CEO 78-31 -- May 18, 1978

SMALL BUSINESS ADVISORY COUNCIL

APPLICABILITY OF STATUTORY FINANCIAL DISCLOSURE LAW TO MEMBERS

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

Prepared by: Phil Claypool

SUMMARY:

The Code of Ethics for Public Officers and Employees provides that each state officer shall file a statement of financial interests annually. Section 112.3145(2)(b), F. S. 1977. The term "state officer" is defined in s. 112.3145(1)(c)2. to include an appointed member of any board having statewide jurisdiction, excluding any member of an advisory body. The term "advisory body" is defined, in part, as a board "whose powers, jurisdiction, and authority are solely advisory and do not include the final determination or adjudication of any personal or property rights, duties, or obligations, other than those relating to its internal operations." Section 112.312(1), F. S. 1977. From the description of the duties of the Small Business Advisory Council of Florida, as contained in s. 288.39(7)(f), F. S. 1977, it is clear that its powers, jurisdiction, and authority are solely advisory within the terms of the above definition. As the council has no budget, it fails to meet the appropriations threshold further set forth in s. 112.312(1). The council thus is deemed to constitute an advisory body whose members are not state officers subject to the annual filing of financial disclosure. However, even members of advisory bodies constitute public officers required to file CE Form 3, "Disclosure of Specified Business Interests," if applicable under s. 112.313(9), F. S. 1977.

QUESTION:

Am I, as a member of the Small Business Advisory Council of Florida, a "state officer" subject to the requirement of filing financial disclosure annually?

Your question is answered in the negative.

The Code of Ethics for Public Officers and Employees provides that each "state officer" shall file a statement of financial interests annually. Section 112.3145(2)(b), F. S. 1977. The term "state officer" is defined to include:

An appointed member of each board, commission, authority, or council having statewide jurisdiction, excluding a member of an advisory body. [Section 112.3145(1)(c)2.]

In turn, "advisory body" is defined to mean

any board, commission, committee, council, or authority, however selected, whose total budget, appropriations, or authorized expenditures constitute less than 1 percent of the budget of each agency it serves or $100,000, whichever is less, and whose powers, jurisdiction, and authority are solely advisory and do not include the final determination or adjudication of any personal or property rights, duties, or obligations, other than those relating to its internal operations. [Section 112.312(1), F. S. 1977.]

The Small Business Advisory Council has been created within the Division of Economic Development of the Department of Commerce to serve in an advisory capacity to the division. Section 288.39(7)(a), F. S. 1977. The 10 members of the council are appointed by the Governor to carry out the following responsibilities:

1. Serve as a source of expertise and information on small businesses.

2. Keep the division informed with respect to problems of, and matters affecting, small businesses.

3. Advise the division, upon request of the division, with respect to any matters relating to small businesses. [Section 288.39(7)(f).]

From this description of the responsibilities of the council, it is clear that its powers, jurisdiction, and authority are solely advisory and do not include the final determination or adjudication of any personal or property rights, duties, or obligations. In a telephone conversation with our staff, Mr. Joseph Hennessy, Assistant Secretary of Commerce, advised that the council has no budget or authorized expenditures of its own and that no appropriation was requested for the upcoming fiscal year.

Accordingly, we find that the Small Business Advisory Council constitutes an "advisory body" and that its members do not constitute "state officers" subject to filing financial disclosure under s. 112.3145, F. S. Please note, however, that even members of advisory bodies are deemed to be public officers, required to file Form 3, Disclosure of Specified Business Interests, if applicable under s. 112.313(9), F. S. 1977. Section 112.313(1). A copy of this form is enclosed for your review.