CEO 79-70 -- October 17, 1979

DIRECTOR OF H.R.S. AUDIT AND QUALITY CONTROL SERVICES

APPLICABILITY OF FINANCIAL DISCLOSURE LAW

To: Charles C. Stophel, Jr., Director, Office of Audit and Quality Control Services, Department of Health and Rehabilitative Services, Tallahassee

Prepared by: Phil Claypool

SUMMARY:

For purposes of the annual filing of financial disclosure under s. 112.3145(2), F. S., the term "specified employee" is defined in s. 112.3145(1)(b)2. to include persons holding certain positions within state departments, ranging from departmental secretaries through assistant bureau chiefs, and persons "having the power normally conferred upon such persons, by whatever title." The Department of Health and Rehabilitative Services is not classified into divisions and bureaus but, rather, is organized by units called "offices." All 10 office directors or administrators working under the assistant secretary for administrative services either are or are going to be exempted from career service as being the equivalents of bureau chiefs. Accordingly, one who serves as director of the Office of Audit and Quality Control Services within H.R.S. is deemed to constitute a specified employee subject to the annual filing of financial disclosure.

QUESTION:

Am I, the Director of the Office of Audit and Quality Control Services of the Department of Health and Rehabilitative Services (H.R.S.), a "specified employee" subject to the requirement of filing financial disclosure annually?

Your question is answered in the affirmative.

The Code of Ethics for Public Officers and Employees provides that each "specified employee" shall file a statement of financial interests annually by noon of July 15. Section 112.3145(2)(b), F. S. 1977. The term "specified employee" is defined to mean:

Each appointed secretary, assistant secretary, deputy secretary . . . of each state department . . . unless otherwise provided, the division director, assistant division director, deputy director, bureau chief, and assistant bureau chief of any state department or division; or any person having the power normally conferred upon such persons, by whatever title. [Section 112.3145(1)(b)3., F. S. 1977.]

As the Department of Health and Rehabilitative Services has not been classified into divisions and bureaus, it is necessary to determine whether, in your position, you have the power normally conferred upon such persons.

In your letter of inquiry you advise that you are the Director of the Office of Audit and Quality Control Services, in which position you are responsible for planning and directing the internal audit program, the external audit program for third party providers and contractors, and the quality control program for the Department of Health and Rehabilitative Services. Within the department, the assistant secretaries for operations, for program planning and development, and for administrative services are directly responsible to the Secretary of Health and Rehabilitative Services. Section 20.19(3)(a), F. S. (1978 Supp.). In a telephone conversation with our staff, you advised that as Director of the Office of Audit and Quality Control Services you are directly responsible to the assistant secretary for administrative services, as are nine other office directors or administrators.

Section 20.04(4), F. S. (1978 Supp.), mandates organizational units called "offices," which are integral to the position of deputy secretary, assistant secretary, and deputy assistant secretary of the Department of Health and Rehabilitative Services. In addition, you have advised that all 10 of the office directors or administrators working under the assistant secretary for administrative services either are or are going to be exempted from career service, as being the equivalents of bureau chiefs. This action has been taken by the department pursuant to s. 21, Ch. 79-190, Laws of Florida, which requires any department not using the classifications of director, assistant director, deputy division director, or bureau chief, to determine comparable managerial positions and to provide for their exemption from career service.

Accordingly, we find that you are a "specified employee" subject to the requirement of filing financial disclosure annually under s. 112.3145, F. S.