HomeMy WebLinkAbout86-556 ArnoMichael R. Arno, Executive Director
Philadelphia Redevelopment Authority
1234 Market Street
Philadelphia, PA 19107
STATE ETHICS COMMISSION
308 FINANCE BUILDING
P.O. BOX 11470
HARRISBURG, PA 17108 -1470
TELEPHONE (717) 783 -1610
May 15, 1986
ADVICE OF COUNSEL
Re: Redevelopment Authority Staff, Public Employees
Dear Mr. Arno:
86 -556
This responds to your letter of April 22, 1986, in which you requested
advice from the State Ethics Commission.
Issue: Whether various employees of the Philadelphia Redevelopment Authority
are puhlic employees within the purview of the State Ethics Act and,
therefore, required to file Statements of Financial Interests.
Facts: As Executive Director of the Philadelphia Redevelopment Authority, you
have requested the advice of the State Ethics Commission regarding whether
certain employees of that authority are required to file Statements of
Financial Interests within the purview of the State Ethics Act. In order to
review the question presented, we will briefly outline the duties and
responsibilities associated with each of the positions identified in your
request as set forth in the classification specifications that you have
provided. These duties and responsihilities are incorporated herein by
reference. The specific positions for which you have requested our advice,
and their respective duties, are as follows:
Title: Administrative Assistant I
Makes studies, conducts research and prepares analyses, evaluations and
recommendations to a superior regarding unit operations and possihle
procedural improvements; provides assistance in the preparation of budget
estimates; serves in a liaison capacity between the supervisor and staff;
conducts investigations of administrative problems and takes part in meetings
concerning them; relieves a superior of administrative details as assigned;
does preliminary work in the development of forms, reports, and administrative
procedures; processes and answers correspondence; deals with the public;
maintains records and prepares a variety of reports, may supervise clerical
staff.
Michael R. Arno, Executive Director
May 15, 1986
Page 2
Title: Administrative Assistant II
Work involves areas such as obtaining facts, conducting research, making
analysis, evaluations and recommendations, serving in a liaison capacity
betweeen the Executive Director, Assistant Executive Director and Deputy
Executive Directors and other officials, and representing him at meetings and
conferences; considerable discretion for the exercise of independent judgment
i s present i n the work. Conducts investigations of administrative problems
and takes part in meetings concerning them and keeps the Executive Director,
Assistant Executive Director and Deputy Executive Directors advised with
respect to specific problems. Prepares and answers correspondence for the
Executive Di rector, Assistant Executive Di rector, and Deputy Executive
Di rectors.
Title: Architectural Technician
Performs field and office technical assignments for the architectural and
engineering phases of design, prepares scale and full sized drawings. Reviews
plans submitted by architectural consultants for accuracy and makes necessary
computations. Reviews specifications and plans for conformance to department,
city, state and federal standards and regulations.
Title: Liaison Administrator
Serves in liaison capacity between the Authority and Philadelphia City
Counci 1 ; administers the steps i n the passage of requi red ordi nances; arranges
and attends public hearings, arranges and verifies advertising thereof, and
follows matters through final reading and approval by the Mayor; reviews and
reports on al 1 ordi nances having any beari ng upon Authority activities; serves
as secretary at executive sessions of the Authority Board and senior staff
meetings and prepares and distributes digest reports thereof to interested
staff members; serves as secretary at the open sessions of the Board in the
absence of the General Counsel; serves in liaison capacity with Zoning Board
of Adjustment, Liquor Board and the Utilities Technical Committee on
zoning and building matters of interest to the Authority.
Title: Paralegal I
Assists in the preparation of routine legal materials and documents;
assists Director, Legal Division, and staff attorneys in researching a variety
of points of law and in preparation of written briefs and memoranda of law,
etc.; routine filing in Federal and 1 ocal courts and administrative matters.
Michael R. Arno, Executive Director
May 15, 1986
Page 3
Title: Paralegal II
Prepares legal forms and correspondence; researches a variety of points
of law in preparation of written briefs and memoranda of law, etc.; attends
meetings where legal issues or interpretations of Authority rules and policy
might be at issue; refers matters of policy and special practice to the
Director, Legal Division; files court documents in Federal and local courts;
assists staff attorneys in preparation and trying of Authority cases; works in
processing matters through City departments and agencies; and carries out such
other duties as may be directed by the Director of Legal Division and /or
General Counsel.
Title: Real Estate Clerk
Prepares titles, affidavits, deeds and other related documents necessary
for completion of real estate settlements; attends to all the details required
in obtaining settlement certificates from the title companies; examines
certificates for accuracy and details of charges; prepares data necessary for
use at settlements; checks title searches for defects and brings discrepancies
to attention of Supervisors; prepares deeds, agreements of sale, settlement
notices and other documents; appears at settlements as directed; assists
supervisors in clearing the details of making settlement for properties
acquired by the Redevelopment Authority; makes reports and maintains records
of all activities; may supervise clerical assistant; may be required to type
documents.
Title: Urban Renewal Technician III
Prepares applications and other documents, basic plan for land and
property acquisition and studies and reports on alternate proposals, cost
estimates and anticipates expenditures in planning, final advance and loan and
grant stages of project development; reviews redevelopers plans for conformity
and reports periodically on progress of projects in executive stages;
supervises the development of land use and sub - division plans and specific
site plans for large or complex commercial or residential development;
develops work schedules, assigns tasks to subordinates; assembles finished
documents for review and submission to appropriate agencies; may di rect the
analysis of redevelopment area plans and their divisions into projects of
Authority program.
Title: Land Acquisition Program Speci al i st
Reviews list of properties to be presented to the Vacant Property Review
Committee (VPRC) as gift donations for placement into the City's land bank;
confers with representatives of various City and Redevelopment Authority
departments to gather information, physical, and social characteristics of the
Michael R. Arno, Executive Director
May 15, 1986
Page 4
properties and surrounding areas; presents such information to Project
Managers and Real Estate Department; responds to requests for additional
information and reports related to the above. Attends meetings of the VPRC.
Prepares and submits reports to the VPRC concerning the acquisition and
disposition of property under the Program. Notifies Real Estate Department
and Development Division of Committee approval of acceptance of property in
order to expedite settlement for the transfer of titles; advises Project
Managers and Real Estate Department of any other action by VPRC concerning
properties in Redevelopment Areas.
Coordinates activities involved in obtaining required approvals for the
transfer of properties under the Program; answers telephone inquiries from
interested persons regarding the transfer of properties under the Program;
Coordi nates preparation, review and recordi ng of deeds for properties
transferred to and through the Redevelopment Authority under the Program;
coordi nates notices of scheduling of settlements and attends settlements for
properties transferred by the Redevelopment Authority under the Program;
handles special problems and does related work, involving Sheriff Sale and
Land Donation methods of real estate acquisition.
Discussion: As set forth above, the question to be answered here is clear.
Specifically, are the individuals as identified above serving with the
authority to be considered "public employees." The State Ethics Act defines
that term as follows:
Section 2. Definitions.
"Public employee." Any individual employed by the
Commonwealth or a political subdivision who is responsible
for taking or recommending official action of a
nonministerial nature with regard to:
(1) contracting or procurement;
(2) administering or monitoring grants or
subs idi es;
(3) planning or zoning;
(4) inspecting, licensing, regulating or auditing
any person; or
(5) any other activity where the official action
has an economic impact of greater than a de
minimus nature on the interests of any person.
"Public employee" shall not include individuals who are
employed by the State or any political subdivision thereof
i n teaching as di stingui shed from admi nistrative duties.
65 P.S. 402.
Michael R. Arno, Executive Director
May 15, 1986
Page 5
The regulations of the State Ethics Commission similarly define the term
public employee as above and also set forth that the term includes any
i ndi vi dual :
(B) who meets the criteria of either subclause
(I) or (II):
(I) The individual is:
( -a -) a person who normally
performs his responsibility in the field
without on -site supervision;
( -b -) the immediate supervisor of a
person who normally performs his
responsibility in the field without
on -site supervision; or
( -c -) the supervisor of any highest
level field office.
(II) The individual is a person:
( -a -) who:
( -1 -) has the authority to
make final decisions;
( -2 -) has the authority to
forward or stop recommendations
from being sent to the person or
body with the authority to make
final decisions;
( -3 -) prepares or
supervises the preparation of
final recommendations; or
( -4 -) makes the final
technical recommendations; and
( -b -) whose recommendations or
actions:
( -1 -) are an inherent and
recurring part of his position;
and
Michael R. Arno, Executive Director
May 15, 1986
Page 6
( -2 -) affect organizations
other than his own organization.
(ii) The term does not include individuals
who are employed by the Commonwealth or a political
subdivision of the Commonwealth in teaching as
distinguished from administrative duties.
(iii) Persons in the positions listed below are
generally considered public employees.
(A) Executive and special directors or
assistants reporting directly to the agency head or
governing body.
(B) Commonwealth bureau directors, division
chiefs, or heads of equivalent organization
elements and other governmental body department
heads.
(C) Staff attorneys engaged in representing
the department, agency, or other governmental
bodies before the public.
(D) Solicitors, engineers, managers, and
secretary- treasurers acting as managers, police
chiefs, chief clerks, chief purchasing agents,
grant and contract managers, housing and building
inspectors, sewer enforcement officers, and zoning
officers in all governmental bodies.
(E) Court administrators, assistants for
fiscal affairs, and deputies for the minor
judi ci ary.
(F) School business managers and principals.
(iv) Persons in the positions listed below are
generally not considered public employes.
(A) City clerks, other clerical staff, road
masters, secretaries, police officers, welfare case
workers, maintenance workers, construction workers,
detectives, equipment operators, and recreation
di rectors.
Michael R. Arno, Executive Director
May 15, 1986
Page 7
(8) Law clerks, court criers, court reporters,
probation officers, security guards, and writ
servers.
(C) School teachers and clerks of the schools.
51 Pa. Code 1.1.
We must review the question you present under these provisions of the
statute and the regulations of the Commission in light of the duties and
obligations as described in your letter of request regarding the specific
individuals as previously set forth, the classification specifications, and
the job description under which these individual 's operate. Our inquiry
necessarily focuses on the job itself and not on the individual incumbent in
the position, the variable functions of the position, or the manner in which a
particular individual occupying a position may carry out those functions. See
McClure, 83 -001; Phillips, 82 -008, affirmed on appeal, 79 Pa. Cmwlth. 491, 470
A.2d 659 (1984); and Mummau v. Ranck, 531 Fed. Supp. 402 (E.D. Pa. 1982).
Also, in reviewing your question, the Commonwealth Court in its ruling in
Phillips, supra, at page 661, directs us to construe coverage of the Ethics
Act broadly, rather than narrowly, and conversely, directs that exclusions
from the Ethics Act should be narrowly construed. Based upon this directive
and reviewing the definition of "public employee" in the statute and the
regulations and opinions of this Commission, in light of the job functions and
duties regarding these individuals, the information available to us, we are
led to the conclusion that while several of these individuals serve in their
capacity as set forth above, they are to be be considered "public employees"
subject to the fi nanci al reporting and di sclosure requirements of the State
Ethics Act. Further detail on our analysis follows.
Specifically, we have determined that the Administrative Assistant I and
Administrative Assistant II positions would not be required to file Statements
of Financial Interests within the purview of the State Ethics Act, in that
they do not appear to participate in any of the five categories as outlinded
in the State Ethics Act or otherwise perform any of the duties or functions as
set forth in the regulations of the Commission. See, Will, 84 -622. The
individual who serves as the Architectural Technician would be required to
file a Statement of Financial Interests, in that, the duites performed
regardi ng architectural and engi neeri ng phases of design, appear to clearly
fall within the parameters of the State Ethics Act regarding planning, zoning
and inspecting as set forth in the definition of public employee.
Additionally, this individual appears to have the authority to recommend the
acceptance of plans submitted by architectural consultants and to require
changes in such plans so that they conform to requirements of law. This, of
course, would meet the criteria set forth in the Ethics Commission regulations
as previously set forth. See also, Camp, 81 -006. The individual who holds
Michael R. Arno, Executive Di rector
May 15, 1986
Page 8
the position of Liaison Administrator similarly would be required to file a
Statement of Financial Interests. This individual generally serves i n a
position of liaison between the Authority and the Legislative Branch of
Philadelphia, i.e. the city council, and this Commission has traditionally
determined that such legislative liaison positions are public employees within
the purview of the State Ethics Act. See, Gordon, 84 -577. A review of the
positions and the funcitions for the individuals serving as Paralegal 1 and
Paralegal II would appear to indicate that these individuals are exempt from
filing requirements. This is so, i n light of the fact, that these individuals
do not appear to perform any of the functions as outlined in the statutory
definition of public employee. With relation to the position of Real Estate
Clerk, this Commission has previously determined that individuals who serve in
positions similar to the one outlined in your letter of request, would be
required to file Statements of Financial Interests. See, Smith, 85 -015,
84 -607. Additionally, both the positions of Urban Renewal Technician III and
Real Estate Acquisition Program Specialist would also appear to be clearly
within the purview of the definition of public official as set forth in the
State Ethics Act and in the regulations of the State Ethics Act. With
relation to the Urban Renewal Technician position, that individual is
generally responsible for supervising the development of land use and
sub - division plans and specific site plans for larger complex commercial
residential developments. This position clearly seems to be the type of
position that was contemplated within the purview of the definition of public
employee. Similarly, the individual who holds the position of Land
Acquisition Program Specialist would also appear to be participating in
activity where the official action has an economic empact of greater than a de
minimus nature on the interest of individuals. As such, this individual would
also be requi red to file the Statement of Financial Interests.
Conclusion: Based upon the above discussion and the information provided in
your letter of request, the following individuals are to be considered public
employees within the purview of the State Ethics Act and, therefore, required
to file Statements of Financial Interests.
1. Architectural Technician
2. Liaison Administrator
3. Real Estate Clerk
4. Urban Renewal Techician, III
5. Land Acquisition Program Specialist
The following individuals are not to be considered public employees
within the filing requirements of the Act and, therefore, no Statement of
Financial Interests need be filed by the followi ng individuals:
1. Administrative Assistant I
2. Administrative Assistant II
3. Paralegal I
4. Paralegal I I
Michael R. Arno, Executive Director
May 15, 1986
Page 9
If they have not already done so, Statements of Finanical Interests must
be filed within 15 days of this Advice. The Statements of Financial Interests
would report information of the prior calendar year. Please have the original
of such a Statement filed with this Commission to insure compliance with this
Advice, provide the yellow copy to your Personnel Office and the employees
should retain the green copy for their records.
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 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.
ely,
oh n J. !.nt no
Gener- Counsel