HomeMy WebLinkAbout1st Qtr 2009 index
INDEX
State Ethics Commission
Quarterly Rulings for First Quarter 2009
ADVICES (Ethics):
09-500 (Smith):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would permit an individual to seek election as a
borough council member or borough mayor where
said individual is involved in a lawsuit against the
borough and some of the borough’s elected and
appointed officials and employees; and if said
individual would be elected as a borough council
member or borough mayor, whether the Ethics Act
would impose any prohibitions or restrictions upon
him with regard to the performance of the duties of his
borough position as a result of such litigation.
09-501 (McAlister):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any restrictions upon an annuitant who,
following retirement from the Commonwealth of
Pennsylvania (“Commonwealth”), has provided
services to the Pennsylvania Department of
Education (“Department of Education”) under the 95-
day annuitant program, most recently working in the
position of Library Development Advisor (job code
25310), when: (1) the annuitant ceased providing
such services to the Department of Education in June
2008; and (2) the Department of Education has
offered the annuitant a contract employment position.
09-502: (Arnold):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any prohibitions or restrictions upon the
executive director of a municipal authority with regard
to seeking election as a supervisor for the township
that appoints the members of the board of such
municipal authority; and if said individual would be
elected as a township supervisor, whether the Ethics
Act would impose any prohibitions or restrictions upon
him with regard to participating in the appointment of
members of such municipal authority board.
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09-503 (Wanger):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any restrictions upon employment of a
Portfolio Manager with a job title of Senior Civil
Engineer Manager following termination of service
with the Pennsylvania Department of Transportation
(“PennDOT”).
09-504 (Logue):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any prohibitions or restrictions upon the
county executive for a county with regard to selling a
parcel of land that he owns to a local developer,
when: (1) the parcel of land is contiguous to a
commercial property owned by the developer; (2) the
developer wants to expand the commercial property;
(3) the developer will offer the county executive fair
market value for the parcel of land; (4) the developer
owns several properties in the county and is the
landlord on a couple leases with the county; and (5)
county leases are initially reviewed by the county
procurement manager and are subsequently reviewed
by the county controller or county council.
09-505 (Rader):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any restrictions upon employment of a
Transportation Planning Manager following
termination of service with the Pennsylvania
Department of Transportation (“PennDOT”).
09-506:
Re: Whether the Public Official and Employee Ethics
Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq., would
prohibit a state legislator from serving on the board of
a [type of entity] established to serve as a [type of
organization] for a private [type of institution] pursuant
to the [title of statute], when the [immediate family
member] of the state legislator holds the position of
Position L with the [institution].
09-507 (Bitz):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would permit an Environmental Collection System
Manager for a township to seek election as a
supervisor for the township; and if said individual
would be elected as a township supervisor, whether
the Ethics Act would impose any prohibitions or
restrictions upon him with regard to participating in
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matters pertaining to his employment with the
township or the individual(s) who would exercise
authority over him with respect to his employment
with the township.
09-508 (Williams):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would present any prohibitions or restrictions upon a
city council member with respect to voting on the
appointment of an attorney to serve as the city
solicitor, when the city council member has sought
advice and/or legal representation from the attorney
on potential issues involving the adoption of the city’s
budget for 2009him with regard to the performance of
the duties of his borough position as a result of such
litigation.
09-509 (Sadler):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would present any prohibitions or restrictions upon a
Commissioner for Berks County, Pennsylvania, with
respect to voting on funding requests for the Berks
Economic Partnership, when the Commissioner is an
honorary, non-voting member of the Board of
Directors of the Berks Economic Partnership; and
whether the Commissioner would be required to
disclose on his annual Statement of Financial
Interests such position on the Board of Directors of
the Berks Economic Partnership.
09-510 (Hartman):
Re: Whether as a part-time laborer/driver for West
Penn Township, located in Schuylkill County,
Pennsylvania, you would be considered a "public
employee" subject to the Public Official and Employee
Ethics Act (the “Ethics Act”), 65 Pa.C.S. § 1101 et
seq., and the Regulations of the State Ethics
Commission, and particularly, the requirements for
filing Statements of Financial Interests.
09-511 (Radolec):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would present any prohibitions or restrictions upon a
member of the board of a county airport authority,
who, in his private capacity, is employed as vice
president of engineering with a company, with regard
to participating in matters pertaining to the award of
an authority contract, when the member’s employer
intends to submit a bid for the project.
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09-512 (Buenaventura):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any prohibitions or restrictions upon a
member of the Pennsylvania Early Learning Council
with regard to contracting to perform services for the
Office of Child Development and Early Learning
(“OCDEL”) on a project for the early childhood
education community.
09-513:
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would prohibit a state legislator from simultaneously
serving in a compensated position as the A of a [type
of entity] created by a political subdivision and located
in the state legislator’s district; and what role, if any,
would the state legislator be permitted to play in
obtaining state funds for such [entity].
09-514 (Baron):
Re: Whether, in the former capacity as Chair of the
Department of Counseling and Psychological
Services of West Chester University of the State
System of Higher Education, you would be
considered a “public employee” subject to the Public
Official and Employee Ethics Act (“the Ethics Act”), 65
Pa.C.S. § 1101 et seq., and the Regulations of the
State Ethics Commission, and particularly, the
requirements for filing Statements of Financial
Interests.
09-515 (Nestlerode):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any prohibitions or restrictions upon a
member of the Pennsylvania Early Learning Council,
who in a private capacity is employed as the Director
of the Early Development and Education Institute of
the Pennsylvania State University, with regard to: (1)
administering a subcontract that such employer has
with an entity that has been awarded a contract with
the Pennsylvania Department of Public Welfare; and
(2) accepting payments for presenting workshops,
including workshops for organizations that receive
funding for professional development events through
programs of the Pennsylvania Department of Public
Welfare.
09-516:
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any restrictions upon employment of
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the A of Commonwealth Department B following
termination of Commonwealth service.
09-517 (Corey):
Re: Whether a Public Relations Coordinator with
the Public Relations Department of the Republican
Caucus of the Pennsylvania House of
Representatives (“House”) would be considered a
“public employee” subject to the Public Official and
Employee Ethics Act (the “Ethics Act”), 65 Pa.C.S. §
1101 et seq., and the Regulations of the State Ethics
Commission, and in particular, the requirements for
filing Statements of Financial Interests.
09-518 (Baumer):
Re: Whether, in your capacity as an Assistant
Professor with the Music Department of Indiana
University of Pennsylvania of the State System of
Higher Education, you would be considered a “public
employee” subject to the Public Official and Employee
Ethics Act (“the Ethics Act”), 65 Pa.C.S. § 1101 et
seq., and the Regulations of the State Ethics
Commission, and particularly, the requirements for
filing Statements of Financial Interests.
09-519 (Baker):
Re: Whether individuals employed by the
Pennsylvania Department of Public Welfare as
Income Maintenance Caseworkers under job code
44720 would be considered “public employees”
subject to the Public Official and Employee Ethics Act
(“Ethics Act”), 65 Pa.C.S. § 1101 et seq., and the
Regulations of the State Ethics Commission, and in
particular, the requirements for filing Statements of
Financial Interests pursuant to the Ethics Act.
09-520 (DeFlaminis):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any prohibitions or restrictions upon a
member of the Pennsylvania Early Learning Council,
who in a private capacity is the Executive Director of
the Penn Center for Educational Leadership (“the
Center”) of the Graduate School of Education of the
University of Pennsylvania, with regard to: (1)
delivering services including the provision of
workshops and receiving compensation pursuant to
existing contracts and arrangements by letter
between the Center and members of the ELC or their
designees; and (2) accepting offers of work that would
arise in whole or in part from the exposure that might
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be received as a result of his membership on the
ELC.
09-521 (Baker.):
Re: Whether a Member of the Board of Directors of
the Citizens Library Association of Washington,
Pennsylvania, would be considered a “public official”
subject to the Public Official and Employee Ethics Act
(“Ethics Act”), 65 Pa.C.S. § 1101 et seq., and the
Regulations of the State Ethics Commission, and
particularly, the requirements for filing Statements of
Financial Interests.
09-522 (Heckman):
Re: Whether individuals employed by the
Pennsylvania Department of Public Welfare as
Income Maintenance Casework Supervisors under
job code 44730 would be considered “public
employees” subject to the Public Official and
Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101
et seq., and the Regulations of the State Ethics
Commission, and in particular, the requirements for
filing Statements of Financial Interests pursuant to the
Ethics Act.
09-523 (Huber):
Re: Whether as an Income Maintenance
Caseworker with the Pennsylvania Department of
Public Welfare under job code 44720, you would be
considered a “public employee” subject to the Public
Official and Employee Ethics Act (“Ethics Act”), 65
Pa.C.S. § 1101 et seq., and the Regulations of the
State Ethics Commission, and in particular, the
requirements for filing Statements of Financial
Interests pursuant to the Ethics Act.
09-524 (Klunk):
Re: Whether as an Income Maintenance
Caseworker with the Pennsylvania Department of
Public Welfare under job code 44720, you would be
considered a “public employee” subject to the Public
Official and Employee Ethics Act (“Ethics Act”), 65
Pa.C.S. § 1101 et seq., and the Regulations of the
State Ethics Commission, and in particular, the
requirements for filing Statements of Financial
Interests pursuant to the Ethics Act.
09-525:
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would present any prohibitions or restrictions upon an
A and B of a [type of political subdivision] C, who in a
private capacity is a [type of profession] licensed to
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[engage in professional activities] in [name of state]
but not in [name of state], with regard to working as
an employee of or independent contractor to the [type
of firm] that serves as D for the [type of political
subdivision].
09-526:
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any prohibitions or restrictions upon
employment of an A following termination of
employment with Commonwealth Agency B.
09-527 (Cambest):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would present any prohibitions or restrictions upon a
high school principal, who in a private capacity is the
sole owner of a fundraising business, with regard to
selling fundraising products at cost to a high school-
affiliated club, when the high school principal would
not receive any pecuniary benefit from the club’s sale
of such products.
09-528 (Smith):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would present any prohibitions or restrictions upon a
teacher’s aide employed with a school district with
regard to simultaneously serving as the tax collector
for a township that collects taxes for such school
district.
09-529 (Forbrich):
Re: Whether as an annuitant providing services to
the Pennsylvania Department of Labor and Industry
under the 95-day annuitant program, working in the
position of Vocational Rehabilitation Specialist, you
would be considered a “public employee” subject to
the Public Official and Employee Ethics Act (“Ethics
Act”), 65 Pa.C.S. § 1101 et seq., and the Regulations
of the State Ethics Commission, and upon ceasing
providing such services, the restrictions of Section
1103(g) of the Ethics Act pertaining to former public
officials/public employees.
09-530 (Spade):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would permit a Budget Analyst for the Republican
Chairman of the Appropriations Committee of the
Pennsylvania House of Representatives (“House”) to
seek election as a township supervisor.
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09-531 (Elefante):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would present any prohibitions or restrictions upon a
school director with regard to participating in her
official capacity as to the proposed use(s) of a
property owned by the school district, when: (1) the
school director’s private property is adjacent to the
school district’s property; and (2) such proposed
use(s) could affect the value of the school director’s
private property.
09-532 (Edwards):
Re: Whether the Public Official and Employee
Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.,
would impose any restrictions upon an annuitant who,
following retirement from the Commonwealth of
Pennsylvania, has provided services to the
Pennsylvania Department of Transportation
(“PennDOT”) under the 95-day annuitant program,
working in the position of Senior Bridge and Structural
Designer, when the annuitant ceased providing such
services to PennDOT on December 23, 2008.
09-533 (Dittman):
Re: Whether as a Member of the Parks and
Recreation Commission of the Municipality of
Murrysville, Pennsylvania, you would be considered a
“public official” subject to the Public Official and
Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101
et seq., and the Regulations of the State Ethics
Commission, and particularly, the requirements for
filing Statements of Financial Interests.
OPINIONS (Ethics):
09-001 (Ludwig):
Re: Whether an individual employed by the
Pennsylvania Department of Public Welfare as an
Income Maintenance Caseworker under job code
44720 would be considered a “public employee”
subject to the Public Official and Employee Ethics Act
(“Ethics Act”), 65 Pa.C.S. § 1101 et seq., and the
Regulations of the State Ethics Commission, and in
particular, the requirements for filing Statements of
Financial Interests pursuant to the Ethics Act.
ORDERS (Ethics):
1496 (Zadrozny):
Re: Procedurally, the Investigative Division of the
State Ethics Commission conducted an investigation
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regarding a possible violation of the Public Official
and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. §
1101 et seq., by the above-named Respondent. At
the commencement of its investigation, the
Investigative Division served upon Respondent
written notice of the specific allegations. Upon
completion of its investigation, the Investigative
Division issued and served upon Respondent a
Findings Report identified as an “Investigative
Complaint.” An Answer was not filed and a hearing
was requested. A Stipulation of Findings and a
Consent Agreement waiving an evidentiary hearing
were subsequently submitted by the parties to the
Commission for consideration. The Stipulated
Findings are set forth as the Findings in this Order.
The Consent Agreement has been approved.
1497 (Zinn):
Re: Procedurally, the Investigative Division of the
State Ethics Commission conducted an investigation
regarding a possible violation of the Public Official
and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. §
1101 et seq., by the above-named Respondent. At
the commencement of its investigation, the
Investigative Division served upon Respondent
written notice of the specific allegation. Upon
completion of its investigation, the Investigative
Division issued and served upon Respondent a
Findings Report identified as an “Investigative
Complaint.” A Stipulation of Findings and a Consent
Agreement waiving an evidentiary hearing were
submitted by the parties to the Commission for
consideration. The Stipulated Findings are set forth
as the Findings in this Order. The Consent
Agreement has been approved.
1498 (Neff):
Re: Procedurally, the Investigative Division of the
State Ethics Commission conducted an investigation
regarding possible violation(s) of the Public Official
and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. §
1101 et seq., by the above-named Respondent. At
the commencement of its investigation, the
Investigative Division served upon Respondent
written notice of the specific allegation(s). Upon
completion of its investigation, the Investigative
Division issued and served upon Respondent a
Findings Report identified as an “Investigative
Complaint.” An Answer was not filed. A Stipulation of
Findings and a Consent Agreement waiving an
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evidentiary hearing were submitted by the parties to
the Commission for consideration. The Stipulated
Findings are set forth as the Findings in this Order.
The Consent Agreement has been approved.
1498-M (Neff):
Re: On February 17, 2009, the State Ethics
Commission received a request for modification of
Order No. 1498 issued on December 19, 2008.
1499 (Snyder):
Re: Procedurally, the Investigative Division of the
State Ethics Commission conducted an investigation
regarding a possible violation of the Public Official
and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. §
1101 et seq., by the above-named Respondent. At
the commencement of its investigation, the
Investigative Division served upon Respondent
written notice of the specific allegation. Upon
completion of its investigation, the Investigative
Division issued and served upon Respondent a
Findings Report identified as an “Investigative
Complaint.” An Answer was filed and a hearing was
requested. A Stipulation of Findings and a Consent
Agreement waiving an evidentiary hearing were
subsequently submitted by the parties to the
Commission for consideration. The Stipulated
Findings are set forth as the Findings in this Order.
The Consent Agreement has been approved.
1500 (Complainant A):
Re: The Investigative Division of the State Ethics
Commission conducted an investigation regarding a
possible wrongful use of act and breach of
confidentiality under the Public Official and Employee
Ethics Act, 65 Pa.C.S. § 1101 et seq., by the above-
named “Complainant.” Written notice of the specific
allegations was served at the commencement of the
investigation. Upon completion of the investigation, the
Investigative Division issued and served upon
Complainant a Findings Report identified as an
“Investigative Complaint,” which constituted the
Investigation Division’s Complaint against the
Complainant. An Answer was filed and a hearing was
requested. A Stipulation of Findings and a Consent
Agreement waiving an evidentiary hearing were
subsequently submitted by the parties to the
Commission for consideration. The Stipulated
Findings are set forth as the Findings in this Order.
The Consent Agreement has been approved.
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1501 (McCallister):
Re: Procedurally, the Investigative Division of the
State Ethics Commission conducted an investigation
regarding a possible violation of the Public Official
and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. §
1101 et seq., by the above-named Respondent. At
the commencement of its investigation, the
Investigative Division served upon Respondent
written notice of the specific allegations. Upon
completion of its investigation, the Investigative
Division issued and served upon Respondent a
Findings Report identified as an “Investigative
Complaint.” An Answer was filed and a hearing was
requested. A Stipulation of Findings and a Consent
Agreement waiving an evidentiary hearing were
subsequently submitted by the parties to the
Commission for consideration. The Stipulated
Findings are set forth as the Findings in this Order.
The Consent Agreement has been approved.
1502 (Miller):
Re: Procedurally, the Investigative Division of the
State Ethics Commission conducted an investigation
regarding a possible violation of the Public Official
and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. §
1101 et seq., by the above-named Respondent. At
the commencement of its investigation, the
Investigative Division served upon Respondent
written notice of the specific allegation(s). Upon
completion of its investigation, the Investigative
Division issued and served upon Respondent a
Findings Report identified as an “Investigative
Complaint.” An Answer was filed and a hearing was
requested. A Stipulation of Findings and a Consent
Agreement waiving an evidentiary hearing were
subsequently submitted by the parties to the
Commission for consideration. The Stipulated
Findings are set forth as the Findings in this Order.
The Consent Agreement has been approved.
ORDERS (SFI):
352-S (Cioppa):
Re: This is a final adjudication of the State Ethics
Commission as to the alleged delinquency and/or
deficiency of Statement(s) of Financial Interests
required to be filed pursuant to Sections 1104 and
1105 of the Public Official and Employee Ethics Act
("Ethics Act"), 65 Pa.C.S. §1101 et seq.
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Opinions (Lobbying):
09-1001 (Bochetto)
Re: Whether, pursuant to Pennsylvania’s lobbying
disclosure law (“Lobbying Disclosure Law”), 65
Pa.C.S. § 13A01 et seq., the prospective involvement
of the firm “Municipal Brokerage Assistance, Inc.” and
its sole shareholder, Dennis E. (Harvey) Thiemann, in
the pursuit of “derivatives opportunities,” including
“swaps” and other non-securities related derivative
instruments, as to Commonwealth agencies or
authorities would require registration/reporting under
the Lobbying Disclosure Law.
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