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HomeMy WebLinkAbout223-R DandridgeMr. Paul Dandridge Room 229 City Hall Philadelphia, PA 19107 RE: No. 83 -114 -C STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION July 2 1985 Order No. 223 -R Dear Mr. Dandridge: The State Ethics Commission has reviewed the possibility that you have violated the State Ethics Act, Act 170-1978. The nature of the alleged violation is as follows: I. Allegation: That as a public official, you failed to file a Financial Interest Statement by May 1, 1982, for calendar year 1981, as required by the State Ethics Act and regulations. A. Findings: 1. An audit of the Financial Interest Statements for calendar year 1981 required to be filed by May 1, 1982, was conducted by the State Ethics Commission. Your statement was not on file. 2. You served as a member of the Governor's Council on Drug and Alcohol Abuse during calendar year 1981. a. Until July 1, 1981, the powers and duties of the Council included the following: 1. develop, adopt and coordinate the implementation of a comprehensive health, education and rehabilitation program for the prevention and treatment of drug and alcohol abuse and dependence under the Drug and Alcohol Abuse and Control Act, 71 P.S. 1690.101 et seq.; tir. Paul Dandridge July 2, 1985 Page 2 2. appoint an Executive Director to whom they may delegate supervision of the administration of council activities including, with the approval of council, the authority to employ personnel and consultants needed to carry out the council's duties; 3. adopt a State plan for the control, prevention, treatment, rehabilitation research, education, and training aspects of drug and alcohol abuse and dependence problems, including coordination of all state agencies in this field. 4. prepare general regulations for the operation of programs supported with assistance under the Drug and Alcohol Abuse Control Act; 5. establish priorities for deciding allocation of the funds under said Act; 6. require local and State departments, agencies, institutions and others engaged in implementation of the State plan to submit reports to evaluate the efforts of the State plan and law and to recommend appropriate amendments to the State plan; 7. through the Executive Di rector, direct performance audits of any activity engaged in pursuant to the State plan; 8. make recommendations to the General Assembly as will further the prevention, treatment and control of drug and alcohol abuse and dependence; 9. provide for facilities in each region or city or catchment area to provide information about programs /services under their law and jurisdiction; 3. On April 12, 1981, Re- organization Plan No. 4 of 1981, 71 P.S. §759 -4 was enacted by the General Assembly, effective July 1, 1981. 4. The powers and functions enumerated in the original enabling legislation, pursuant to the re- organization plan, are now exercised and performed by the Pennsylvania Department of Health. While the Council is retained as an agency within the Department of Health, the re- organization plan specifically indicates that the council will be an "advisory body which will provide advice and consultation to the Secretary of Health." Specifically, the re- organization plan provides that: Mr. Paul Dandridge Page 3 July 2 1985 The Department of Health shall seek the advice and consultation of the council in the following areas: (1) The development and implementation of the State plan for the control, prevention, intervention, treatment, rehabilitation, research, education and training aspects of drug and alcohol abuse and dependency problems. (2) The promulgation by the Department of Health of any regulations necessary to carry out the purposes of the Pennsylvania Drug and Alcohol Abuse Control Act. (3) The establishment of funding priorities for drug and alcohol programs. (4) The allocation funds for the control, prevention, intervention, treatment, rehabilitation, research or training aspects of drug and alcohol abuse and dependency problems. (5) Policies pertaining to the collection and dissemination of data and statistics pertaining to drug and alcohol abuse and dependency. (6) The council, within its discretion or at the request of the Department of Health, may also provide advice and consultation to the Department on any other matter relating to the implementation and coordination of activities under the Act. 5. You have not yet filed a Statement of Financial Interests for calendar year 1981. A letter was addressed to you by the Executive Director of the State Ethics Commission, Edward M. Seladones. a. This letter was dated December 20, 1982. b. This letter was addressed to you at Room 229, City Hall, Philadelphia, Pennsylvania 19107. c. This letter was mailed certified, return receipt requested, No. 0018439, it was accepted by J. McDonald on December 24, 1982. d. We received no response to this letter. 6. Another letter was addressed to you by Edward M. Seladones, Executive Director, State Ethics Commission. a. This letter was dated May 11, 1983. Mr. Paul Dandridge Page 4 July 2 1985 b. This letter was addressed to you at Room 229, City Hall Philadelphia, Pennsylvania 19107. c. This letter was mailed certified, return receipt requested, No. 5254946. This letter was accepted by S.U.S. on May 17, 1983. d. We received no response to this letter. 7. On August 23, 1983, the State Ethics Commission issued Order No. 223 relating to the allegation contained herein. 8. On August 25, 1983, you forwarded a letter to the State Ethics Commission contesting the aforementioned Order. 9. Said letter was processed as a request for reconsideration. 10. The request for reconsideration was granted and as a result, additional testimony and evidence was submitted to the State Ethics Commission. 11. You also served as a Judge on the Court of Common Pleas for the first Judicial District in Pennsylvania. 12. You were not compensated as a member of Council in that members of the Council who served in other state compensated government positions were not entitled to compensation. 13. You resigned from the bench in August of 1983. B. Discussion: Section 4(a) of the State Ethics Act states: (a) Each public employee employed by the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency or bureau in which he is employed no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Any other public employee shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. 65 P.S. 402. The State Ethics Commission has ruled that all "public officials" are also "public employees" and thus, subject to Section 4(a)'s requirements. See Carter, 79 -066. Also, the regulations of the State Ethics Commission, which have the force and effect of law specify that "public officials" shall file Financial Interest Statements. 51 Pa. Code 4.4(a). The Commonwealth Court Mr. Paul Dandridge Page 5 July 2 1985 has also agreed that "public officials" are subject to the filing requirements of Section 4(a) of the Ethics Act. See Kremer v. State Ethics Commission, 56 Pa. Cmwlth. 160, 424 A.2d 968 (1981). Sections 4.3(b) and 4.4(d) of the State Ethics Commission regulations state: (b) Any person appointed as an official in a Commonwealth's executive, legislative, judicial branches and other state -wide offices who is not a candidate shall file his Financial Interest Statement with the Commission and a copy with the agency to which he is appointed by May 1, of the year appointed or within 15 days if appointed after May 1. 51 Pa. Code 4.3(b). (d) A former public official shall file a Statement of Financial Interests for their last year of service by May 1, of the succeeding year. This statement shall be filed at the same office they filed when they were incumbent officials. 51 Pa. Code 4.4(d). Our focus on this matter relates to three specific issues: 1. Are you exempt from filing in that you served as an appointed non - compensated council member? 2. Are you exempt from filing because the Council functioned merely as an advisory board? 3. Are you exempt from filing because you were also a member of the Judiciary? The State Ethics Act defines puhlic official as follows: Section 2. Definitions. "Public official." Any elected or appointed official in the Executive, Legislative or Judicial Branch of the State or any political subdivision thereof, provided that it shall not include members of advisory boards that have no authority to expend puhlic funds other than reimbursement for personal expense, or to otherwise exercise the power of the State or any political subdivision thereof. "Public official" shall not include any appointed official who receives no compensation other than reimbursement for actual expenses. 65 P.S. 402. Mr. Paul Dandridge Page 6 July 2, 1.985 First, while the above definition exempts appointed /non - compensated officials, that exemption is no longer applicable especially where, on the same governmental body there are both compensated and non - compensated members. See Snider v. Thornburgh, 469 Pa. 159, 436 A.2d 593, (1981). In light of the foregoing, it is clear that you are not exempt from the filing requirement as a result of the aforementioned exemption. Secondly, the State Ethics Act provides that the term public official shall not include members of advisory boards that have no authority to expend public funds other than reimbursement for personal expense, or to otherwise exercise the power of the state. 65 P.S. §402. Generally, when one reviews this exemption for members of advisory boards in conjunction with the powers of the Council as set forth in the re- organization plan, it is clear that from the effective date of the re- organization plan the Council acts only as an advisory body. All of the former powers and functions of the Board upon which the Commission based its original Order were transferred to the Department of Health. The act, establishing the council, was suspended in so far as it conflicted with the re- organization plan. As such, it appears as though the Council did not have the power to expend any funds and that such would be accomplished by the Department of Health. In light of this, you would not have been a public official, at least from July 1, 1981. You did, however, serve on the board during the first 6 months of 1981 at which point in time you would have been a public official pursuant to the former powers of the Council. Your participation in your duties during this period would thus require the filing of a Statement of Financial Interests. See eg. 51 Pa. Code §4.4(e). Finally, we have reviewed your contention that you are exempt from filing the required statement because you are a member of the Judiciary and we disagree with that argument. While the Superme Court has established such an exemption in Kremer v. State Ethics Commission, Pa. , 469 A.2d 593, (1983), there has never been any ruling or even an indication that such exemption carries over to other positions that are voluntarily held by a Judge. Here you served as a member of the Council, not in your judicial capacity, but in your capacity as a private individual. We believe that when one voluntarily accepts a position for which a filing is required, the filing exemption is, in effect, waived. In light of the foregoing, we will reaffirm our finding that you were a public official within the purview of the State Ethics Act. Your failure to file said statement was therefore in violation of the Act. We will, however, amend our original Order to allow you the opportunity to file. C. Conclusion: You violated the Ethics Act and State Ethics Commission regulations by not filing a Statement of Financial Interests with the State Ethics Commission as set forth above despite official notification of your obligations to do so. We will, however, take no further action in this matter Mr. Paul Dandridge Page 7 if you, within 30 days of the service of this Order, submit to the State Ethics Commission a completed Statement of Financial Interests for the calendar year 1981. Our files in this case will remain confidential in accordance with Section 8(a) of the Ethics Act, 65 P.S. 408(a). However, this Order is final and will be made available as a public document 3 business days after service. JJC /na Enc. Statement of Financial Interests Form By the Commission4 Dr. Leon L. Haley Vice - Chairman July 2, 1985