HomeMy WebLinkAbout86-550 BestMr. Robert N. Rest
11 Longview Drive
Mechanicsburg, PA 17055
Dear Mr. Rest:
STATE ETHICS COMMISSION
308 FINANCE BUILDING
P.O. BOX 11470
HARRISBURG, PA 17108 -1470
TELEPHONE (717) 783 -1610
May 6, 19R6
ADVICE OF COUNSEL
86-550
Re: Public Employee /Official, Records Superviso, Department of Corrections,
This responds to your letter of April 7, 1986, in which you requested
advice from the State Ethics Commission.
Issue: You ask whether, because of your service as Records Supervisor, with
the Pennsylvania Department of Corrections, you are to he considered a "puhlic
employee" under the State Ethics Act and, therefore, must comply with the
financial reporting and disclosure provisions of the State Ethics Act.
Facts: You serve as Records Supervisor with the Pennsylvania Department of
Corrections, hereinafter, the Department. As such, you are or were primarily
responsihle for maintaining the active and inactive files of all inmate
records in the Records Section of the Finance Planning and Research Division
of the Department. You are also responsihle for maintaining the computerized
inmate master file on all inmates committed to the Bureau of Corrections. As
part of your position you are responsihle for reviewing all sentence status
change reports to determine what changes have to he made to update the inmate
master file. Status changes involve any change to the current sentence the
inmate is serving such as effective date, minimum sentence, maximum sentence,
etc. A thorough knowledge of procedures outlined in the Records Office manual
relating to sentence structure is required to make these changes. All changes
to the inmate master file must he entered on the computer system. You are
further responsihle for consulting with the resident record offices in the
correctional facilities to resolve problems concerning inmate records and
input into the inmate master file system. You also participate in the
development of the Bureau of Corrections policies and record management
functinns for all bureau staff. You interpret policies and procedures not
clearly understood by hureau staff in both the field units and central
office.
You question the requirement that you comply with the financial reporting
and disclosure provisions of the State Ethics Act. You do not believe your
duties and responsibilities are such that you fall within the definition of
"puhlic employee" or " puhlic official" in the Ethics Act. Accordingly, we
have been asked to review the question of whether you are subject to the
financial reporting and disclosure requirements of the State Ethics Act.
Mr. Robert N. Best
May 6, 1986
Page 2
We note that, for the sake of this response, we are relying primarily on
your job description and classification specifications which have been
provided to us.
Discussion: The primary question to be answered is whether or not you are to
be considered a "public employee" as that term is defined in the State Ethics
Act. The Act provides as follows:
Section 2. Definitions.
"Public employee." Any individual employed by the
Cor,3rrronwealth or a political subdivision who is responsible
for taking or recommends ng official action of a
nonrni ni steri al nature with regard to:
(1) contracting or procurement;
(2) administering or monitoring grants or
subsidies;
(3) planning or zoning;
(4) inspecting, licensing, regulating or auditing
3 n person; or
(5) any other activity where the official action
has an economic impact of greater than a de
mi nimus nature on the interests of any person.
"Public employee" shall not include individuals who are
employed by the State or any political subdivision thereof
in teachi ng as di sti ngui shed from admi nistrative duties.
65 P >S, 0 ,02.
The other question is whether you should be considered a "public
official." That term is defined in the Ethics Act as follows:
Section 2. Definitions.
"Public official." Any elected or appointed official in
th <) Executive, Legislative or Judicial Branch of the State
r,' any political subdivision thereof, provided that it
shall not include members of advisory boards that have no
authority to expend public funds other than reimbursement
for personal expense, or to other-li se exercise the power
of the State or any political subd :vision thereof.
"Public official" shall not include any appointed official
who receives no compensation other than reimbursement for
actual expenses. 65 P.S. 402.
Mr. Robert N. Best
May 6, 1986
Page 3
Based upon the definition of "public employee" and in light of your job
description and the classification specifications fo• your position, as well
as the language in your request for advice, and the explanation of your job as
set forth therein, we conclude that you are no, to be considered a "public
employee" as that term is defined in the State Ethics Act. This conclusion is
based upon our objective review of this information from tA;hich it appears that
you have not been responsible for taking or recommending official action of a
non - ministerial nature with regard to any of the five categories set forth in
the definition listed above for the term "public employee ".
Thus, because you do not fall within the classification of the term
"public employee ", you would not be subject to the financial reporting and
disclosure requirements of the State Ethics Act. Accordingly, you would not
be required to execute the Statement of Financial Interests for the years i n
which you served in your position as an Records Supervisor with the
Department.
Reviewing your position and the items referred to above, we also conclude
that you are not to be considered a "public official" as set forth above.
Conclusion: In your position as Records Supervisor with the Pennsylvania
Department of Corrections, you were not to be considered a public employee as
defined in the State Ethics Act. Accordingly, you would not be subject to the
reporting and disclosure requirements of the State Ethics Act and you need not
execute a Statement of Financial Interests.
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 i f you have any reason to
challenge same, you may request that the full Commission review this Advice. A
personal appearance before the Commission will be scheduled and a formal
Opinion from the Commission will be issued. Any such appeal must be made, in
writing, to the Commission within 15 days of service of this Advice pursuant
to 51 Pa. Code 2.12.
Si
John J on no
Ge • al Counsel