrustbeforetheCommissioncaninitiatean

investigation,reportonitsfindingsandrecommendappropriateactionincludingtheimpositionof

penalties.

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ManyComplaintsareDismissedwithLittleorNoInvestigation

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ShouldtheCommissionreceiveaComplaintitwillbeginaninvesti gationprocess.Forallcomplaints the

firststepCommissionStaffwilltakeistoforwardacopyofthecomplainttotheaccusedwithinfivedays

ofitsreceipt.TheCommissioninvestigatesallsworncomplaintsthatitreceives,butitisrequiredbyits

rulestomakeaninitialdeterminationconcernin gthesufficiencyofacomplaint.Staffwillevaluatea

complainttodetermineiftheComplaintmeetsitsrulerequirementsandthattheallegationsarelegally

sufficienttoformthebasisforapossibleviolationofanylawoverwhichtheCommissionhas

jurisdiction.ThisisthefirstopportunitythatanaccusedwillhavetogetaComplaintdismissed.For

example,iftheComplaintisnotsignedbeforeanotaryindicatingthattheallegationsintheComplaint

areswornto,thenitisnotaComplaintthatcanbeinvestigatedbytheCommission,andshouldbe

dismissed.Further,iftheComplaintdoesnotcontai nallegationsthatcanreasonablybeinterpretedas

statingaviolationofaspecificethicslaworbreachofpublictrustitmustbedismissed.Regardlessof

whethertheComplaintallegesviolationsofotherlaws,evenlawsspecifictopublicofficialsor

employees,suchastheSunshineActorpublicrecordslaw,ifthoselawsdonotfallwithinthe

jurisdictionoftheCommissiontoinvestigate,theComplaintshouldbedismissed.Whilethe

CommissionStaffissensitivetotheseissuesandnormallydoesagoodjobperformingthese

evaluations,itisreasonablefortheaccusedtosubmitawrittenresponsetotheCommissionidentifying

anydeficienciesintheComplaint.TheCommissionStaffwillnotifytheComplainantofproblemswitha

ComplaintandwillallowanopportunitytoamendorsupplementaComplaint,butifaComplainant’s

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issuesaresimplynotwithinthejurisdictionoftheCommissionthenit is possibletheprocessmayendat

thispoint.

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AllegationsofFailuretoProperlyCompleteFinancialDisclosureFormsAllowforA dditionalGrounds

forDismissal

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Pursuanttoa2013changeinRule34‐5.002(4)FloridaAdministrativeCodeifacomplaintallegesan

errororomissioninanannualCEForm6(acommonallegation)theexecutivedirectorshalldetermine

whethertheallegationsaremerelyimmaterial,inconsequentialordeminimuserrorsoromissions.If

theallegationsareallimmaterial,inconsequentialordeminimusnofurtheractionistobetakenby

staff.Further,iftheRespondentfilesanamendeddisclosurecorrectingtheerrororomissionwiththe

Commissionwithin30daysofthedatenoticewassentbytheCommissiontotheRespondent,no

furtheractionistobetaken.Thisisanewrulefortheagency,respondingtoarecentstatutorychange

andthereforenotaprocessCommissionStaffisusedtoperforming;therefore,itisanopportunitythat

aRespondentneedstomakesurehasbeenexhausted.

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OpportunitiestoParticipateandObtainDismissaloftheComplaintthroughtheProbableCause

Hearing

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ItisimportanttounderstandthattheCommissionandCommissionStaffareinclinedtogiveamember

ofthepublicafullopportunitytostateaclaimthatcanbeinvestigated.TheEthicsCommission’s

avowedpurposeistobetheguardianofthestandardofconductofpublicofficials andemployeesin

Florida.FurtherRule34‐5.002(1)statesthatacomplaint“neednotbeaspreciseas...inacourtoflaw”.

Complaintsaregenerallyconstruedandinterpretedinamannerthatwillraiseajusticiableissue,if

possible.Inaddition,CommissionStaffwillcommunicatethedeficienciesofaComplainttoa

Complainant,explainwhat theCommissionwillinvestigate,andgiveopportunities toamendor

supplementComplaints.

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ShouldtheCommissionStaffdeterminethataComplaintislegallysufficientitwillorderapreliminary

investigationperformedbyCommissionstaff.Normallyanysuchinvestigationwillincludeobtaininga 

statementfromtheaccusedpublicofficialoremployee.Thestatementwillberecordedandmadea

partoftheinvestigatoryfile.Typically,allegationsofviolationsofpublicethicslawsarenotcriminalin

natureandanaccusedmustanswerthequestionsoftheinvestigator,butaccusationscancrossinto

areasofcriminalviolationsorpenaltiesandanaccuseddoesretaintherighttodeclinetoanswer

questionsbasedonarightagainstself‐incrimination.Certainlythesearemattersthatshouldnotbeleft

toanaccusedtoconsideronhisown,andexperiencedlegalcounselshouldabsolutelyberetainedand

presentforanyinterview.

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Attheconclusionofthestaff’sinvestigationtherewillbeissuedanInvestigator’sReport.BytheRules

oftheCommissionaRespondentwillreceiveacopyoftheInvestigator’sReportandhasanopportunity

tosubmitawrittenresponsepriortoahearingbeforetheCommission.Inaddition,theRespondentis

entitledtoreviewtheentireinvestigator’sfileatthistime.Itwillbenecessarytospecificallyrequesta

copyofthefileastheCommissionisnotobligatedtoprovidethefiletoeveryRespondentandwillnot

necessarilynotifyyouofyourrighttoseethefile.ByRule,theInvestigator’sReportwillincludea

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narrativeaccountofallinformationobtainedintheinvestigationandshoulddiscussanyconflictsinthe

evidence,butitwillnotincludeadeterminationastowhethertherehasbeenabreachofthepublic

trustoranyrecommendationforadecisionbytheCommission.Theselimitationsarenotimposedon

theRespondent,andtheresponsetotheInvestigator’sReportisanopportunitytoagainaskfor

dismissaloftheComplaint.TheresponsetotheInvestigator’sReportcanseekdismissalonseveral

bases:thelackofanyissuethattheCommissionhasjurisdictiontoaddress;inthecaseofafinancial

disclosurethattheerrorwasimmaterial,inconsequentialordeminimus;orthattheallegedfinancial

disclosureerrorwascorrectedwithin30daysofnoticebeingissuedtotheRespondent.The

Investigator’sReportandanyResponsewillbeprovidedtotheCommissionAdvocateforhis/her

consideration.TheCommissionAdvocateisanattorney,normallyanassistantattorneygeneral,who

servesessentiallyasaprosecutingattorneyfortheCommission.TheAdvocatewillpresentthecaseto

theCommissionandwillsubmitanAdvocate’sRecommendation,inwritingpriortothehearingbefore

theCommission.TheRespondentorhisattorneywillhavetheopportunitytoinfluencetheAdvocate’s

recommendationtothecommissionbothinthewrittenresponsetotheInvestigator’sReport,andin

discussingthecomplaintpriortoconsiderationbytheCommission.Ofcourse,thisinfluencehasthe

potentialtobefavorableorunfavorabledependinguponthefactsofeachcaseandtheapproachtaken

bytheRespondent.

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ThehearingbeforetheCommissionbasedonanethicscomplaintthathasbeendeterminedtostatea

casewithinthejurisdictionoftheCommissionandhasbeenthesubjectofaninvestigationandfor

whichaCommissionAdvocatehasbeenappointed,isreferredtoasaProbableCauseHearing.The

scopeoftheprobablecausehearingistheconclusionoftheCommission’spreliminaryinvestigation.

Priortothehearing,theCommissionwillhavereceivedthecompl eteinvestigationfile,the

Investigator’sReport,theAdvocate’sRecommendationandanythingreceivedfromtheComplainant

andRespondent.Therefore,itisimportantthat theRespondenthavesubmittedatleastawritten

responsetotheAdvocate’sRecommendation(assumingtherecommendationisnotcompletely

favorable.)WhiletheAdvocate’sRecommendationisalwaysgivenstrongweightbytheCommission,it

isnotconclusiveontheresult.Attheprobable causehearingtheRespondentandtheAdvocatewillbe

permittedtomakeabrieforalargument.Inmyexperience,theCommissionwillnormallyaskquestions

ofboth.

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TheComplainantmayattendtheprobableca usehearingbutisnotgivenanopportunitytomakea

presentation.TheRespondent mayaddresstheCommissionorhavecounselspeakonhisbehalf.Since

thestatementsofaRespondentcanalwaysbeusedasanadmissioninsubsequentproceedings,itis

alwaysadvisabletoberepresentedbycounsel.Counselcan advocatefordismis saloftheComplaintat

theprobablecausehearingforallthereasonsthatcanberaisedinresponsetotheAdvocate’s

Recommendation.Inaddition,pursuanttoSection112.324,FloridaStatutes,theCommissionhasthe

authoritytodismissanyComplaintatanystageofdispositionifitdeterminesthatthepublicinterest

wouldnotbeservedbyproceedingfurther.

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ProceedingsareConfidential

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AnimportanttenantoftheethicscomplaintprocessbeforetheCommissionisthattheproceedingsare

maintainedconfidentialuntilaComplaintisfullyresolved,unlessconfidentiality iswaivedbya

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Respondent.TheComplainantandallwitnesseswhomaybeinterviewedaspartofaninvestigationare

informedoftherequirementthattheykeepallknowledgeofthea ccusationsraisedandproceedingsof

theCommissionconfidentialuntiltheCommissionpublishesitsdecisioneitherindismissing acaseprior

toaprobablecausehearingorattheconclusionofsuchahearing.ShouldtheCommissionStaffbelieve

thataComplaintisinsufficientordoesnotraiseanyissueswithinthejurisdictionoftheCommissionand

determinethatitshouldbedismissed,thatrecomme ndationisconsideredbytheCommissionin

executivesession,closedtotheentirepublic,includingtheComplainantandRespondent.

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Atitsmeetingtodetermineprobablecause,theCommissionmaycontinueitsdeterminationtoallow

furtherinvestigation;mayordertheissuanceofapublicreportofitsinvestigationifitfindsnoprobable

causetobelievethataviolationoftheCodeofEthicsorotherbreachofpublictrusthasoccurred,

concludingthematterbeforeit;mayorderafinal,public hearingoftheComplaintifitfindsprobable

causetobelievethataviolationoftheCodeofEthicsorotherbreachofpublictrusthasoccurred;or

maytakesuchotheractionasitdeemsnecessarytoresolvetheComplaint,consistentwithdueprocess

oflaw.



Inmakingitsdetermination,theCommissionmayconsider:

(a)ThesufficiencyoftheevidenceagainsttheRespondent,ascontainedintheInvestigator’sReport;

(b)TheadmissionsandotherstipulationsoftheRespondent,ifany;

(c)ThenatureandcircumstancesoftheRespondent’sactions;

(d)Theexpenseoffurtherproceedings;and

(e)Suchotherfactorsasitdeemsmaterialtoitsdecision.IftheCommissionordersapublichearingof

theComplaint,theCommissionshalldeterminewhatchargesshall beatissueforthehearing.



Attheconclusionofaprobablecausehearing,whichagainisclose dtothepublicexcepttheparties,the

Commissionwillannounceitsdeterminationtoallofthosepresent,butthedecisionwillbe

subsequentlyputintoawrittendecision.Neverthelesstheconfidentialityoftheproceedingwill

continueuntiltheissuanceofapressreleasebytheCommissiononitsdecisiontheweekfollowingthe

hearing.Theformalwrittendecisionwillbesubsequentlyissued.



Conclusion

AlthoughthefinancialpenaltiesactuallyimposedbytheCommissioninthecasesofmanyethics

violationsmaybeminimal,thepotentialpenalties,politicalimpactorperceivedharmtoaperson’s

reputationcanbesubstantial.Inthecaseofapublicofficer,penaltiescanrangefromrestitutiontocivil 

penaltiesofupto$10,000,andfromapublicreprimandtoimpeachment.Inthecaseofapublic

employee,penaltiescanincludedemotion,suspensionordismissalinadditiontofinesofupto$10,000.

Itisthereforewellworthtakinganyethicscomplaintseriouslyandretaininganexperiencedattorneyto

adviseyouofyourrights.Asdiscussedhereinanexperiencedattorneymaybeabletoobtainanearly

dismissalofaComplaintoradeterminationofnoprobablecauseandavoidthetime,expenseand

publicityofapublicadministrativehearingontheallegations.



KevinS.HennessyistheExecutiveShareholderintheTampaBayofficeofLewis,LongmanandWalker,

P.A.,andhasovertwenty‐fiveyearsofexperiencein therepresentationoflocalgovernments,special

Acr1EF7‐1



Acr1EF7‐1

districts,CDD’sandtheirpublicofficersandemployeesinadministrativehearings,stateandfederal

litigation.Hecanbereachedat(941)708‐4040oratkhennessy@llw‐law.com

.

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