CEO 84-89 -- August 30, 1984

FINANCIAL DISCLOSURE

APPLICABILITY OF DISCLOSURE LAW TO EMPLOYEES OF UNIVERSITY PERSONNEL DIVISION

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

SUMMARY:

The Director of Personnel Relations for the Personnel Division, Office of Administrative Affairs, University of Florida, is a "specified state employee" subject to the requirement of filing a statement of financial interests annually. As the employee responsible for the University's personnel program, the Director of Personnel Relations is a "personnel officer" included within the disclosure law. The remaining employees of the Personnel Division, however, are not considered to be personnel officers and therefore are not required to file financial disclosure. CEO 84-45 is referenced.

QUESTION:

Which of the employees of the University of Florida Personnel Division is a "specified state employee" subject to the requirement of filing a statement of financial interests annually?

In your letter of inquiry you advise that you serve as the Director of Personnel Relations for the Personnel Division, Office of Administrative Affairs, of the University of Florida. You also advise that the Personnel Division employs persons in the following positions: Associate Director of Personnel Relations, Assistant Personnel Officer II, Personnel Services Specialist, Personnel Technician I, II, and III, and Personnel Aide.

The Code of Ethics for Public Officers and Employees requires each "specified state employee" to file a statement of financial interests annually. Section 112.3145(2)(b), Florida Statutes. The term "specified state employee" is defined to include "personnel officers . . . for any state agency." Section 112.3145(1)(b)5, Florida Statutes.

We do not believe that by including personnel officers for each State agency in the financial disclosure law that the Legislature intended to require each State employee whose position includes any personnel responsibilities whatsoever to file financial disclosure statements. Under current career service class specifications, a Personnel Officer (whether I, II or III) holds a managerial position directing all phases of a diversified and comprehensive personnel program in an agency. Employees in these positions exercise independent judgment in formulating or assisting in the formulation of policies and procedures which have significant impact in personnel administration and/or preparation and administration of budgets.

However, our interpretation of the term "personnel officers" has not been limited only to those persons whose title is that of "Personnel Officer." In CEO 84-45, we found that the Personnel Manager for a District of the Department of Transportation was a "personnel officer" for purposes of the financial disclosure law. The career service class specification for Personnel Managers also requires an independent role and authority in managing the personnel activities of a State institution or a district office, exercising independent judgment in formulating or assisting in the formulation of policies and procedures which have significant impact in personnel administration and/or preparation and administration of budgets.

Finally, we do not believe that persons serving as an assistant or a deputy to a personnel officer are included in the category of "personnel officers." The Legislature could have used the terms "deputy" or "assistant," as it did in including deputy directors, assistant division directors, and assistant bureau chiefs as "specified state employees." See Section 112.3145(1)(b)3, Florida Statutes. The fact that the Legislature did not specifically include assistant personnel officers, for example, indicates to us that persons in these positions are not included in the category of "specified state employees."

In applying these principles to the employees of the University's Personnel Division, we note first that you serve as Director of Personnel Relations. Although your title is not that of a "Personnel Officer," it is clear that as head of the Personnel Division you are responsible for the University's personnel program. Therefore, although your title is not that of a "Personnel Officer" or a "Personnel Manager," we find that you perform the identical functions of persons in those positions and therefore that you are subject to the financial disclosure law. Although the position description of the Associate Director indicates that much of the administrative responsibility over the operations of the Personnel Division has been delegated to the Associate Director, we do not view this position as independently responsible for the personnel program at the University in a manner analogous to a "Personnel Officer" or a "Personnel Manager." Rather, we believe this position to be akin to your deputy or assistant, and therefore not included by the disclosure law. The position descriptions of the remainder of the employees in the Division indicate that they serve specialized personnel functions under the direction of you and the associate director. These positions therefore would not be subject to the requirement of filing financial disclosure.

Accordingly, we find that as Director of Personnel Relations for the University of Florida you are a "specified state employee" subject to the requirement of filing a statement of financial interests annually. The remaining employees of the Personnel Division, however, are not subject to this requirement.