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HomeMy WebLinkAbout85-024 Lynnm r. Joseph T. Lynn 1308 Capouse Avenue Scranton, PA 18509 STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 Novemher 22, 1985 OPINION OF THE COMMISSION 85 -024 Re: Claims Settlement Agent, Puhlic Employee Dear Mr. Lynn: This responds to your appeal of the Advice of Counsel (85 -574) issued on August 2.0, 1985. I. Issue: II. Factual Basis for Determination: Whether a Claims Settlement Agent I is a puhlic employee within the purview of the State Ethics Act and, therefore, required to file a Statement of Financial Interests, timeliness of appeal. You are currently employed by the Pennsylvania Department of Puhlic Welfare, Bureau of Claims Settlement, as a Claims Settlement Agent I. On July 18, 1985, you filed a financial disclosure appeal which indicated that you should not be required to f i l e 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 and that the filing requirement is an invasion of privacy. You also assert that other individuals employed by the Department of Welfare, such as income case workers, are not required to file the Statement of Financial Interests. Your appeal was processed as a request for advice and on August 20, 1985, Advice of Counsel No. 85 -574 was issued. That advice concluded that based upon your position specification, joh description and prior Commission and judicial precedent, you are a public employee within the purview of the Ethics Act and, thereby, required to f i l e a Statement of Financial Interests. Mr. Joseph T. Lynn November 2.2, 1985 Page 2 On September 5, 1985, the Commission received your request that the full Commission review the Advice of Counsel. The Commission has reviewed both your current job description which was signed by you on August 5, 1985, and the joh specifications (0741) for the position that you hold. Both have been incorporated herein by reference. Additionally, we have been advised that the Office of Administration has conducted a desk audit of your position on October 15, 1985, and has concluded that you, in fact, perform all of the functions of a Claims Settlement Agent as outlined in the above - referenced documents. In your position, you are assigned to the Department's Bureau of Investigations, Prosecution and Recovery; Division of Recipient Prosecution and Recovery. Your position description indicates that you perform as follows: You are involved in the criminal prosecution of welfare cases involving cash, food stamps and medical assistance. Cases for prosecution investigation require the collection of evidence for trial, evaluation of evidence, a comprehensive review of the case record, interaction with caseworkers for comments on socio /economic and emotional problem of client which might affect prosecution. Witnesses are alerted and testimony discussed. If prosecution is deemed advisable, the agent must prepare a rough copy of the prosecution complaint, affidavit of probable cause, compute the claim and request any needed evidence from Field Operations. The case is returned to the agent for filing of the complaint with the appropriate magistrate. Prior to filing, the complaint is submitted to the District Attorney for approval. The agent has responsibility of presenting the case and questioning witnesses. You are responsible for managing the cases to completion with the guidance of the District Attorneys through District Justices and Quarter Sessions Courts, Court trials and providing newspapers with press releases of successfully completed cases in order to punish wrongdoers, make the Commonwealth whole and deter fraud. You also collect monies owed to the Commonwealth by receiving and analyzing referrals from the County Assistance Office and /or FAIR Headquarters; computing Commonwealth's claims; contact clients or their legal representatives to collect monies; issue and code Official Receipts in accordance with regulations and transmitting payments to Office of FAIR; recommend legal action when appropriate and report results, in order to maximize recovery of money owed to the Department of Public Welfare. In addition to the basic job duties described above, an agent is required to perform varied duties in connection with reimbursement and restitution claims, to complete special projects as assigned, to prepare designated forms and reports, to collect, handle and transmit money accurately, to compute Mr. Joseph T. Lynn November 22, 1985 Page 3 claims, to attend workshops and conferences, to maintain good public relations with collateral contacts, public officials and the public and to follow established rules, regulations and procedures. Your classification specification indicates that: this is specialized office or field work in the settlement of reimbursement and restitution claims in the income maintenance program. III. Discussion: An employee in this class is responsible for the collection, review and analysis of information to locate, encumber, and obtain financial resources for the settlement of claims against present or former public assistance clients. Employees function as office or field agents with joint responsibility for all claim activity .in one geographical area. Through extensive correspondence and field contacts employees assemble information to be used in legal proceedings as well as for settlements made administratively. Work is not normally performed in accordance with prescribed procedures, but requires discretion and judgment in conducting investigations and making recommendations and preliminary decisions. Work is reviewed by a higher level claim settlement agent prior to final action or disposition through conferences and reports. Initially, the Commission notes that your appeal of the instant advice was filed with the Commission on September 5, 1985. This was sixteen (16) days after the issuance and service of that advice. The Regulations of the Commission provide that an appeal from such an advice shall be made within fifteen (15) days of the service (mailing) of the advice. As such, we believe that your appeal has not been timely filed. See; Smith, 85 -015; Getz v. Pennsylvania Game Commission, Pa. Commw. , 42d 1369, (1734 77 Additionally, we believe that the findings and conclusions as set forth in that advice were correct. As noted in the previously issued Advice of Counsel, the State Ethics Commission and the Commonwealth Court of Pennsylvania have specifically addressed the issue of whether a Claims Settlement Agent I, is a public employee within the purview of the Ethics Act thereby required to file a Statement of Financial Interests. Opinion, 82 -008 Phillips; Silver, 85 -012; Phillips v. State Ethics Commission, 79 Pa. Cmwlth. 491, 470 A.2d 659, (1984). Mr. Joseph T. Lynn November 22, 1985 Page 4 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 subsidi 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 minims 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. There can he no doubt that your duties, as set forth, indicate that you maintain a significant position regarding numerous individuals payment and /or receipt of welfare payments. You also play an integral role in ensuring compliance with orders and directives. You prepare cases for prosecution and present such cases at the magistrate level. You decide what evidence is necessary in this respect. You are involved in the compromise of settlement claims and you recommend the acceptance or rejection thereof. You collect, handle, and transmit money. As such, and in light of the foregoing, you must be considered a public employee within the purview of the Ethics Act. As noted, this conclusion has been specifically addressed and upheld by the Commonwealth Court of Pennsylvania. See Phillips v. State Ethics Commission, Supra, and by this Commission. Silver, 85 -012; Phillips, 82 -008. You do not contest these job functions and indeed your recently executed job description and the aforementioned desk audit affirmed your performance of these functions. As such, there is no reason to deviate from this Commission's and the Court's prior pronouncements. We note that you question Commission regulations which excludes other classifications such as welfare case workers and others generally from the definition of " public employee." You assert that these workers have as much, if not more, responsibility to make recommendations than you have as a Claim Settlement Agent (CSA). You state, therefore, that you should he excluded Mr. Joseph T. Lynn November 22, 1985 Page 5 from this definition, as well. We need take little effort to address this argument: Even if the general exclusion of case workers is incorrect, that error would not, in and of itself, justify a similar exclusion for you or the class of CSA workers, in general. This position was expressly articulated and upheld by the court in Phillips, supra. Finally, with regard to whether the filing requirement is an invasion of privacy, this issue has been addressed and dismissed by the Supreme and Commonwealth Courts of Pennsylvania. Pennsylvania State Association of Township Supervisors v. Thornburgh, 45 Comm. Ct. 361, 405 A.2d 614, (1979) Affirmed At 496 Pa. 324, 437 A.2d 1, (1981). IV. Conclusion: You have failed to timely file your appeal from the Advice of Counsel in this matter. Even if said appeal had been timely filed, however, the Advice of Counsel, 85 -574, of August 20, 1985, is affirmed. 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 (30) days of this Opinion. Please file the white copy with this Commission in order to ensure compliance with this Opinion. File the yellow copy with your agency. Pursuant to Section 7(9)(i), this opinion is a complete defense in any enforcement proceeding initiated by the Commission, and evidence of good faith conduct in any civil or criminal proceeding, providing the requestor has disclosed truthfully all the material facts and committed the acts complained of in reliance of the advice given. This letter is a public record and will be made available as such. Finally, any person may request within 15 days of service of the opinion that the Commission reconsider its opinion. The person requesting reconside- ration should present a detailed explanation setting forth the reasons why the opinion requires reconsideration. JJC /sfb By the om ssion, HERR 'T B. CONNER Ch.1rman