Loading...
HomeMy WebLinkAbout03-550 TaroneJohn V. Tarone 739 North Vine Street Hazleton, PA 18201 ADVICE OF COUNSEL May 20, 2003 03 -550 Re: Simultaneous Service, City Councilman and Business Manager for Joint Sewer Authority. Dear Mr. Tarone: This responds to your faxed letter of April 21, 2003, by which you requested advice from the State Ethics Commission. Issue: Whether the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. 71 et seq., would impose any prohibition or restrictions upon a city councilman with regard to simultaneously being employed as the business manager for a joint sewer authority formed by the city and two other municipalities. Facts: As a Hazleton City Councilman, you seek an advisory from the State Ethics Commission. You have submitted facts that may be fairly summarized as follows. You are about to retire from employment as a vice - principal with the Hazleton Area School District. You are also completing your final term as a Hazleton City Councilman, which term will end on the first Monday of January 2004. You have applied for employment with the Greater Hazleton Joint Sewer Authority ( "Joint Sewer Authority") as its Business Manager. This is a newly created position. You note that the Joint Sewer Authority is a nine - member municipal authority consisting of six members appointed by the Hazleton City Council, two members appointed by the Borough of West Hazleton, and one member appointed by the Hazle Township Supervisors. You have submitted copies of: (1) a Resolution adopted by the Council of the City of Hazleton on November 21, 1961, authorizing the formation of the Joint Sewer Authority pursuant to the Municipality Authorities Act of 1945; and (2) the job description for the position of Business Manager, which documents are incorporated herein by reference. You ask whether the Ethics Act would prohibit or restrict you with regard to simultaneously serving as a Hazleton City Councilman and Business Manager for the Joint Sewer Authority. Tarone, 03 -550 May 20, 2003 Page 2 Discussion: It is initially noted that pursuant to Sections 1107(10) and 1107(11) of the Ethics Act, 65 Pa.C.S. §§ 1107(10), (11), advisories are issued to the requestor based upon the facts which the requestor has submitted. In issuing the advisory based upon the facts which the requestor has submitted, the Commission does not engage in an independent investigation of the facts, nor does it speculate as to facts which have not been submitted. It is the burden of the requestor to truthfully disclose all of the material facts relevant to the inquiry. 65 Pa.C.S. §§ 1107(10), (11). An advisory only affords a defense to the extent the requestor has truthfully disclosed all of the material facts. As a Hazleton City Councilman, you are a "public official" as that term is defined in the Ethics Act and hence you are subject to the provisions of the Ethics Act. 65 Pa.C.S. § 1102; 51 Pa. Code § 11.1. If you would be selected to serve as the Business Manager for the Joint Sewer Authority, you would in that position be a public official /public employee subject to the Ethics Act. Sections 1103(a) and 1103(j) of the Ethics Act provide: § 1103. Restricted Activities (a) Conflict of interest. —No public official or public employee shall engage in conduct that constitutes a conflict of interest. (j) Voting conflict. —Where voting conflicts are not otherwise addressed by the Constitution of Pennsylvania or by any law, rule, regulation, order or ordinance, the following procedure shall be employed. Any public official or public employee who in the discharge of his official duties would be required to vote on a matter that would result in a conflict of interest shall abstain from voting and, prior to the vote being taken, publicly announce and disclose the nature of his interest as a public record in a written memorandum filed with the person responsible for recording the minutes of the meeting at which the vote is taken, provided that whenever a governing body would be unable to take any action on a matter before it because the number of members of the body required to abstain from voting under the provisions of this section makes the majority or other legally required vote of approval unattainable, then such members shall be permitted to vote if disclosures are made as otherwise provided herein. In the case of a three - member governing body of a political subdivision, where one member has abstained from voting as a result of a conflict of interest and the remaining two members of the governing body have cast opposing votes, the member who has abstained shall be permitted to vote to break the tie vote if disclosure is made as otherwise provided herein. 65 Pa.C.S. §§ 1103(a), (j). The following terms pertaining to conflicts of interest under the Ethics Act are defined as follows: § 1102. Definitions "Conflict" or "conflict of interest." Use by a public official or public employee of the authority of his office or Tarone, 03 -550 May 20, 2003 Page 3 employment or any confidential information received through his holding public office or employment for the private pecuniary benefit of himself, a member of his immediate family or a business with which he or a member of his immediate family is associated. The term does not include an action having a de minimis economic impact or which affects to the same degree a class consisting of the general public or a subclass consisting of an industry, occupation or other group which includes the public official or public employee, a member of his immediate family or a business with which he or a member of his immediate family is associated. "Authority of office or employment." The actual power provided by law, the exercise of which is necessary to the performance of duties and responsibilities unique to a particular public office or position of public employment. 65 Pa.C.S. § 1102. In applying the above provisions of the Ethics Act to the question of simultaneous service, it is initially noted that the General Assembly has the constitutional power to declare by law which offices are incompatible. Pa. Const. Art. 6, § 2. There does not appear to be any statutorily - declared incompatibility precluding simultaneous service in the positions in question. Turning to the question of conflict of interest, pursuant to Section 1103(a) of the Ethics Act, a public official /public employee is prohibited from using the authority of public office /employment or confidential information received by holding such a public position for the private pecuniary benefit of the public official /public employee himself, a member of his immediate family, or a business with which he or a member of his immediate family is associated. Where simultaneous service would place the public official /public employee in a continual state of conflict, such as where in one position he would be accounting to himself in another position on a continual basis, there would be an inherent conflict. (See, Johnson, Opinion 86 -004). Where an inherent conflict would exist, it would appear to be impossible, as a practical matter, for the public official /public employee to function in the conflicting positions without running afoul of Section 1103(a). Absent a statutorily - declared incompatibility or an inherent conflict under Section 1103(a), the Ethics Act would not preclude an individual from simultaneously serving in more than one position, but in each instance of a conflict of interest, the individual would be required to abstain and to satisfy the disclosure requirements of Section 1103(j) as set forth above. In this case, based upon the facts that have been submitted, there does not appear to be an inherent conflict that would preclude simultaneous service as a Hazleton City Councilman and the Business Manager for the Joint Sewer Authority. Consequently, such simultaneous service would be permitted within the parameters of Sections 1103(a) and 1103(j). Pursuant to Section 1103(a) of the Ethics Act, you would generally have a conflict of interest as to matters before Hazleton City Council involving the Joint Sewer Authority if such matters would have a financial impact upon you. In particular, you would have a conflict of interest with regard to the appointment /reappointment of Member(s) of the Joint Sewer Authority because such Member(s) would, in effect, be your employer(s). See, Welsh, Advice 02 -537; Tobin, Advice 00 -502; Start /Leetsdale Borough, Advice 97-527; Mutschler, Advice Tarone, 03 -550 May 20, 2003 Page 4 93 -613. See also, Bassi, Opinion 86- 007 -R; Woodrinq, Opinion 90 -001 (wherein the Commission in both cases noted that official action where such a circular relationship exists presents a conflict of interest). In each instance of a conflict of interest, you would be required to abstain from participation and to fully satisfy the disclosure requirements of Section 1103(j) as set forth above. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act. Conclusion: As a Hazleton City Councilman, you are a "public official" subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq. If you would be selected to serve as the Business Manager for the Joint Sewer Authority, you would in that position be a public official /public employee subject to the Ethics Act. You may, consistent with Section 1103(a) of the Ethics Act, simultaneously serve as a Hazleton City Councilman and the Business Manager for the Greater Hazleton Joint Sewer Authority ( "Joint Sewer Authority "), subject to the restrictions, conditions and qualifications set forth above. Pursuant to Section 1103(a) of the Ethics Act, you would generally have a conflict of interest as to matters before Hazleton City Council involving the Joint Sewer Authority if such matters would have a financial impact upon you. In particular, you would have a conflict of interest with regard to the appointment /reappointment of Member(s) of the Joint Sewer Authority. In each instance of a conflict of interest, you would be required to abstain from participation and to fully satisfy the disclosure requirements of Section 1103(j) as set forth above. Lastly, the propriety of the proposed course of conduct has only been addressed under the Ethics Act. Pursuant to Section 1107(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, provided 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. Finally, if you disagree with this Advice or if you have any reason 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. Sincerely, Vincent J. Dopko Tarone, 03 -550 May 20, 2003 Page 5 Chief Counsel