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HomeMy WebLinkAbout81-531 SonntagSTATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 March 31, 1981 ADVICE OF COUNSEL 81 -531 Robert F. Sonntag Bureau of Water Quality Management Department of Environmental Resources 736 West Fourth Street Williamsport, PA 17701 RE: Statement of Financial Interests, Water Quality Specialist Dear Mr. Sonntag: This responds to your letter of October 24, 1980, in which you, a Water Quality Specialist, requested an opinion from the Ethics Commission. Issue: In your letter you request advice as to whether the Ethics Act requires a Water Quality Specialist to file a State- ment of Financial Interests. Facts: You advised us that you are a Water Quality specialist employed by the Pennsylvania Department of Environmental Resources. The Department job description states that a Water Quality Specialist conducts inspections and investigations, enforcement and surveys to insure compliance with the Common- wealth's Water Quality Management Program. For example, a specialist inspects industries, sewage treatment plants and mineral mines and mineral preparation industries. The specia- list determines whether water quality regulations have been violated and may prosecute violators before a District Magistrate. Discussion: The Ethics Act, 65 P.S. §401 et seq., defines public employee as "Any individual employed by the Common- wealth... who is responsible for taking or recommending official action of a non - ministerial nature wita regard to inspecting, licensing or regulating any person." 65 P.S. §402. Pubic employees are required to file statements of financial interest under Section 4 of the Act. A Water Quality Specialist employed by the Department of Environmental Resources is certainly employed by the Common- wealth. A Specialist is also responsible for taking or recommending official action of a non - ministerial nature. The job description of a Specialist plainly indicates that the March 26 Page 2 Section 3(b) of the Act, 65 P.S. §403(b), provides in pertinent part that: "No person shall offer or give to a public official or public employee... or a business with which he is associated... and no public employee... shall solicit or accept, anything of value, including a gift, loan, political contribution, reward, or promise of future employment based on any understanding that the vote, official action, or judgment of the public official or public employee... would be influenced thereby." Id To avoid the appearance of a conflict of interest under this section of the statute, Mr. Connelly should not advise the Committee as to matters where one of his partners or associates acts as a lobbyist. Conclusion: The Act does not prohibit the partners and associates of a lawyer serving as counsel to a House Committee from acting as lobbyists. However, to avoid the appearance of a conflict of interest the counsel to the House Committee should not advise that committee on matters on which the counsel's partners and associates have acted as lobbyists. Pursuant to Section 7(9)(ii), this 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, providing the requestor 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 request that the full Commission review this Advice. A personal appearance before the Commission may be scheduled and a formal Opinion from the Commission will be issued. You should make such a request or indicate your disapproval of this Advice within the next 30 days. SW /rdp Sincerely, Xj andra S. Chr "stianson General Counsel Robert F. Sonntag March 31, 1991 Page 2 actions of a Specialist are the result of the exercise of his own judgment as to the desirability of the action being taken. The job description shows that inspecting various facilities forms a large part of a Specialist's duties. Accordingly, a Water Quality Specialist is a public employee within the meaning of the Ethics Act because a Specialist is responsible for taking or recommending official action of a non - ministerial nature with regard to inspecting and regulating various persons. The regulations of the Ethics Commission state that police officers are not considered public employees as a general rule. This general principal makes it necessary to consider whether the fact that a Specialist has some enforcement duties removes a Specialist from the definition of public employee contained in Section 2 of the Act. The Commission has held persons charged with enforcing the Liquor Code are not police officers merely because they enforce a law. Peffley, 80 -055. Similarly, a Water Quality Specialist does not become a police officer simply because the Specialist enforces water pollution control laws. The specialist is not a police officer as that term is generally understood and thus is not exempt from filing a statement of financial interests. In your letter you expressed some concern that requiring you to file a Financial Interest Statement may result in other committees or agencies acquiring information as to your financial holdings. This may occur since your statement will become a public record. This possibility cannot, however, alter the conclusion that you are a "public employee" required to file this statement under the Ethics Act. Conclusion: A Water Quality Specialist performing inspection and enforcement duties under the water pollution control statues are public employees within the meaning of the Ethics Act. The Specialist is employed by the Commonwealth and is responsible for taking or recommending official action of a non - ministerial nature with regard to inspectin and regulating various persons. Therefore, the Specialist must file a Statement of Financial Interests with the 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. 65 P.S. §404. If you have not filed such a statement for 1979 or 1980 do so within 30 days of this Advice. Pursuant to Section 7(9)(ii), this 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, providing the requestor 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. Robert F. Sonntag March 31, 1991 Page 3 Finally, if you disagree with this Advice or if you have any reason to challenge same, you may request that the full Commission review this Advice. A personal appearance before the Commission may be scheduled and a formal Opinion from the Commission will be issued. You should make such a request or indicate your disapproval of this Advice within the next 30 days. SW /rdp Sincerely, Sandra S. Ch istianson General Counsel