CEO 77-85 -- June 17, 1977

UNIVERSITY PROFESSOR AND DIRECTOR OF INSTITUTE

APPLICABILITY OF FINANCIAL DISCLOSURE LAW

To: (Name withheld at the person's request.)

Prepared by: Phil Claypool

SUMMARY:

The Code of Ethics provides that each "specified employee" shall file a statement of financial interests annually. Section 112.3145(2)(b), F. S. 1975. A state university professor who is also director of an institute within that university but who does not meet the definition of "specified employee" contained in s. 112.3145(1)(b) is not subject to financial disclosure.

QUESTION:

Am I, a state university professor who is also director of the Geophysical Fluid Dynamics Institute at that university, a "specified employee" for purposes of the annual filing of financial disclosure?

In your letter of inquiry you have stated that you are a professor and director of the Geophysical Fluid Dynamics Institute, which has space and facilities at Florida State University and is financed in part by the state. You have also stated that you, as well as other faculty members associated with the institute, serve as principal investigator on research contracts and grants from various federal agencies. Although you write scientific proposals, prepare budget requests, and initiate purchase requests, the fiscal responsibility for university contracts and grants is assigned to a grants administrator in the office of the graduate dean and director of research, who coordinates all research on campus. The university also has purchasing and personnel departments which have authority and responsibility for these areas.

The Code of Ethics for Public Officers and Employees provides that each "specified employee" shall file a statement of financial interests annually. Section 112.3145(2)(b), F. S. 1975. The term "specified employee" is defined to include:

Business managers, purchasing agents, finance and accounting directors, personnel officers, and grants coordinators for any state agency, or persons having the power normally conferred upon such persons, by whatever title. [Section 112.3145(1)(b)5., F. S. 1975.]

As the university has specified persons other than you to perform the above-listed functions, we find that you are not included among those categories.

The only other definition of "specified employee" which might apply to you is as follows:

Any full-time state employee who, in addition to his regular duties, accepts compensation which in the aggregate exceeds $250 for consultations with other state agencies or with other government or business entities. [Section 112.3145(1)(b)8., F. S. 1975.]

Accordingly, if you did not receive over $250 in compensation for consulting with other state agencies or other governmental or business entities during 1976, you are not a "specified employee" and need not file a Statement of Financial Interests.