HomeMy WebLinkAbout83-543 StendelMailing Address
STATE ETHICS COMMISSION
P.O. BOX 1 179
HARRISBURG, PA 17108
TELEPHONE: (717) 783 -1610
May 23, 1983
ADVICE OF COUNSEL
Mr. Edward C. Stendel
9954 Woodfern Road
Philadelphia, PA 19115
RE: Financial Interest Statement; Criminal Investigator II
Dear Mr. Stendel:
83 -543
As a result of the State Ethics Commission on -site audit of the May 1,
1981 Financial Interest Statement filings for the Attorney General's Office,
and as a result of further correspondence between the State Ethics Commission,
the Attorney General's Office, and you; this Advice is to specify to you
precisely why you are required to file a Financial Interest Statement with the
State Ethics Commission.
Facts: The job description of your position, as a Criminal Investigator I,
submitted to us by the Attorney General's Office in 1982 and signed by you in
1979 and incorporated herein by reference indicates that you have a
substantial degree of responsibility in the performance of investigations "...
having the elements of political sensitivity, and complexity where independent
investigatory skills are necessary." The work specifically performed by you
includes many discretionary duties. You were, as a Criminal Investigator I,
responsible for:
1. reviewing financial records and legal documents;
2. collecting and developing physical and non - physical evidence;
3. interviewing witnesses;
4. using technical investigative apparatus;
5. preparing detailed reports of investigations;
6. performing detailed audit analysis of financial information.
State Ethics Commission • 308 Finance Building • Harrisburg, Pennsylvania
Mr. Edward C. Stendel
May 23, 1983
Page 2
Furthermore, when you were recommended for promotion to Criminal
Investigator II, your supervisortrecommended that your title be changed to
Criminal Investigator /Auditor in light of your experience and constant
exposure to auditing activities. Although you did not supervise any
personnel, your work was of independent and non - ministerial nature including
analyzing and reporting on cases under your consideration. In this capacity
you independently perform investigative assignments, interview witnesses,
interrogate suspects, and evaluate sources of information to determine
reliability.
Discussion: The applicable provisions of the Ethics Act are contained in 65
P.S. 402, which reads:
"Public employee." Any individual employed by the
Commonwealth or a political subdivision who is responsible
for taking or recommending official action of a
nonminister•ial nature with regard to:
(1) contracting or procurement;
(2) administering or monitoring grants or
subsidies;
(3) planning or zoning;
(4) inspecting, licensing, regulating or auditing
any person; or
(5) tiny other activity where the official action
has an economic impact of greater than a de
minimus nature on the interests of any person.
"Public employee" shall not include individuals who are
employed by the State or any political subdivision thereof
in teaching as distinguished from administrative duties.
65 P.S. 402.
The Commission regulations further defines "public employee" as including
a person who normally performed his or her responsibility in the field without
on -site supervision, or the individual who has the authority to forward or
stop recommendations from being sent to the person or body with the authority
to make final decisions. The term includes one who prepares or supervises the
preparation and final recommendations. See 51 Pa. Code 1.1.
Mr. Edward C. Stendel
May 23, 1983
Page 3
In your position as Criminal Investigator /Auditor II, and presumably in
your position as Criminal Investigator I, you engage in unsupervised
investigatory and auditing activity. You, through these activities are
responsible for recommending action or stopping same and therefore, fall
directly within the auditing provision of the definition of "public employee ",
sub - paragraph (4) and 51 Pa. Code 1.1. In light of this, and in light of the
fact that your work is of an independent and discretionary nature, you, as a
Criminal Investigator /Auditor or a Criminal Investigator II, are within the
purview of the Legislature's meaning of "public employee" and are, therefore,
covered,by the Ethics Act. 65 P.S. §401 et seq.
It has also been a policy of the Commission that doubts as to the
coverage of a particular person or entity by the Act should be resolved in
favor of disclosure as set forth in Section 1 of the Ethics Act. Likewise,
regulations of the Commission specify that "public employee" should be held to
also include those whose recommendations or actions are an inherent part of
his or her position and affect organizations other than his or her own. Since
the activities in which you are engaged fall within that category, the Act's
coverage extends to you in your present position.
Conclusion: As a Criminal Investigator /Auditor or a Criminal Investigator II,
and under the present discription of your duties and responsibilities and the
classification specificiations for your job, you are a "public employee"
within the meaning of the Ethics Act, and as such you must file a Statement of
Financial Interest as required by Section 4 of the Ethics Act. Statements
covering a given calendar year are due no later than May 1 of each year you
serve in office /employment and for the year after you leave such a post.
Forms are enclosed for your use and these should be filed within 15 days of
this Advice. Please forward one copy of this form to our office so that we
may monitor compliance with this Advice.
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.
Mr. Edward C. Stendel
May 23, 1983
Page 4
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 will be scheduled and a formal
Opinion from the Commission will be issued. Any such appeal must be made, in
writing, to the Commission within 15 days of service of this Advice pursuant
to 51 Pa. Code 2.12.
CW /rdp
Enclosures
cc: LeRoy S. Zimmerman
Attorney General
Sin erely,
Sandra S. Chris ,t anson
General Couns