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HomeMy WebLinkAbout93-509 ThomasDear Mr. Thomas: STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 1 1470 HARRISBURG. PA 17108 -1470 TELEPHONE (717) 783 -1610 ADVICE OF COUNSEL January 25, 1993 Mr. Jeffrey A. Thomas 93 -509 Box 15303 Harrisburg, PA 17105 Re: Former Public Employee; Section 3(g); Personnel Analyst 3, Division of Labor Relations, Department of Public Welfare. This responds to your letter of December 14, 1992, in which you requested advice from the State Ethics Commission. Issue: Whether the Public Official and Employee Ethics Law presents any restrictions upon employment of a Personnel Analyst 3 following termination of service with the Department of Public Welfare, Division of Labor Relations. Facts: As a Personnel Analyst 3 with the Department of Public Welfare (DPW), Division of Labor Relations, you are requesting an advisory from the State Ethics Commission regarding the impact, if any, that the Ethics Law would have upon your planned employment with the law firm of Bray, Berry, Martin and Reardon. You state that neither in your current position nor in any past positions with the Commonwealth were you required to complete the disclosure forms required by the Ethics Law. Effective February 1, 1993, you plan to become an Industrial Relations Specialist for the law firm of Bray, Berry, Martin and Reardon located in Philadelphia, Pennsylvania. You state that presently Bray, Berry, Martin and Reardon serve as Governor Casey's outside labor counsel. As such, the firm has various responsibilities and functions in the overall administration of the Commonwealth's labor relations program. One of the functions of the firm is to be the Commonwealth's chairperson for the Accelerated Grievance Procedure (AGP), a new grievance procedure currently contained in the American Federation of State County and Municipal Employees (AFSCME) collective bargaining agreements. In your prospective position with Bray, Berry, Martin and Reardon, you will serve as the Commonwealth's chairperson. You state that this responsibility prompts your request for an advisory. Mr. Jeffrey A. Thomas January 25, 1993 Page 2 The AGP was developed to expeditiously resolve grievances filed by AFSCME against the Commonwealth. The AGP empowers a panel, which is made up of equal numbers of AFSCME members and Commonwealth appointed members, to hear and decide grievances. Each party has a chairperson who serves as the chief administrative official for that party. However, in terms of decision- making authority, each chairperson has only one vote, the same as each of the remaining panel members. Further, the chairpersons rotate monthly as the panel's chief administrative official. In this function, they oversee the orderly function of the panel. You state your belief that you are not currently covered by the disclosure provisions of the Ethics Law, and you note that your new position will not require you to do more than serve as a panel member, who has the additional responsibility of overseeing the orderly function of the panel, in part or in total. You therefore further state that you do not believe there is any conflict. However, you still believe it to be in the best interest of all concerned to seek an advisory from this Commission. Discussion: As a Personnel Analyst 3 for the Department of Public Welfare (DPW), Division of Labor Relations, you are to be considered a "public employee" within the definition of that term as set forth in the Public Official and Employee Ethics Law and the Regulations of this Commission. 65 P.S. §402; 51 Pa. Code §1.1. This conclusion is based upon the job description, which when reviewed on an objective basis, indicates clearly that the power exists to take or recommend official action of a non - ministerial nature with respect to contracting, procurement, planning, inspecting, administering or monitoring grants, leasing, regulating, auditing or other activities where the economic impact is greater than de minimis on the interests of another person. Public employees are required to file Statements of Financial Interests each year the position is held and the year following termination. 65 P.S. §404(a). Furthermore, upon termination of public service, you would become a "former public employee" subject to Section 3(g) of the Public Official and Employee Ethics Law. Section 3(g) of the Ethics Law provides that: Section 3. Restricted activities. (g) No former public official or public employee shall represent a person, with promised or actual compensation, on any matter before the governmental body with which he has been associated for one year after he leaves that body. Mr. Jeffrey A. Thomas January 25, 1993 Page 3 Initially, to answer your request the governmental body with which you are associated while working with DPW must be identified. Then, the scope of the prohibitions associated with the concept and term of "representation" must be reviewed. The term "governmental body with which a public official or public employee is or has been associated" is defined under the Ethics Law as follows: Section 2. Definitions. "Governmental body with which a public official or public employee is or has been associated." The governmental body within State government or a political subdivision by which the public official or employee is or has been employed or to which the public official or employee is or has been appointed or elected and subdivisions and offices within that governmental body. In applying the above definition to the instant matter, we must conclude that the governmental body with which you have been associated upon termination of public service would be DPW in its entirety, including but not limited to the Division of Labor Relations. The above is based upon the language of the Ethics Law, the legislative intent (Legislative Journal of House, 1989 Session, No. 15 at 290, 291) and the prior precedent of this Commission. Thus, in Sirolli, Opinion 90 -006, the Commission found that a former Division Director of the Department of Public Welfare (DPW) was not merely restricted to the particular Division as was contended but was in fact restricted to all of DPW regarding the one year representation restriction. Similarly in Sharp, Opinion 90- 009 -R, it was determined that a former legislative assistant to a state senator was not merely restricted to that particular senator but to the entire Senate as his former governmental body. Therefore, within the first year after termination of service with DPW, Section 3(g) of the Ethics Law would apply and restrict representation of persons or new employers vis -a -vis DPW. It is noted that Act 9 of 1989 significantly broadened the definition of the term "governmental body with which a public official or public employee is or has been associated." It was the specific intent of the General Assembly to define the above term so that it was not merely limited to the area where a public official/ employee had influence or control but extended to the entire governmental body with which the public official /employee was associated. The foregoing intent is reflected in the legislative debate relative to the amendatory language for the above term: Mr. Jeffrey A. Thomas January 25, 1993 Page 4 We sought to make particularly clear that when we are prohibiting for 1 year that revolving -door kind of conduct, we are dealing not only with a particular subdivision of an agency or a local government but the entire unit..." Legislative Journal of House, 1989 Session, No. 15 at 290, 291. Therefore, since the Ethics Law must be construed to ascertain and effectuate the intent of the General Assembly under 1 Pa. C.S.A. 51901, it is clear that the governmental body with which you have been associated is DPW in its entirety. Turning now to the scope of the restrictions under Section 3(g), the Ethics Law does not affect one's ability to appear before agencies or entities other than with respect to the former governmental body. Likewise, there is no general limitation on the type of employment in which a person may engage, following departure from their governmental body. It is noted, however, that the conflicts of interest law is primarily concerned with financial conflicts and violations of the public trust. The intent of the law generally is that during the term of a person's public employment he must act consistently with the public trust and upon departure from the public sector, that individual should not be allowed to utilize his association with the public sector, officials or employees to secure for himself or a new employer, treatment or benefits that may be obtainable only because of his association with his former governmental body. In respect to the one year restriction against such "representation," the Ethics Law defines "Represent" as follows: Section 2. Definitions. "Represent." To act on behalf of any other person in any activity which includes, but is not limited to, the following: personal appearances, negotiations, lobbying and submitting bid or contract proposals which are signed by or contain the name of a former public official or public employee. In addition, the term "Person" is defined as follows under the Ethics Law: Section 2. Definitions. "Person." A business, governmental body, individual, corporation, union, association, firm, partnership, committee, club or other Mr. Jeffrey A. Thomas January 25, 1993 Page 5 organization or group of persons. The Commission, in Popovich, Opinion 89 -005, has also interpreted the term "representation" as used in Section 3(g) of the Ethics Law to prohibit: 1. Personal appearances before the former governmental body or bodies, including, but not limited to, negotiations or renegotiations in general or as to contracts; 2. Attempts to influence; 3. Submission of bid or contract proposals which are signed by or contain the name of the former public official /employee; 4. Participating in any matters before the former governmental body as to acting on behalf of a person; 5. Lobbying, that is representing the interests of any person or employer before the former governmental body in relation to legislation, regulations, etc. The Commission has also held that listing one's name as the person who will provide technical assistance on such proposal, document, or bid, if submitted to or reviewed by the former governmental body constitutes an attempt to influence the former governmental body. In Shalt, Opinion 91 -012, the Commission held that Section 3(g) would prohibit the inclusion of the name of a former public official /public employee on invoices submitted by his new employer to the former governmental body, even though the invoices pertained to a contract which existed prior to termination of public service. Therefore, within the first year after termination of service, you should not engage in the type of activity outlined above. You may assist in the preparation of any documents presented to DPW. However, you may not be identified on documents submitted to DPW. You may also counsel any person regarding that person's appearance before DPW. Once again, however, the activity in this respect should not be revealed to DPW. Of course, any ban under the Ethics Law would not prohibit or preclude the making of general informational inquiries of DPW to secure information which is available to the general public. This must not be done in an effort to indirectly influence the former governmental body or to otherwise make known to that body the representation of, or work for the new employer. In addition, Sections 3(b) and 3(c) of the Ethics Law provide in part that no person shall offer to a public official /employee and no public official /employee shall solicit or accept anything of Mr. Jeffrey A. Thomas January 25, 1993 Page 6 monetary value based upon the understanding that the vote, official action, or judgement of the public official /employee would be influenced thereby. Reference is made to these provisions of the law not to imply that there has been or will be any transgression thereof but merely to provide a complete response to the question presented. Having set forth the above restrictions which will apply to you upon termination of your public employment, your prospective service as the Commonwealth's Chairperson for the AGP, through private employment with Bray, Berry, Martin and Reardon, will now be addressed. The restrictions of Section 3(g) shall apply with respect to your former governmental body, DPW. Given that the AGP is a contractually created procedure for resolving grievances between the Commonwealth and AFSCME, and the panels are composed of various individuals appointed by the Commonwealth and AFSCME, an AGP panel would not be part of your "former governmental body." Therefore, the restrictions of Section 3(g) would not preclude your proposed service as the Commonwealth's Chairperson for the AGP through your prospective private employment. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Law; the applicability of any other statute, code, ordinance, regulation or other code of conduct other than the Ethics Act has not been considered in that they do not involve an interpretation of the Ethics Law. Specifically not addressed herein is the applicability of the Governor's Code of Conduct. Conclusion: As a Personnel Analyst 3 with the Department of Public Welfare (DPW), Division of Labor Relations, you are to be considered a "public employee" as defined in the Ethics Law. Upon termination of service with DPW, you would become a former public employee" subject to Section 3(g) of the Ethics Law. The former governmental body is DPW in its entirety. The restrictions as to representation outlined above must be followed. Under the facts which you have submitted, your prospective service as the Commonwealth's Chairperson for the Accelerated Grievance Procedure (AGP) currently contained in the American Federation of State County and Municipal Employees (AFSCME) collective bargaining agreements would not be prohibited by Section 3(g) of the Ethics Law. The propriety of the proposed conduct has only been addressed under the Ethics Law. Further, should service be terminated, as outlined above, the Ethics Law also requires that a Statement of Financial Interests be filed for the year following termination of service. Mr. Jeffrey A. Thomas January 25, 1993 Page 7 Pursuant to Section 7(11), 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. such. This letter is a public record and will be made available as 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 in writing and must'be received at the Commission within 15 days of the date of this Advice pursuant to 51 Pa. Code §2.12. incent. Dopxo Chief Counsel