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HomeMy WebLinkAbout95-578 EgnaMartin R. Egna, Esquire 5164 -C Wynnewood Road Harrisburg, PA 17109 STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 17108 -1470 TELEPHONE (717) 783 -1610 ADVICE OF COUNSEL July 5, 1995 95 -578 Re: Attorney, State Ethics Commission, Representation, Section 3 (g) Dear Mr. Egna: This responds to your letter of June 6, 1995, in which you requested advice from the State Ethics Commission. Issue: You have requested advice regarding the permissible scope of your practice of law upon termination of your employment with the State Ethics Commission. Facts: You request advice from the Commission under the Ethics Law concerning your future employment as an attorney following the termination of your temporary position as assistant counsel for the Legal Division of the State Ethics Commission. You are currently seeking permanent employment with another state agency, private practice, corporate legal department, or trade association. You also would like to know whether you are permitted to request advice from the Commission on behalf of legal clients who are covered by the Ethics Law within one year of your termination of service with the Commission. Discussion: Pennsylvania Public Utility Bar Association v. Thornburgh, 434 A.2d 1327, 62 Pa. Commw. 88 (1981), affirmed per curiam 450 A.2d 613, 498 Pa. 589 (1982), dealt with the applicability of Section 3(e) of the Ethics Act of 1978 to attorneys in the regulation of their practice of law. However, you seek clarification on the applicability of the current Public Official and Employee Ethics Law to your situation and any restrictions that might be placed upon your conduct with respect to your practice to law and new work and /or employment. In Pennsylvania Public Utility Commission Bar Association, supra, the Court held that former Section 3(e) of the Ethics Act of 1978, the predecessor of Section 3(g), was an impermissible Egna, Martin R., Esquire, 95 -578 July 5, 1995 Page 2 intrusion upon the Supreme Court's authority to regulate an attorney's conduct; the State Ethics Commission has applied this decision to mean that there are no prohibitions under Section 3(g) of the current Ethics Law upon your conduct insofar as that conduct constitutes the practice of law. Spataro, Opinion 89 -009. Therefore, insofar as your conduct before the agency or entity with which you were associated, would constitute the practice of law, Section 3(g) of the Ethics Law cannot be applied to restrict that proposed activity. Particular reference should be made to the decision of the Commonwealth Court at Footnote 7, 434 A.2d at page 1331 -1332. In this note, the Court indicated that any activity in which the attorney purports to render professional services to a client may only be regulated by the Supreme Court. We must conclude that to the extent that you would represent a client, as a lawyer, before the governmental body with which you were associated, Section 3(g) of the Ethics Law would not operate to bar such activity. Thomas, Opinion 90 -018. If, however, the activities that you intend to undertake before the State Ethics Commission (SEC) -- the governmental body with which you have been associated while employed by SEC -- do not fall within the category of the "practice of law ", the prohibitions of Section 3(g) of the Ethics Law might be applicable. An activity which might be considered by the Commission, not to constitute the "practice of law" or to be undertaken in the capacity as lawyer - client, might be lobbying. However, we will assume, for the purposes of this Advice, that you intend to undertake these activities in the capacity of lawyer- client, that these activities would constitute the practice of law, and that the provisions of Section 3(g) of the Ethics Law, pursuant to the mandate of the Supreme Court's ruling would, therefore, be inapplicable. Andrews, Opinion 90 -018. In any event, you should be advised that your activity, even if Section 3(g) of the Ethics Law were to be applicable, would not regulate your conduct, except with respect to SEC, the "governmental body" with which you are "associated" while employed by SEC. Therefore, any representation which you might undertake with respect to a client or employer before any entity other than SEC would not be restricted by Section 3(g) of the Ethics Law in any event. As to your specific inquiry of whether you would be permitted to request advice within one year of your termination of service from the Commission on behalf of legal clients who are covered by the Ethics Law, you are advised that Section 3(g) would not prohibit such activity provided that the contact you make with the SEC is on behalf of legal clients in an attorney client relationship. Egna, Martin R., Esquire, 95 -578 July 5, 1995 Page 3 Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Law; the propriety of any other statute, code, regulation or ordinance other than the Ethics Law has not been considered. Specifically not addressed in this Advice is the applicability of the Rules of Professional Conduct. Conclusion: Section 3(g) of the Ethics Law does not restrict your representation or your activities, as outlined above, insofar as those activities constitute the practice of law. 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 to challenge same, you may appeal the Advice to the full Commission. A personal appearance before the Commission will be scheduled and a formal Opinion will be issued by the Commission. Any such appeal must be in writing and must be actually received at the Commission within thirty (30) days of the date of this Advice pursuant to 51 Pa. Code §13.2(h). The appeal may be received at the Commission by hand delivery, United States mail, delivery-service, or by FAX transmission (717- 787 - 0806). Failure to file such an appeal at the Commission within thirty (30) days may result in the dismissal of the appeal. erely, Vincent J. •opko Chief Counsel