Missouri Ethics Com'n v. Wilson, WD

• Decision Date: 16 December 1997
• Docket Number: No. WD,WD
• Citation: 957 S.W.2d 794
• Parties: 122 Ed. Law Rep. 1298 MISSOURI ETHICS COMMISSION, Respondent, v. Ronald S. WILSON, Appellant. 53960.
• Court: Missouri Court of Appeals

Page 794

957 S.W.2d 794

122 Ed. Law Rep. 1298

MISSOURI ETHICS COMMISSION, Respondent, v. Ronald S. WILSON, Appellant.

No. WD 53960.

Missouri Court of Appeals Western District.

Dec. 16, 1997.

Kathleen Murphy Markie, Columbia, for appellant.

Jeremiah W. (Jay) Nixon, Atty. Gen., Mark D. Schoon, Asst. Atty. Gen., Jefferson City, for respondent.

Before ULRICH, C.J., and HANNA and ELLIS, JJ.

ULRICH, Chief Judge.

Ronald S. Wilson appeals from a decision of the Circuit Court of Cole County reversing the decision of the Administrative Hearing Commission (AHC) that overturned the Missouri Ethics Commission's assessment of a $240 late fee for failing to timely file a financial interest statement as a "decision-making public servant" under section 105.483, RSMo 1994. Mr. Wilson argues on appeal that the decision of the AHC finding that his position as Director of the University of Missouri Extension Conference Office did not satisfy the statutory definition of "decision-making public servant," section 150.450 RSMo 1994, and, hence, was not required to file a financial interest statement, section 105.483 RSMo 1994, was supported by substantial evidence. The trial court, therefore, erred, he concludes, in reversing the AHC's finding. The decision of the Circuit Court of Cole County is reversed.

FACTS

Ronald S. Wilson is the Director of the University Extension Conference Office ("the Office") at the University of Missouri. The Office assists departments of the University of Missouri and associations and agencies not affiliated with the University with the logistical and administrative details for hosting conferences. The Office assists client organizations in arranging for speakers, conference facilities, collecting registration fees, sending receipts and confirmation letters, preparing name badges, assuring that the program is printed and arranging for meals and sleeping rooms. The Office sometimes prepares specifications and proposals for client program sponsors. The Office is also responsible for buying items used in conferences such as notebooks and paper. As Director, Mr. Wilson is responsible for supervising the operations of the Office and the twenty Office employees.

While the Office helps coordinate conferences, it is not responsible for substantive decisions regarding conferences. The client academic department or association sponsoring a program makes all substantive decisions regarding its conference including the subject matter, format and location of the conference. A planning committee or the program chairperson, rather than the Office, chooses the speaker, negotiates fees and approves speaker contracts when the conference is University-sponsored.

Mr. Wilson's duties as Director also include approving all purchases the Office makes for less than $1,000.00. Mr. Wilson's assistant director, Joy Williams, also has approval authority for Office purchases under $1,000.00. After approval of a purchase by either Mr. Wilson or Ms. Williams, the proposed purchase is forwarded to the University of Missouri Accounting Office for final approval and payment. Certain purchases, such as those for alcohol, are even more closely scrutinized by the Accounting Office. Purchases made for more than $1,000.00 can be authorized only by the Purchasing Department of the University. Neither Mr. Wilson nor Ms. Williams are authorized to approve purchases over $1,000.00.

Mr. Wilson was designated by the University as a decision-making public servant pursuant to section 105.483, RSMo 1994, on a list sent to the Missouri Ethics Commission. This designation is the basis for the Ethics Commission's determination that Mr. Wilson is compelled to file a financial interest statement. The Ethics Commission assessed Mr. Wilson a $240.00 late fee for his having filed the statement twenty-four days after the deadline.

Mr. Wilson filed a complaint with the AHC disputing the Ethics Commission's late filing fee assessment. Mr. Wilson argued that he did not meet the statutory definition of a decision-making public servant. ¹ Mr. Wilson presented an organizational chart of the University that revealed only three of the nine University Directors had been designated as decision-making employees. Mr. Wilson also noted that the chief fiscal officer for the Extension Division who supervised and managed all Directors and oversaw a $17 million budget was not designated as a decision-maker. Mr. Wilson characterized his own position as lower mid-level management. Mr. Wilson testified that he never asked the University to remove his name from the list because he believed the request would be futile.

At the conclusion of the evidence, the AHC found in Mr. Wilson's favor. The AHC noted that the definition of "decision-making public servant" in section 105.450 had two requirements: (1) that the individual have certain specified authority and (2) that the individual be designated as a decision-making public servant. The AHC found that although Mr. Wilson had been designated a decision-making public servant, the record did not establish his job responsibilities satisfied the definition of "decision-making public servant" in section 105.450.

The Ethics Commission appealed the AHC's decision to the Circuit Court of Cole County. The circuit court reversed the holding of the AHC, finding that Mr. Wilson satisfied the requirements of section 105.450 because he had been designated by the University as a decision-making public servant and because he exercised primary supervisory responsibility over the purchasing decisions of the Office. The court further held that anyone properly designated a decision-making public servant is automatically required to file a financial interest statement. The court ordered Mr. Wilson to pay the $240.00 late fee. Mr. Wilson appeals the decision of the circuit court.

STANDARD OF REVIEW

The AHC, not the judgment of the circuit court, is reviewed. Arledge v. Progressive Tire Distribution, 924 S.W.2d 506, 509 (Mo.App.1996). The circuit court is afforded no deference in its determinations of law, and this court reviews those determinations de novo. Johnson v. Denton Constr. Co., 911 S.W.2d 286, 287 (Mo. banc 1995).

I. MR. WILSON WAS NOT REQUIRED TO FILE A FINANCIAL INTEREST

STATEMENT PURSUANT TO SECTION 105.483

As his sole point on appeal, Mr. Wilson argues that the AHC's decision that found he was not a decision-making public servant and, hence, was not required to file a financial interest statement was supported by competent and substantial evidence, was not contrary to law, did not exceed the AHC's authority and was not an abuse of discretion. Thus, he argues, the circuit court's decision reversing the finding of the AHC was error. Mr. Wilson specifically argues that for section 105.450 to compel a person to file a financial interest statement, the individual must be designated as a decision-making public servant and satisfy the definition of a decision-making public servant. He asserts that because he did not satisfy the statutory definition of decision-making public servant he was not required to file a financial interest statement. The Ethics Commission counters that Mr. Wilson's designation by the University as a decision-making public servant automatically required him to file a financial interest statement and, in any event, Mr. Wilson met the statutory definition of decision-making public servant.

Section 105.483 requires that "[a]ny person identified as a decision-making public servant pursuant to subdivision (6) of section 105.450" file a financial interest statement. § 105.483, RSMo 1994. Section 105.450(6) defines a "[d]ecision-making public servant" as "an official, appointee or employee of the offices or entities delineated in paragraphs (a) to (i) of this subdivision who exercises supervisory authority over the negotiation of contracts, or has the legal authority to adopt or vote on the adoption of rules and regulations with the force of law or exercises primary supervisory responsibility over purchasing decisions and is designated by one of the following officials or entities as a decision-making public servant: (i) A board of regents or board of curators of a state institution of higher education." § 105.450(6), RSMo 1994 (emphasis added).

The unambiguous statutory language of sections 105.483 and 105.460 clearly require that a person be both designated as a decision-making public servant and satisfy section 105.460's statutory definition of decision-making public servant before being required to file a financial interest statement under section 105.483. The requirement of section 105.483 to file a financial interest statement applies only if a "person [is] identified as a decision-making public servant pursuant to subdivision (6) of section 105.450." § 105.483 RSMo (emphasis added). An employee, therefore, must satisfy section 105.450's definition of "decision-making public servant" before being required to file a financial interest statement pursuant to section 105.483. Contrary to the Ethics Commission's contention, mere designation as a decision-making public servant does not invoke the status of decision-making public servant under section 105.450. Missouri Ethics Comm'n v. Cornford, 955 S.W.2d 32, 35 (W.D.Mo. 1997). While designating a person as a decision-making public servant is required, section 105.450 also requires that designated decision-making public servants "[exercise] supervisory authority over the negotiation of contracts, or [have] the legal authority to adopt or vote on the adoption of rules and regulations with the force of law or [exercise] primary supervisory responsibility over purchasing decisions." § 105.450 RSMo. An employee, therefore, is not required to file a financial interest statement unless the persons is both identified as a decision-making public servant and satisfies the statutory definition of "decision-making public servant." Cornford, 955 S.W.2d at 35.

Requiring...