Latham v. FLORIDA COM'N ON ETHICS

694 So. 2d 83, 1997 Fla. App. LEXIS 4126, 1997 WL 193834
CourtDistrict Court of Appeal of Florida
DecidedApril 23, 1997
Docket96-1224
StatusPublished
Cited by8 cases

This text of 694 So. 2d 83 (Latham v. FLORIDA COM'N ON ETHICS) is published on Counsel Stack Legal Research, covering District Court of Appeal of Florida primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Latham v. FLORIDA COM'N ON ETHICS, 694 So. 2d 83, 1997 Fla. App. LEXIS 4126, 1997 WL 193834 (Fla. Ct. App. 1997).

Opinion

694 So.2d 83 (1997)

Gary D. LATHAM, Appellant,
v.
FLORIDA COMMISSION ON ETHICS, Appellee.

No. 96-1224.

District Court of Appeal of Florida, First District.

April 23, 1997.
Rehearing Denied May 23, 1997.

Gary D. Latham, Marianna, pro se.

Robert A. Butterworth, Attorney General and Virlindia Doss, Assistant Attorney General, Tallahassee, for Appellee.

KAHN, Judge.

Appellant Gary D. Latham, a former member of the Florida Parole Commission, challenges a final order of the Commission on Ethics (Commission) adopting a hearing officer's findings of fact and conclusion that Latham violated section 112.313(6), Florida Statutes.[1] According to the Commission's Final Order and Public Report, Latham violated that section of the Code of Ethics, chapter 112, Part III, Florida Statutes, "by engaging in unwanted sexually or romantically oriented behavior toward a subordinate female employee." The Commission, pursuant to section 112.317(1)(a)[2], Florida Statutes, *84 recommended that the Governor impose a civil penalty of $2,500 and give Latham a public censure and reprimand. We reverse because, as Latham argues, the Commission must require proof by clear and convincing evidence before recommending the penalties available for a public officer under section 112.317(1)(a), Florida Statutes.[3] In reaching this conclusion we rely both upon case law and the statutory scheme established by the Ethics Code.

The question of the proper standard of proof to be applied in proceedings before the Commission is one of first impression in this state. Mr. Latham contends that the Commission erred in applying the preponderance of evidence standard. He asserts that a proceeding under the Code of Ethics must require clear and convincing evidence because of the penal nature inherent in a finding of violation and because the penalties at stake include the loss of livelihood and professional reputation.

The Commission argues that in administrative cases, Florida generally adheres to the preponderance of evidence standard. Positing that a Commission proceeding does not implicate a loss of livelihood, the Commission denies that any higher burden of proof applies. The Commission also contends that, even if penalties result, it has no authority to impose "any penalty of any sort." In support of these arguments, the Commission directs us to Commission on Ethics v. Sullivan, 489 So.2d 10 (Fla.1986) and Florida Commission on Ethics v. Plante, 369 So.2d 332 (Fla.1979).

In Sullivan, the supreme court stated:
[W]e held in Plante that a report of the commission "does not commence official action for discipline, nor does it in any other way penalize, affect qualifications, punish, or unseat an officeholder." 369 So.2d at 337.... The penalties under the ethics code and the power to enforce its provisions are also specifically left to the governor, legislature, attorney general, and other public officers ... In short, the commission administers no program; it enforces no law ...
As stated previously, the inability of the commission to take any kind of enforcement action based on its investigations means that the commission does not exercise even quasi-judicial powers. This lack of judicial authoritativeness distinguishes the commission's opinions from the adjudication of rights that occurs by the judiciary.

489 So.2d at 12-13. This language, says the Commission, forecloses any claim that its proceedings are penal in nature, and therefore subject to any burden of proof higher than the traditional preponderance standard. In our view, however, the contexts in which Plante and Sullivan arose are quite unlike that of the present case. The essential holdings in those cases have nothing to do with the burden of proof properly required by the Commission.

At issue in Plante was the "meaning of the words `public report' in article II, section 8(f)" of the Florida Constitution. 369 So.2d at 333. In that case the Commission found probable cause to believe that five named state senators breached the public trust by failing to file full and public disclosure of their financial interests. No issue concerning the burden of proof arose, because the senators never disputed the facts. 369 So.2d at 334. Instead, the senators argued that by issuing a public report, the Commission unconstitutionally sought to infringe upon the constitutional prerogative of the legislature to discipline its own members. The supreme court disagreed and held that the public report, *85 which according to the Plante opinion, made no specific recommendation for discipline or punishment, "is a public report for public discussion, and it does not commence official action for discipline." 369 So.2d at 337. Quite significantly, the court noted that the statutory procedure outlined in chapter 112, part III "is not now before us." 369 So.2d at 334, n. 2.

In Sullivan the supreme court had to decide which branch of government could properly claim the constitutionally-mandated Commission on Ethics as its own. Wilma and John Sullivan, respectively the Supervisor of Elections and Deputy Supervisor of Elections for Leon County, found themselves the subjects of complaints filed with the Commission. The Sullivans argued that the Commission is part of the executive branch, and the power to appoint its members resided exclusively with the governor. They claimed that because section 112.321(1), Florida Statutes (1983) required appointment of Commission members by the Speaker of the House and the President of the Senate, the statute violated article II, section 3 (separation of powers), article IV, section 6 (executive departments), and article X, section 3 (vacancy in office) of the Florida Constitution. The court did not find this argument persuasive, concluding, "The authority of the (Commission) is most closely analogous with the powers exercised by ... legislative branch entities." 489 So.2d at 14. In refuting the Sullivan's executive branch contention, the court doubted the Commission's "ability to take authoritative action to fulfill the charge of faithfully enforcing the laws," such ability being the hallmark of executive power. 489 So.2d at 12. Further refuting the executive power argument, the court recalled its Plante holding: "[A] report of the commission `does not commence official action for discipline,' nor does it in any other way penalize, affect qualifications, punish, or unseat an officeholder." Id. As was true in Plante, nothing in Sullivan treats either the procedures established by the Ethics Code or the burden of proof applicable to such procedures.

The Commission now focuses upon language in Plante and Sullivan emphasizing its "nonpenal" nature, because it correctly recognizes that the power to penalize may carry with it a more demanding standard of proof. Quite recently the supreme court has announced that it will "look to the nature of the proceedings and their consequences to determine the degree of proof required." Department of Bank. and Fin., Div. of Securities & Investor Protection v. Osborne Stern & Co., 670 So.2d 932, 935 (Fla.1996). In Osborne Stern the supreme court for the first time held that "imposition of administrative fines..., like license revocation proceedings, are penal in nature and implicate significant property rights" thus requiring "extension of the clear and convincing evidence standard to justify the imposition of such a fine ..." 670 So.2d at 935.

The analogy in Osborne Stern

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Bluebook (online)
694 So. 2d 83, 1997 Fla. App. LEXIS 4126, 1997 WL 193834, Counsel Stack Legal Research, https://law.counselstack.com/opinion/latham-v-florida-comn-on-ethics-fladistctapp-1997.