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Home My WebLink About11-569 Swade ADVICE OF COUNSEL December 21, 2011 Susanna Swade, Member Board of Trustees, Monessen Public Library 1310 Graham Avenue Monessen, PA 15062 11-569 Dear Ms. Swade: This responds to your letter dated November 15, 2011 (postmarked November 17, 2011, and received November 21, 2011), by which you requested an advisory from the Pennsylvania State Ethics Commission. Issue: 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 board of trustees of a city public library, whose nephew is the acting director of the city public library, with regard to voting on any matter(s) before the board of trustees. Facts: You request an advisory from the Pennsylvania State Ethics Commission based upon submitted facts, the material portion of which may be fairly summarized as follows. You are a voting Member of the Board of Trustees (“Board”) of the Monessen Public Library (“Library”). Members of the Library Board are appointed by the Mayor and City Council of the City of Monessen. You were appointed to the Library Board in January 2009, at which time your nephew, David Zilka (“Mr. Zilka”), was a Reference Librarian with the staff of the Library. Mr. Zilka is currently the Acting Director of the Library, having been appointed to such position by the Library Board in October 2010. Based upon the above submitted facts, you seek guidance as to whether the Ethics Act would impose any prohibitions or restrictions upon you with regard to voting on any matter(s) before the Library Board. Discussion: It is initially noted that pursuant to Sections 1107(10) and 1107(11) of the Ethics Act, 65 Pa.C.S. §§ 1107(10), (11), advisories are issued to the requester based upon the facts that the requester has submitted. In issuing the advisory based upon the facts that the requester has submitted, the Commission does not engage in an independent investigation of the facts, nor does it speculate as to facts that have not been submitted. It is the burden of the requester to truthfully disclose all of the material Swade, 11-569 December 21, 2011 Page 2 facts relevant to the inquiry. 65 Pa.C.S. §§ 1107(10), (11). An advisory only affords a defense to the extent the requester has truthfully disclosed all of the material facts. As a Member of the Library Board, you are a public official as that term is defined by the Ethics Act, and therefore you are subject to the provisions of the Ethics Act. Sections 1103(a) and 1103(j) of the Ethics Act provide: § 1103. Restricted activities (a)Conflict of interest.-- No public official or public employee shall engage in conduct that constitutes a conflict of interest. (j)Voting conflict.-- Where voting conflicts are not otherwise addressed by the Constitution of Pennsylvania or by any law, rule, regulation, order or ordinance, the following procedure shall be employed. Any public official or public employee who in the discharge of his official duties would be required to vote on a matter that would result in a conflict of interest shall abstain from voting and, prior to the vote being taken, publicly announce and disclose the nature of his interest as a public record in a written memorandum filed with the person responsible for recording the minutes of the meeting at which the vote is taken, provided that whenever a governing body would be unable to take any action on a matter before it because the number of members of the body required to abstain from voting under the provisions of this section makes the majority or other legally required vote of approval unattainable, then such members shall be permitted to vote if disclosures are made as otherwise provided herein. In the case of a three-member governing body of a political subdivision, where one member has abstained from voting as a result of a conflict of interest and the remaining two members of the governing body have cast opposing votes, the member who has abstained shall be permitted to vote to break the tie vote if disclosure is made as otherwise provided herein. 65 Pa.C.S. §§ 1103(a), (j). The following terms related to Section 1103(a) are defined in the Ethics Act as follows: § 1102. Definitions "Conflict" or "conflict of interest." Use by a public official or public employee of the authority of his office or employment or any confidential information received through his holding public office or employment for the private pecuniary benefit of himself, a member of his immediate family or a business with which he or a member of his immediate family is associated. The term does not include an action having a de minimis economic impact or which affects to the same degree a class consisting of the general public or a subclass consisting of an industry, occupation or other group which includes the public official or public employee, a member of his immediate family or a business Swade, 11-569 December 21, 2011 Page 3 with which he or a member of his immediate family is associated. "Authority of office or employment." The actual power provided by law, the exercise of which is necessary to the performance of duties and responsibilities unique to a particular public office or position of public employment. "Immediate family." A parent, spouse, child, brother or sister. 65 Pa.C.S. § 1102. Pursuant to Section 1103(a) of the Ethics Act, a public official/public employee is prohibited from using the authority of public office/employment or confidential information received by holding such a public position for the private pecuniary benefit of the public official/public employee himself, any member of his immediate family, or a business with which he or a member of his immediate family is associated. The use of authority of office is not limited merely to voting, but extends to any use of authority of office including, but not limited to, discussing, conferring with others, and lobbying for a particular result. Juliante, Order 809. In each instance of a conflict of interest, a public official/public employee would be required to abstain from participation, which would include voting unless one of the statutory exceptions of Section 1103(j) of the Ethics Act would be applicable. Additionally, the disclosure requirements of Section 1103(j) of the Ethics Act would have to be satisfied in the event of a voting conflict. In applying the above provisions of the Ethics Act to the instant matter, you are advised as follows. Subject to the statutory exceptions to the definition of “conflict” or “conflict of interest,” pursuant to Section 1103(a) of the Ethics Act, you would have a conflict of interest in matters before the Library Board that would financially impact you, a member of your immediate family, or a business with which you or a member of your immediate family is associated. Your nephew is not a member of your “immediate family” as that term is defined by the Ethics Act. Cf., Pulice v. State Ethics Commission, 713 A.2d 161 (Pa. Cmwlth. 1998), allocatur denied, 557 Pa. 642, 732 A.2d 1211 (1998) (Holding that a relative not encompassed by the family relationships listed in the Ethics Act’s definition of the term “immediate family”—in that case, an in-law—would not be considered a member of immediate family); Salem, Advice 93-548. Since your nephew is not a member of your immediate family, you would not have a conflict of interest under Section 1103(a) of the Ethics Act in matters before the Library Board that would financially impact your nephew but that would not financially impact you, a member of your immediate family, or a business with which you or a member of your immediate family is associated. Therefore, absent some basis for a conflict of interest such as a private pecuniary benefit to you, a member of your immediate family, or a business with which you or a member of your immediate family is associated, Section 1103(a) of the Ethics Act would not prohibit you from voting on matter(s) before the Library Board. The propriety of the proposed conduct has only been addressed under the Ethics Act. Specifically not addressed herein is the applicability of the bylaws, policies, or procedures of the Library. Swade, 11-569 December 21, 2011 Page 4 Conclusion: As a Member of the Board of Trustees (“Board”) of the Monessen Public Library (“Library”), you are a public official subject to the provisions of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq. Subject to the statutory exceptions to the definition of “conflict” or “conflict of interest,” pursuant to Section 1103(a) of the Ethics Act, you would have a conflict of interest in matters before the Library Board that would financially impact you, a member of your immediate family, or a business with which you or a member of your immediate family is associated. Your nephew, David Zilka, who is currently the Acting Director of the Library, is not a member of your “immediate family” as that term is defined by the Ethics Act. Since your nephew is not a member of your immediate family, you would not have a conflict of interest under Section 1103(a) of the Ethics Act in matters before the Library Board that would financially impact your nephew but that would not financially impact you, a member of your immediate family, or a business with which you or a member of your immediate family is associated. Therefore, absent some basis for a conflict of interest such as a private pecuniary benefit to you, a member of your immediate family, or a business with which you or a member of your immediate family is associated, Section 1103(a) of the Ethics Act would not prohibit you from voting on matter(s) before the Library Board. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act. Pursuant to Section 1107(11) of the Ethics Act, an 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, provided the requester 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 . Finally, if you disagree with this Advice or if you have any reason to challenge same, you may appeal the Advice to the full Commission. A personal appearance before the Commission will be scheduled and a formal Opinion will be issued by the Commission. Any such appeal must be in writing and must be actually received at the Commission within thirty (30) days of the date of this Advice pursuant to 51 Pa. Code § 13.2(h). The appeal may be received at the Commission by hand delivery, United States mail, delivery service, or by FAX transmission (717-787-0806). Failure to file such an appeal at the Commission within thirty (30) days may result in the dismissal of the appeal. Sincerely, Robin M. Hittie Chief Counsel