HomeMy WebLinkAbout92-615STATE ETHICS COMMISSION
309 FINANCE BUILDING
P.O. BOX 11470
HARRISBURG, PA 17108 -1470
TELEPHONE (717) 783 -1610
ADVICE OF COUNSEL
July 17, 1992
92 -615
Ter L. Spaar Rebecca Rinehart -Pasda
Director of Personnel Business Agent
Department of Labor & Industry Penna. Social Services Union
Re: Vocational Rehabilitation Counselor 1; Vocational
Rehabilitation Counselor 2; Vocational Rehabilitation
Counselor for the Deaf; Vocational Rehabilitation Counselor
for Placement; Vocational Rehabilitation Supervisor;
Department of Labor and Industry; Public Employee; FIS.
Dear Mr. Spaar and Ms. Rinehart - Pasda:
This responds to your joint memorandum dated June 5, 1992, in
which you requested advice from the State Ethics Commission.
Issue: Whether Commonwealth employees in the following
classifications are to be considered "public employees" as that
term is defined in the Public Official and Employee Ethics Law, and
therefore, subject to the provisions of the Ethics Law including
but not limited to the requirement to file Statements of Financial
Interests: Vocational Rehabilitation Counselor 1; Vocational
Rehabilitation Counselor 2; Vocational Rehabilitation Counselor for
the Deaf; Vocational Rehabilitation Counselor for Placement; and
Vocational Rehabilitation Supervisor.
Facts: In your respective positions as Director of Personnel for
the Commonwealth of Pennsylvania, Department of Labor and Industry,
and as Business Agent for the Pennsylvania Social Services Union,
you jointly request an advisory from the State Ethics Commission
regarding whether Commonwealth employees in the following
classifications would be required to file Statements of Financial
Interests in accordance with the provisions of the Ethics Law:
Vocational Rehabilitation Counselor 1; Vocational Rehabilitation
Counselor 2; Vocational Rehabilitation Counselor for the Deaf;
Vocational Rehabilitation Counselor for Placement; and Vocational
Rehabilitation Supervisor. You have enclosed the following
documentation, all of which is incorporated herein by reference:
1. Job Classification Specifications for each class;
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 2
2. Sample Job Descriptions for each class;
3. A summary of the position of the Union; and
4. A summary of the position of the Department.
In order to review the questions presented, it is necessary to
briefly outline the duties and responsibilities associated witfi
each position as set forth in the incorporated job classification
specifications and sample job descriptions for each position. The
summarization of duties and responsibilities shll be limited to
those most pertinent.
VOCATIONAL REHABILITATION COUNSELOR 1
The Vocational Rehabilitation Counselor 1 performs entry level
professional work in the field of vocational rehabilitation of
persons with disabilities. Work is performed under the direct
supervision of a Vocational Rehabilitation Supervisor. Services
provided by this employee include selecting, preparing for, and
following a rehabilitation plan which leads toward employment.
Although work is performed in accordance with federal regulations
and departmental policies and procedures, these employees are
expected to exercise independent judgment in using a wide variety
of medical, social, and vocational resources in achieving
objectives. Rehabilitation plans are reviewed and approved by a
Vocational Rehabilitation Supervisor prior to implementation, with
subsequent review of work in progress, as required, through
reports, conferences, and evaluation of case records. Examples of
the work of a Vocational Rehabilitation Counselor l include, but
are not limited to:
a. Maintaining and developing liaisons with referral sources
and service providers to assure that potential vocational
rehabilitation clients are identified and that service
programs address client needs;
b. Supervising facilities to insure that they understand
agency objectives and to develop a positive working
relationship;
c. visiting assigned facilities on a scheduled or as- needed
basis and screening referrals to the agency;
d. Staffing cases with the supervisor and medical consultant
to establish eligibility for services;
e. Arranging for medical, psychological, psychiatric,
`physical, or other evaluations as a part of determining
potential for vocational rehabilitation;
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 3
f. Evaluating information with a medical consultant to
ascertain the potential for rehabilitation;
Arranging for services needed to prepare the disabled
applicant for employment, such as medical and psychiatric
services, vocational training, and financial aid;
h. Maintaining, evaluating and documenting client progress
through the vocational rehabilitation process and making
appropriate rehabilithtion plan amendments to enhance the
opportunity for client success; and
i. Providing counseling, guidance, and job placement
services as needed to disabled clients and contacting
employers to enhance placement opportunities.
g.
VOCATIONAL REHABILITATION COUNSELOR 2
The Vocational Rehabilitation Counselor 2 develops and
approves vocational rehabilitation plans and the expenditure of
funds for'diagnostic and Individualized Written Rehabilitation Plan
service costs. This class also serves as assigned counselors for
designated .geographical areas for certain blind or visually
impaired clients. Services include selecting, preparing for and
following a rehabilitation plan which leads toward employment.
Work is performed in accordance with federal regulations and
departmental policies and procedures, but employees are expected to
exercise independent judgment in using a wide variety of medical,
social, and vocational resources in achieving objectives. Casework
supervision is given only as needed with general supervision being
provided for all other aspects of work by a Vocational
Rehabilitation Supervisor. Examples of the work of a Vocational
Rehabilitation Counselor 2_ include, but are not limited to, the
following:
a. Maintaining and developing liaisons with referral sources
and service providers to assure that potential vocational
rehabilitation clients are identified and that service
programs address clients needs.
b. Developing and maintaining referral sources and
supervising clients at specialized rehabilitation
facilities for the severely disabled;
c. Arranging for and approving expenditures associated with
medical, psychological, psychiatric, physical, or other
evaluations as a of determining potential for
Vocational rehabilitation, and assuring vendor payment;
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 4
d. Determining an applicant's potential for vocational
rehabilitation on the basis of medical, psycho= social,
vocational and client information, guided, by iegitlation,
regulations and agency policy but utilizing kir +`� fessional
judgment, consultation as appropri4te with related
professionals, and the client's participatrbh
e. In consultation with the client, and other appropriate
interested parties; determining an appropr. ate Vocational
goal and developing and approving a mutually ac, eed upon
Individualized Written Rehabilitation Plan to achieVe the
established vocational goal;
f. Arranging for and approving expenditureb yr terv±Ces
needed to prepare the disabled applicant tof iibraent,
such as medical and psychiatric services, Iocational
training and financial aid;
Maintaining, evaluating and documenting Client progress
through the vocational rehabilitation process and making
appropriate rehabilitation plan amendment`s td enhance the
opportunity for client success;
h. Following up with the client regularly to review progress
and ultimately to determine the appropriateness of case
closure;
i. Providing job placement services to disabled cl±gftts and
contacting employers to enhance placement opporttties;
j . Providing on the job training to new or other sub4rainate
level counselors, and serving as resident expert to lower
level counseling staff in the handling of unusu or
extremely difficult case problems;
k. Performing a variety of delegated administrative
responsibilities such as serving as counselor coach,
directing field work students or interns, medical revigii
functions, or office training; and
1. Developing and coordinating community outreach efforts.
VOCATIONAL REHABILITATION COUNSELOR FOR THE DEAF
The Vocational Rehabilitation Counselor for the Deaf n
specialized professional work in the field of voce` idrral
rehabilitation of persons unable to hear or understarrd speech, ern
with amplification. An employee in this class performs speczatxe3
work designed to guide such persons in selecting; preparing for asid
Terrence L. Spear
Rebecca Rinehart -Pasda
July 17, 1992
Page 5
obtaining employment at the completion of a vocational
rehabilitation plan. Work involves designation as the counselor
for a large or a heavily populated geographical area for such
clients. Work is performed in accordance with federal regulations
and departmental policies and procedures, but employees are
expected to exercise considerable independent judgment in using a
wide variety of medical, social, and vocational resources in
achieving the objectives. Work also includes developing and
approving vocational rehabilitation plans and the expenditure of
funds for diagnostic and Individualized Written Rehabilitation Plan
service costs. Casework supervision is given only as needed in
difficult cases, with general supervision provided for all other
aspects of work by a Vocational Rehabilitation Supervisor.
Examples of work a Vocational Rehabilitation Counselor for the Deaf
include, but are not limited to, the following:
a. Providing rehabilitation counseling services to a
caseload composed of all the clients in a district or a
large, heavily populated geographical area who are unable
to communicate verbally, even with amplification;
b. Developing and maintaining referral sources in both the
`hearing and deaf communities in the assigned geographical
area;
c. Arranging for and approving expenditures associated with
medical, psychological,- psychiatric, physical or other
evaluations and related interpreter services as part of
.determining potential for vocational rehabilitation, and
assuring vendor payment;
d. Determining the applicant's potential for vocational
rehabilitation on the basis of medical, psycho - social,
vocational and client information, guided by legislation,
regulations and agency policy, but utilizing professional
judgment consultation as appropriate with related
professionals and the client's participation;
e. In consultation with the client, and other appropriate
interested parties, determining an appropriate vocational
goal in developing and approving a mutually agreed upon
Individual Written Rehabilitation Plan to achieve the
established vocational goal;
f. Arranging for and approving expenditures for services
needed to prepare the disabled applicant for employment,
such as medical and psychiatric services and vocational
training;
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 6
g
Maintaining,-evaluating, and documenting client progress
through the vocational rehabilitation process and making
appropriate rehabilitation plan amendments to enhance the
opportunity for client success;
h. Providing job placement services to disabled clients, and
contacting employers to enhance placement opportunities;
i.. Maintaining liaison with community service providers to
assure the service programs address client needs; and
j. Developing. and coordinating community outreach efforts.
VOCATIONAL REHABILITATION COUNSELOR FOR PLACEMENT
The Vocational Rehabilitation Counselor for Placement performs
specialized professional placement work in the field of vocational
rehabilitation of persons'with disabilities with emphasis upon the
most severely disabled.. 'Work involves designation as the counselor
responsible _for developing and maintaining the placement program
for a district or a large or heavily populated geographical area
including providing placement assistance to other counselors and
actual placement- responsibility for a caseload of the most
difficult to place clients. Work is performed in accordance with
established procedures, but employees are expected to exercise
eonsiderable independent judgment in using a wide variety of
medical, social; and vocational resources in achieving the
objectives. Work is given general review by a Vocational
Rehabilitation Supervisor through .reports, conferences, and an
evaluation of case records. Examples of the work of the
Rehabilitation Counselor for Placement include, but are not limited
to, the following:
a. Developing and maintaining the placement program for a
district office or a large or heavily populated
geographical area;
b. Developing and maintaining referral sources in the
designated geographical area to assure that potential
vocational rehabilitation clients are identified;
c. Maintaining liaison with community service providers to
assure that service programs address client needs;
d. .Arranging for and approving expenditures associated with
medical, psychological, psychiatric, - physical, or other
evaluations -as r _ part—of = determining potential for
vocational rehabilitation, and assuring vendor payment;
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 7
e. Determining the applicant's potential for vocational
rehabilitation on the basis of medical, psycho - social,
vocational and client information, guided by legislation,
regulations and agency policy but utilizing professional
judgment, consultation as appropriate with related
professionals and the client's participation;
In consultation with the client, and other appropriate
interested parties, determining an appropriate vocational
goal and developing and approving a mutually agreed upon
Individualized Written Rehabilitation Plan to achieve the
established vocational goal;
Identifying client and agency responsibilities, approving
and authorizing services to be provided, and similar
benefits to be utilized to achieve the rehabilitation
plan;
g.
h. Maintaining, evaluating, and documenting client progress
through the vocational rehabilitation process and making
appropriate rehabilitation plan amendments to enhance the
opportunity for client success;
i. Following up with the client regularly to review progress
and ultimately to determine the appropriateness of case
closure;
j
Providing placement assistance as needed to assist the
client in achieving the established vocational goal, and
contacting employers to, enhance employment opportunities;
and
k. Providing employers with technical advice in such matters
as job and task analysis, job engineering and
restructuring, and work site and environmental
modifications to permit employment of persons with
disabilities under conditions of maximum benefit to the
client and the employer.
VOCATIONAL REHABILITATION SUPERVISOR
The Vocational Rehabilitation Supervisor performs professional
work of a supervisory and administrative nature in the field of
vocational rehabilitation of persons with disabilities. Employees
in this class plan, organize, direct and supervise a unit of
vocational rehabilitation counselors and support: staff . This class
also serves to organize and supervise a unit of employees assigned
individually as the counselor for a designated geographical area
for certain blind or visually„ _ . clients Supervision
•
Terrence 14. $paar .
Rebecca Rinehart -Fasda
July 17, 1992
Page 8
includes planning and assigning work; reviewing work performance to
assure compliance with applicable state and federal legislation,
regulations, program policies, and guidelines; evaluating employee
performance; receiving and resolving grievances and complaints;
interviewing and recommending employee selection; and training
subordinates. An important aspect of this class is developing and
implementing program and personnel initiatives that will enhance
the delivery of quality vocational rehabilitation services to
persons with disabilities. This work may involve special
assignments as well as activating community liaison with public and
private organizations, agencies, advocacy groups, and consumers.
Work is performed under supervision and general direction and is
reviewed for conformance to established policies, procedures, and
regulations through reports and conferences by a vocational
rehabilitation manager, or district manager for Blindness and
Visual Services. Examples of the work of a Vocational
Rehabilitation Supervisor include, but are not limited to, the
following:
Planning, organizing, directing, and supervising a unit
of vocational rehabilitation counselors and support
staff;
b. Assigning work to subordinate staff, coordinating unit
activities directing work flow, and monitoring
subordinate staff activity;
c. Serving as district training supervisor by developing
regular in- service training programs for district staff;
d. Developing, through individual and group conferences, the
efficiency and skills of subordinate employees;
e. Functioning as a specialist in designated program/
disability areas and acting as a technical resource to
district office staff, management, and the community;
f. Serving as team leader in three -way staffing (supervisor,
counselor, medical consultant) of cases to determine
client eligibility and feasibility for services;
Advising subordinate staff regarding possible services to
be considered and appropriate agency procedures related
to case documentation ;;
g.
h. Reviewing and approving casework activity;
i.. Resolving program implementation and service delivery
problems with subordinate staff, persons with
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 9
disabilities, and the community;
Participating in the client appeal process at an informal
level in order to resolve client dissatisfaction;
k. Approving subordinates' expense accounts;
1. Planning for and monitoring the unit's expenditure of
funds for the purchase of case services;
m. Approving authorization of client services monies and
conducting regular fiscal purges;,
n. Participating in special projects and program development
efforts, both local and statewide and inter /intra agency,
to form and implement service delivery initiatives,
policies, and guidelines;
o. Maintaining active, ongoing community liaison with public
and private organizations, agencies, advocacy groups and
consumers to assess and modify as needed the delivery of
vocational rehabilitation services;
p. Participating in the development and implementation of
cooperative agreements ip the delivery of services;
q. Coordinating schedule - for compliance reviews at
facilities within the district and reviewing completed
forms prior to forwarding to Harrisburg.
r. Marketing agency programs and services through suitable
public relations activities; and
s. Serving as district SSI /SSDI Coordinator by disseminating
program regulations, reviewing SSI /SSDI allowed cases,
consulting with staff on such cases, coordinating
feedback information on rehabilitated cases to Central
Office, participating in statewide advisory and training
sessions regarding SSI /SSDI program.
You have submitted the respective positions of the Department
of Labor and Industry and the Pennsylvania Social Services Union
•(P.S.S.U.) as to the applicability of the Ethics Law to employees
in the above positions. It is the Department's position that all
employees in the above classes are to be included in . the definition
of "public employee" and subject to the Ethics Law, including the
requirement to file Statements of. Financial Interests. It is
P.S.S.U.'s position that none of the above employee classifications
would meet this definition.
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 10
In support of its position, the Department specifically cites
those portions of the definition of "public employee" pertainipg tb
those engaged in contracting and procurement, administering grants
and contracts, and activities having a greater than a de minimi0
impact on the interests of any person. ee, 65 P.S. 5402. The
Department states that 350 counselors are responsible for t to
annual disbursement of approximately $40,000,000. The Vocational
Rehabilitation Counselor 1 designs and recommends rehabilitative
programs for clients which recommendations are forwarded ,tb
Vocational Rehabilitation Supervisors for approval and
authorization for the expenditure of funds. The Vocational
Rehabilitation Counselor 2 designs and has signatory authority to
approve the •expenditure of funds to implement rehabilitative
programs. The Vocational Rehabilitation Counselor for the Deaf and
the Vocational Rehabilitation Counselor for Placement perform the
same work as the Vocational Rehabilitation Counselor 2 except that
their work is performed for deaf clients and for clients being
prepared for specific positions. The Department opines that in
designing rehabilitative programs, counselors have the option to
pick and choose among a number of service providers who are under
master contract to provide the same type of rehabilitative service.
The Department states that although this system provides for
greater cho'i'ces in rehabilitative services and in the vendors
providing such services, it also presents an opportunity for a
counselor -Co start or invest in a business providing such services
and then to give preferential referrals to that business. It is
the Department's belief that an employee authorizing the
expenditure of funds to a business in which the employee has a
financial interest would be in violation of the intent of the
Ethics Law and therefore it is the Department's belief that
employees in the above classes should be required to file
Statements of Financial Interests.
The position of P.S.S.U. is that Vocational Rehabilitation
Counselors and Supervisors do not meet the criteria outlined by
this Commission for the filing of the annual Statements of
Financial Interests. P.S.S.U. notes that Vocational Rehabilitation
Counselors only arrange for evaluations and services. P.S.S.U.
further states that It has been the bargaining representative for
the Vocational Rehabilitation Counselor series since 1972, and
since that time there has never been an obligation on the part of
these classifications to file Statements of Financial Interests.
P.S.S.U. seeks to overturn the decision of the Bureau of Personnel
to have Vocational Rehabilitation Counselors and Supervisors file
Statements of Financial Interests. P.S.S.U. further requests that
the completed and sealed forms be destroyed until a decision is
rendered.
Based upon all of the above, the advice gf the State Ethics
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 11
Commission is sought as to whether employees in the above five job
classes would be considered "public employees" subject to the
provisions of the Ethics Law, including but not limited to the
requirements for filing Statements of Financial Interests.
Discussion: The Ethics Law defines the term '"public employee" 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:
contracting or procurement;
administering or monitoring grants or
subsidies;
planning or zoning;
inspecting, licensing, regulating or
auditing any person; or
any other activity where the official
action has an economic impact of greater
than a de minimis nature on the interests
of any person.
"Public employee" shall not include individ-
uals who are employed by the State or any
political subdivision thereof in teaching as
distinguished from administrative duties.
65 P.S. S402.
The regulations of the State Ethics Commission similarly
define the term public employee as above and also set forth that
the term includes any individual:
(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
Terrence L. Spaar
Rebecca Rinehart- Pasda..
July 17, 1992
Page 12
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 recommen-
dations; or
(4) makes final technical recommen-
dations; and
(b) whose recommendations or
actions:
(1) are an inherent and recurring
part of his position; and
(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 -chief s, or heads of
Terrence.L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 13
51 Pa. Code S1.1.
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 judiciary.
(F) School business managers and
principals.
(iv) Persons in the positions listed below are
generally not considered public employees.
(A) City clerks, other clerical
staff, road masters, secretaries,
police officers, welfare case
workers, maintenance workers,
construction workers, detectives,
equipment operators, and recreation
directors.
(B) Law clerks, court criers, court .
reporters, probation officers,
security guards, and writ servers.
(C) School teachers and clerks of
the schools.
The question you present must be reviewed under these
provisions of the statute and the regulations of the Commission in
light of the duties and obligations of employees in the five
Terrence L. Spear
Rebecca Rinehart -Pasda
July 17, 1992
Page 14
classes in question, as set forth in the job classification
specifications and sample job, descriptions under which such
employees operate. The inquiry necessarily focuses on the job
itself and not on the individual incumbent in the position, the
variable functions of the position, or the imanner in which a
particular individual occupying a position .. may carry out those
functions. See Phillips v. State Ethics Commission, 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 that coverage
of the Ethics Law be construed broadly, rather than narrowly, and
conversely, directs that _exclusions from the Ethics Law 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 various job
functions and the information available to us, the necessary
conclusion is that employees in each of the classes of Vocational
Rehabilitation Counselor 1, Vocational Rehabilitation Counselor 2,
Vocational Rehabilitation Counselor for the Deaf, Vocational
Rehabilitation. Counselor for Placement, and Vocational
Rehabilitation Supervisor are "public employees" subject to the
financial reporting and disclosure requirements of the Ethics Law.
It is clear that employees in each of the four Vocational
Rehabilitation Counselor classes have the ability to recommend
official action with respect to subparagraphs (1) and (5) within
the definition of "public employee" as set forth in the Ethics Law,
65 P.S. S402. Specifically, according to the job classification
specifications and sample job descriptions submitted, employees in
each of these classes are selecting or designing rehabilitation
plans including selecting service providers and arranging for the
provision of services. All are expected to exercise independent
judgment in using a wide variety-of medical, social, and vocational
resources in achieving objectives.
As for the Vocational Rehabilitation Counselor 1, the fact
that the rehabilitation plans' developed by this employee are
reviewed and approved by a Vocational Rehabilitation Supervisor
_
prior to implementation, with subsequent review of work in progress
as required, would not preclude the Vocational Rehabilitation
Counselor 1 from being within the definition of "public employee"
as set forth in the Ethics Law._ In this regard, it is noted that
in Phillips, supra, the Commonwealth__ Court, affirmed. t e
Commission's decision in Phillips, Qpinion_82;QQ8' WH.er,ei, , S� : ub It , 0
Settlement Agent, I .for DPW was deemed . _" pubic �tipi�iy+s0" S
to the Ethics Law tinder a parallel dtuatton, i)HeYt, t td * i e
exercised discretion and judgment and made recdttumendations anti
Terrence L. Spaar
Rebecca Rinehart -Pasda
July 17, 1992
Page 15
preliminary decisions subject to review by a higher level claims
settlement agent . prior td final action or disposition. See,
Phillips, Opinion at 2.
Significantly, the - Vocational Rehabilitation Cqunselor 1
screens referrals to the agency. Also, like all of the other
Vocational Rehabilitation Counselor classes, this employee
participates in evaluating, in conjunction with .a consultant, an
applicant's potential for rehabilitation. At all cl "ass levels,
work includes maintaining and developing liaisons with referral
sources and service providers to assure that service programs
address client needs.
Employees in the: classes of Vocational Rehabilitation
Counselor 2, Vocational Rehabilitation Counselor for the Deaf, and
Vocational Rehabilitatdn Counselor for Placement, not only develop
vocational rehabilitation plans and select from a wide variety of
medical, and vocational resources to achieve plan
objectives, but they also approve vocational rehabilitation plans
and authorize the expenditure of funds for services provided
pursuant to them.
The activities of employees in all four. Vocational
Rehabitation Counselor classes (Vocational Rehabilitation Counselor
1, Vocational Rehabilitation Counselor 2, Vocational Rehabilitation
Counseler for the Deaf, and Vocational Rehabilitation Counselor for
Placement) clearly fall within the definition of public employee as
contained in the regulations of the Commission.. in Section 1.1,
subparagraph (B)(II). 51 Pa. Code 1.1. Under these circumstances
and given the duties and responsibilities of these employees as
outlined above, employees in each of these job classes are clearly
"public employees" as that term is defined in the Ethics Law.
The Vocational Rehabilitation Supervisor plans, organizes,
directs, and supervises a unit of vocational rehabilitation
counselors and support staff. Supervision includes planning and
assigning work; reviewing work performance, to assure compliance
with applicable state and federal legislation, regulations, program
policies, and guidelines; interviewing and recommending employee
selection; and training staff. The Vocational Rehabilitation
Supervisor functions as a specialist in designated program/
disability areas, and is the team leader in staffing cases to
determine eligibility-and feasibility-for services. He insures the
quality of case services through the review and analysis of case
records and case conferences with counselors. _ =.The employee
resolves program implementation and service delivery problems with
subordinate staff, persons with disabilities and the community. He
plans for and monitots the =unit's expenditure of- funds for the
purchase of case services and approves the authorization of client
Terrence L. Spaar
Rebecca Rinehart -Panda
July 17, 1992
Page 16
service monies. This employee approves subordinates' expense
accounts and conducts regular fiscal purges. This employee
participates in the development and implementation of service
delivery initiatives, policies, and guidelines, and markets agency
programs and services through suitable public relations activities..
The Vocational Rehabilitation Supervisor has the ability to
recommend official action with respect to subparagraphs (1), (3)'
and (5) within the definition of "public employee" as set forth in
the Ethics Law, 65 P.S. §402. This employee's activities
additionally fall within the definition of public employee as
contained in the regulations of the Commission in _Section 1.1,
subparagraphs (B)(I) and (II), 5 Pa. Code 51.1. Under these
circumstances and given the duties and responsibilities as outlined
above, it is clear that the Vocational Rehabilitation Supervisor is
a "public employee" as that term is defined in the Ethics Law.
Conclusion: Commonwealth employees in the following job classes
are to be considered "public employees" as that term is defined in
the Ethics Law: Vocational Rehabilitation Counselor 1; Vocational
Rehabilitation Counselor 2; Vocational Rehabilitation Counselor for
the Deaf; Vocational Rehabilitation Counselor for Placement; and
Vocational Rehabilitation Supervisor. Accordingly, employees in
each of the above oapacities must file a Statement of Financial
Interests for each year in which the position is held and for the
year following termination of said position.
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.
This letter is a public record and will be made available as
such.
Sincerely,
W/ItC4 /A 4.04.
Vincent J. Dopko
Chief Counsel
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 52.12.