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HomeMy WebLinkAbout81-540 PalmerThomas M. Palmer Charleroi Area School District Fecsen Drive Charleroi, PA 15022 STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 April 9, 1981 ADVICE OF COUNSEL 81 -540 RE: School Administrators, Statement of Financial Interests Dear Mr. Palmer: This responds to your letter of January 8, 1981, in which you, as Assistant to the Superintendent of Schools, requested an opinion from the Ethics Commission. Issue: You requested advice as to whether the following employees are required by the Ethics Act to file Statements of Financial Interest: (1) Superintendent (2) Assistant to the Superintendent in Charge of Business Affairs (3) Federal Coordinator (4) Director of Pupil Personnel Services (5) Administrative Assistant (6) School Principals (7) Assistant School Principals Facts: You advised us that the Charleroi Area School District has serveral administrative employees with varying job descrip- tions described below: (1) Superintendent - administers the schools according to the statute and policy established by the School Board. The Superintendent is the chief excecutive officer of the school system and makes recommendations to the Board on policy, personnel, and budget questions. .L VlllUJ 11. 1 Ulllll,l April 9, 1981 Page 2 (2) Assistant to the Superintendent in Charge of Business Affairs - This Assistant prepares the budget, maintains financial and personnel records, monitors insurance programs, approves requisitions, expenditures and the sale of excess equipment and supplies, and assists in selecting professional staff. (3) Federal Coordinator - prepares proposals for funding and administers and monitors activities funded by special federal or state grants. (4) Director of Pupil Personnel Services - develops, directs, coordinates and appraises services in the areas of attendance, guidance, testing, psychological and health services. (5) Administrative Assistant - is responsible for trans- portation, building maintenance and grounds, cafeteria, supplies, custodial equipment, snow removal and security. These duties include supervising construction and maintenance of buildings, the free lunch program and security of supplies and buildings. (6) School Principals - are the educational leaders of their schools and is responsible for supervising professional staff. (7) Assistant Principals - assist in all phases of the school program, for example, in supervising professional staff. Discussion: The Ethics Act defines "public employee" as: "Any individual employed by the Common- wealth or a political subdivision who is responsible for taking or recommending official action of a non - ministerial nature with regard to: (1) contracting or procurement; (2) administering or monitoring grants or subsidies; (3) planning or zoning; (4) inspecting, licensing, regula- ting or auditing any person; or (5) any other activity where the official action has an economic impact of greater than a de minimus nature on the interests of any person." 65 P.S. §402. The regulations of the Commission further describe a public employee as a person who nomally works without super- vision in the field or is the immediate supervisor of a person who works without supervision in the field or the supervisor of a highest level field office. A public employee is also one Thomas M. Palmer April 9, 1981 Page 3 who has authority to make final decisions, authority to stop or forward recommendations from being sent to a final decision maker or, prepares or supervises preparation of final recommen- dations. (1) The Superintendent of school system clearly takes and recommends official action with regard to contracting, admini- stering grants and takes other actions of greater than de minimus impact on the interest of others. This authority is evident in the job description which states that the Superin- tendent makes policy, personnel and budget recommendations to the School Board, the final decision maker. A Superintendent is a public employee and must file a Statement of Financial Interests. (2) The Assistant to the Superintendent in Charge of Business Affairs prepares the budget and is thus a person who prepares or supervises preparation of final recommendations. The Assistant in charge of Business Affairs is a public employee and must file a Statement. (3) The Federal Coordinator is responsible for admini- stering and monitoring grants and subsidies. Therefore, the Federal Coordinator is a public employee under Section 2 of the Act, 65 P.S. §402 and must file a Financial Interest Statement. (4) Director of Pupil Personnel Services has more circum- scribed duties than those discussed above. The Director does not make independent decisions about contracting or procurement. A prior decision of the Commission, Casey, 80 -049, held that Reading Supervisors are not public employees. The Director's duties are analogous to the Reading Supervisors in that they are narrow. The Director is not a public employee and need not file a Statement. (5) The Administrative Assistant makes recommendations to the Superintendent regarding hiring and firing of school employees. The Administrative Assistant can stop or forward recommendations on non - ministerial matters and therefore is a public employee required to file a Statement. (6) School principals supervise the day to day operation of their schools and exercise discretion and judgment as to the desirability of actions taken. They have authority to make final decisions or to prepare and forward recommendations. School principals are public employees who must file Statements of Financial Interest. See Casey, 80 -049. (7) Assistant principals also exercise discretion in their duties. They assist in preparing budgets and make and forward recommendations. An assistant principal is a public employee and must file a Statement. Thomas M. Palmer April 9, 1981 Page 4 Conclusion: The following administrative employees of the Charleroi Area School District are public employees required to file Statements of Financial Interest by the Ethics Act, 65 P.S. §404. (3) Federal Coordinator (4) Administrative Assistant (5) School Principals (6) Assistant School Principals These administrators all exercise non - ministerial authority in contracting, budget preparation or some other area having a greater than de minimus economic impact on the interest of any person. The Director of Pupil Personnel Services does not have authority in contracting or budget preparation. Nor does the Director have authority in an area leading to greater than a de minimus economic effect on the interest of any person. The Director need not file a Statement of Financial Interests. Pursuant to Section 7(9)(ii), this Advice is a complete defense in any enforcement proceeding initiated by the Commission, and evidence of good faith conduct in any other civil or criminal proceeding, providing the requestor has disclosed truthfully all the material facts and committed the acts complained of in reliance on the Advice given. This letter is a public record and will be made available as such. Finally, if you disagree with this Advice or if you have any reason to challenge same, you may request that the full Commission review this Advice. A personal appearance before the Commission may be scheduled and a formal Opinion from the Commission will be issued. You should make such a request or indicate your disapproval of this Advice within the next 30 days. SW /rdp (1) Superintendent (2) Assistant to the Superintendent in Charge of Business Affairs Sincerely, andra S. C istianson General Counsel