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HomeMy WebLinkAbout586 HardickMr. Paul G. Hardick 383 Cottage Place Lewistown, PA 17044 Re: 87 -048 -C Dear Mr. Hardick: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION Order No. 586 DATE DECIDED: July 21, 1987 DATE MAILED: July 28, 1987 The State Ethics Commission has received a complaint regarding you and a possible violation of Act 170 of 1978. The Commission has now completed its investigation. The individual allegations, conclusions and findings on which those conclusions are based are as follows: I. Allegation: That you, Administrator of the Juniata Valley Tri- County Mental Health /Mental Retardation Program, violated Section 4(a) of the Ethics Act which states, in part, that 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; and Section 4.1(a) and (d) of the regulations which state that each public employee employed by the Commonwealth shall file a Statement of Financial Interests, Form SEC -1, for the preceding calendar year with the department, agency, or bureau with 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 and that the governing authority of the political subdivisions will designate the location of the Statements of Financial Interests for their employees, in that you have failed to file a Statement of Financial Interests with your governmental body on a yearly basis. A. Findings: 1. You are employed as Administrator of the Juniata Valley Tri- County Mental Health /Mental Retardation Program. a. The Program is jointly administered by the Board of Commissioners of Mifflin, Juniata and Huntingdon Counties to provide mental health services. Mr. Paul G. Hardick Page 2 2. Your duties as administrator are specified in Purdons Title 50, Chapter 12, Section 4305: Section 4305 Duties of the Administrator The county mental health and mental retardation administrator shall have the power and his duty shall be: (1) To administer the county mental health and mental retardation program. (2) To insure that county mental health and mental retardation services required by this act are available. (3) To provide staff services to the County Mental Health and Mental Retardation Board. (4) To make such reports to the department in such form and containing such information as the department may require. (5) To develop, together with the County Mental Health and Mental Retardation Board, annual plans for the mental health and mental retardation programs required by this act. (6) To submit to local authorities annual plans and estimated costs for the provision of services, establishment and operation of facilities, and other related matters for review approval and transmittal to the department. (7) To review and evaluate facilities, and to cooperate with the department in the maintenance of established standards. (8) To maintain effective liaison with governmental and private community health and welfare agencies and organizations and State operated facilities. (9) To submit an annual report to the local authorities, the board and the department reporting all activities of the program and his administration thereof. Mr. Paul G. Hardick Page 3 (10) To analyze and evaluate mental health and mental retardation needs and services in the county and recommend improvements to the County Mental Health and Mental Retardation Board and local authorities, conduct such research studies, and take such steps and adopt such measures as are necessary for the proper discharge of his duties. 1966, Special Sess. No. 3, Oct. 20, P.L. 96, art. III, §305. 3. A Mifflin County Commissioner advised that you were not required to file a Statement of Financial Interests because you did have the authority to purchase or enter into contracts. 4. You provided the following information to the State Ethics Commission by letter dated April 20, 1987: a. It was your understanding after consultation with solicitor Jeffrey Snook that the Ethics Commission determined that you were required to file a Statement of Financial Interests. b. You were unaware of the filing requirement, but, upon hearing of the State Ethics Comission's proposed determination, you wished to do all that you could to be in compliance with the laws of the Commonwealth. 5. Records of the State Ethics Commission disclose: a. By correspondence dated October 26, 1986, Executive Director Edward Seladones notified you that a complaint was received that you failed to file a Statement of Financial Interests. Seladones also wrote that a preliminary review shows that you were never notified that you were required to file because you were not considered a public employee. Seladones' letter stated that it appeared you should be filing a Statement of Financial Interests and requested a copy of your job description. b. Solicitor Snook sent a letter on November 12, 1986 to the State Ethics Commission enclosing a copy of your job description. B. Discussion: The State Ethics Act provides as follows: Section 4. Statement of financial interests required to be filed. (a) Each public employee employed by the Commonwealth shall file a statement of financial interests for the Mr. Paul G. Hardick Page 4 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 M :;y 1 of each year that he holds such a position and of the year after he leaves such a position. 65 P.S. §404(a). The Regulations of the State Ethics Commission further provide that: §4.1.Public employes. (a) Each public employe employed by the Commonwealth shall file a Statement of Financial Interests, Form SEC -1, for the preceding calendar year with the department, agency, or bureau with 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. 51 Pa. Code 4.1(a). (d) The governing authority of the political subdivisions will designate the location of the Statements of Financial Interests for their employes. 51 Pa. Code 4.1(d). There is no doubt that as an administrator for Juniata Valley Tri- County Mental Health /Mental Retardation you are within the purview of the above provisions of the State Ethics Act. Hoch, 85 -578. The Ethics Act defines public employee as follows: Section 2. Definitions. "Public employee." Any individual employed by the Commonwealth or a political subdivision who is responsible for taking or recommending official action of a nonministerial nature with regard to: (1) conZ:racting or procurement; (2) administering or monitoring grants or subsidies; Mr. Paul G. Hardick Page 5 (3) planning or zoning; (4) inspecting, licensing, regulating 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. A review of the duties and functions of your position as administrator of the Juniata Valley Tri- County Mental Health /Mental Retardation Program as set forth in Purdons title 50, Chapter 12, Section 4305 clearly indicates that you are within the purview of the law. See Phillips v. State Ethics Commission, 79 Pa. Commw. Ct. 491, 470 A.2d 659, (1984). Your position as administrator falls within the above definition. The filing requirement, as set forth in the Ethics Act, has been determined to apply equally to public employees and public officials. Kremer v. State Ethics Commission, 56 Pa. Commw. Ct. 160, 424 A.2d 968, (1981); Carter, 79 -066. The Ethics Act provides penalties for failure to file a Statement of Financial Interests as follows: Section 9. Penalties. (b) Any person who violates the provisions of Section 4 is guilty of a misdemeanor and shall be fined not more than $1,000 or imprisoned for not more than one year, or be both fined and imprisoned. 65 P.S. §409(b). This Commission has been mandated to make recommendations to law enforcement officials either for criminal prosecution or dismissal of charges arising out of violations of the Act. 65 P.S. §409(11). The State Ethics Act also provides that: Section 4. Statement of financial interests required to be filed. (d) No public official shall be allowed to take the oath of office or enter or continue upon his duties, nor shall he receive compensation from public funds, unless he has filed a statement of financial interests with the commission as required by this act. 65 P.S. §404(d). Mr. Paul G. Hardick Page 6 Pursuant to this provi s i u: of the Act, the Commission has taken action to prohibit candidates who are it violation of the law from continuing in the election process, State Ethics Commission v. Landauer, 91 Pa. Commw. Ct. 70 496 A.2d 862, (1985), and has also required public officials and emloyees in violation of the Act to return any compensation obtained in violation of the above provision. Metzler, No. 389 -R; Huhn, No. 431. Factually, it appears that you were under the impression that you were not required to file the Statement of Financial Interests based upon the advice from a Mifflin County Commissioner who said you need not file because you did not have authority to purchase or enter contracts. However, after consultation with your solicitor and the Ethics Commission, you have filed the Statement of Financial Interests with the three employer counties and provided a copy to this Commission. You stated that you were unaware of the filing requirements but upon so learning, you filed because you wanted to comply with the laws of the Commonwealth of Pennsylvania. Since it does not appear that your failure to file was intentional or an attempt on your part to conceal financial information, this Commission will take no further acton. C. Conclusion: 1. As e..n administrator for the Juniata Valley Tri- County Mental Health /Mental Retardation Program, you are a "public employee" under the Ethics Act and the provisions therein are applicable to you. 2. As a public employee, you are required under Section 4(a) of the Ethics Act to file a Statement of Financial Interests for each year in which you hold a position and for the year after you leave such position. Your failure to file a Statement of Financial Interests was a violation of the requirements of the State Ethics Act. 3. Since you have filed a Statement of Financial Interests with the three employer counties, no further action will be taken. 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 15 days after service (defined as mailing) unless you file documentation with the Commission which justifies reconsideration and /or challenges pertinent factual findings. See 51 Pa. Code 2.38. During this 15 -day period, no one, including the Respondent unless he waives his right to challenge this Order, may violate this confidentiality by releasing, discussing or circulating this Order. Mr. Paul G. Hardick Page 7 Any person who violates the confidentiality of a Commission proceeding is guilty of a misdemeanor and shall be fined not more than $1,000 or imprisoned for not more than one year or both, see 65 P.S. 409(e). By the Commission, G. Sieber Pancoast Chairman