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HomeMy WebLinkAbout87-583 CampbellMs. Cynthia A. Campbell P.O. Box 412 217 N. 2nd Street Halifax, PA 17032 STATE ETHICS COMMISSION- 308 FINANCE BUILDING HARRISBURG, PA 17120 TELEPHONE: (717) 783 -1610 June 3, 1987 ADVICE OF COUNSEL 87 -583 Re: Claim Settlement Agent, Public Employee Dear Ms. Campbell: This responds to your financial disclosure appeal of May 18, 1987, which has been processed as a request for advice. Issue: Whether a Claim Settlement Agent I is a public employee within the purview of the State Ethics Act, and therefore, required to file a Statement of Financial Interests. Facts: You are currently employed by the Pennsylvania Department of Public Welfare, Bureau of I;ivestigation, Prosecution and Recovery as a Claim Settlement Agent I. On May 18, 1987 you filed a financial disclosure appeal wherein you asserted that you should not be required to file a Statement of Financial Interests as required by the State Ethics Act, in that your responsibilities did not meet the requirements of the term public employee as defined in the Act. In light of the fact that the Commission has dealt with this issue on several prior occasions, this appeal is being treated as a request for advice. The Commission has reviewed both your current job description and the job classification, specification (0741) for the position that you hold. Both are incorporated herein by reference. The job classification /specification for a Claim Settlement Agent I provides as follows: The Claim Settlement Agent, hereinafter the Agent, has the responsibility for the collection, review and analysis of information to locate, encumber and obtain financial resources relative to the settlement of claims against public assistance clients. The Agent has the responsibility for the compilation of the information Ms. Cynthia A. Campbell June 3, 1987 Page 2 which is used in legal proceedings as well as for administrative settlements. Discretion and judgment is exercised by the Agent in conducting investigations and making recommendations and preliminary decisions, which work is reviewed by a higher level claim settlement agent. From your job description, you as an agent are responsible for disseminating and monitoring field assignments relative to the reimbursement, restitution and child support programs. Specifically, you are required to review and analyze all field tasks for completeness and accuracy prior to the assignment to staff. The MAPPER system is monitored by you to ensure that there is an equal distribution of field assignments to staff, and that none of the field assignments became overdue. You also make certain that the information on the MAPPER tracking system is current and accurate, and prepare various statistical, prosecution and collection reports. The information prepared by you can be assimilated into a format which is useful in evaluating the progress to various program goals and objectives. You also render assistance to the supervisor of the field services unit and perform other miscellaneous specified duties. Discussion: The State Ethics Commission has reviewed this exact issue presented on several occassions. See Silver, 85 -012; Phillips, 82 -008. The Commonwealth Court of Pennsylvania has also upheld the position of the Commission regarding this issue and has specifically ruled on the issue you now present. See Phillips v. State Ethics Commission, 79 Pa. Cmwlth. 491, 470 A.2d 659, (1984). You claim that you are not a public employee because you do not perform any duties in the field and are not responsible for anyone who does. Further, you state that you have no decision making authority, nor do you have the ability to make final recommendations. Arguments similar to those that you have made, were presented, considered and rejected by the Commonwealth Court in Phillips, supra. The Ethics Act provides that: 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 subsidies; (3) planning or zoning; Ms. Cynthia A. Campbell June 3, 1987 Page 3 (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 in teaching as distinguished from administrative duties. 65 P.S. 402. Fran the analysis of your job description and classification, it is clear that you maintain a significant position regarding obtaining information relative to legal proceedings and administrative settlements of cases. Your position does require discretion and the exercise of judgment relative to investigations and the making of recommendations and preliminary decisions. As such, in light of the foregoing, you must be considered a public employee within the purview of the Ethics Act. As previously noted, this precise issue has been specifically addressed by Commonwealth Court in Phillips, supra. The Court did in fact find that a claim settlement agent for the Department of Public Welfare was a public employee and as such, is required to file the statement of financial interests. You do not contest your job functions as set forth in the job description and classification. As such, there is no reason to deviate from this Commission's and the Court's prior pronouncements. Conclusion: For the reason set forth above, you are considered a "public employee" within the purview of the State Ethics Act and you must therefore, file a Statement of Financial Interests. This statement must be filed within thirty days of this advice. Please file the white copy with this Commission in order to ensure compliance with this advice. File the yellow copy with your agency. 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. Ms. Cynthia A. Campbell June 3, 1987 Page 4 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. Sincerely, Otlju Vincent J. Dopko General Counsel