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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