HomeMy WebLinkAbout04-011 SpearI. ISSUE:
OPINION OF THE COMMISSION
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Daneen E. Reese
Donald M. McCurdy
Michael J. Healey
Paul M. Henry
Raquel K. Bergen
DATE DECIDED: 6/9/04
DATE MAILED: 6/22/04
04 -011
Samuel L. Spear, Esquire
Spear, Wilderman, Borish, Endy,
Spear & Runckel
Suite 1400, 230 South Broad Street
Philadelphia, PA 19102
Re: Public Employee; FIS; Staff Psychiatrist; Staff Physician 2; Physician Specialist in
Internal Medicine; Supervisory Physician; Psychiatrist Supervisor; Podiatrist;
Dentist; Department of Public Welfare; Pennsylvania Doctors Alliance; Appeal of
Advice.
Dear Mr. Spear:
This Opinion is issued in response to the appeal of Advice of Counsel, 04 -530, which
was issued on April 16, 2004.
Whether various medical /dental professionals employed with the Department of Public
Welfare would be considered "public employees" subject to the Public Official and Employee
Ethics Act (the "Ethics Act "), 65 Pa.C.S. § 1101 et seq., and the Regulations of the State
Ethics Commission, and particularly, the requirements for filing Statements of Financial
Interests.
II. FACTUAL BASIS FOR DETERMINATION:
By letter dated May 17, 2004, you appealed Advice of Counsel, 04 -530 issued April
16, 2004.
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June 22, 2004
Page 2
In the initial letter requesting an advisory, you presented the following facts and
submissions.
Your law firm represents the Pennsylvania Doctors Alliance ( "PDA "), the certified
representative of collective bargaining and meet - and - discuss units of physicians and dentists
employed by the Commonwealth of Pennsylvania.
Procedurally, in June 2003 you submitted two separate letters to this Commission
appealing separate determinations by the Department of Public Welfare ( "DPW ") and the
Department of Corrections ( "DOC ") that members of the PDA employed by DPW and DOC
are required to file Statements of Financial Interests pursuant to the Ethics Act. It was your
contention that such PDA members would not fall within the Ethics Act's definition of "public
employee." 65 Pa.C.S. § 1102.
By letter dated June 10, 2003, Chief Counsel informed you that in order for your inquiry
to be considered, you would have to: (1) confirm your legal standing to submit the inquiry; and
(2) submit job descriptions, job classification specifications, and if applicable, organizational
charts for the individuals whose conduct was in question.
You submitted a subsequent request for an advisory dated March 12, 2004, wherein
you questioned the status of the following eight DPW employees who authorized you to seek
an advisory on their behalf:
(1) Dr. Alex T. Thomas ( "Dr. Thomas "), Staff Psychiatrist, Allentown State Hospital.
(2) Dr. Judy F. Grem ( "Dr. Grem "), Staff Physician 2, Harrisburg State Hospital.
(3) Dr. Thomas R. Czarnecki ( "Dr. Czarnecki "), Staff Physician 2. It is
administratively noted that Dr. Czarnecki is employed at the Harrisburg State
Hospital.
(4) Dr. Ronald H. Friedman ( "Dr. Friedman "), Physician Specialist in Internal
Medicine, Norristown State Hospital.
(5) Dr. Benjamin A. Corteza ( "Dr. Corteza"), Supervisory Physician, Danville State
Hospital.
(6) Dr. Allen Kirk ( "Dr. Kirk "), Psychiatrist Supervisor, Harrisburg State Hospital.
(7) Dr. Alan S. Franklin ( "Dr. Franklin "), Podiatrist, Norristown State Hospital.
(8) Dr. J. A. Kleponis ( "Dr. Kleponis "), Dentist, Danville State Hospital.
As to the foregoing individuals, you submitted job classification specifications that you
identified as job descriptions for the above individuals. The job descriptions were incorporated
by reference in the Advice. The job descriptions are likewise incorporated herein by reference.
You noted that you would not be submitting any further information as to the PDA members
employed by DOC.
With regard to DPW, you stated that only professionals employed by DPW's Office of
Mental Health and Substance Abuse Services ("OM ) have been required by DPW to
file Statements of Financial Interests pursuant to the Ethics Act. You further stated that not all
of the physicians working at OMHSAS- administered institutions have been asked to file the
forms. Rather, DPW notified you that "the 'required to file' designation was assigned to all
physicians, dentists and psychiatrists who write prescriptions, or who are involved in any wa
with recommending or determining which drugs state hospitals should purchase and use.
(Spear letter of March 12, 2004, at 3).
Spear, 04 -011
June 22, 2004
Page 3
Based upon the submitted information, you asserted that Drs. Thomas, Grem,
Czarnecki, Friedman, Corteza, Kirk, Franklin, and Kleponis are not "public employees"
responsible for filing Statements of Financial Interests pursuant to the Ethics Act.
Advice of Counsel, 04 -530 determined that all of the professionals enumerated above,
with the exception of Dr. Thomas, are "public employees" subject to the Ethics Act and the
Regulations of this Commission, and particularly the requirements for filing Statements of
Financial Interests. The Advice determined that Drs. Grem, Czarnecki, Friedman, Corteza,
Kirk, Franklin, and Kleponis, in their respective capacities, have the authority to take or
recommend official action of a nonministerial nature that satisfies subparagraph (5) of the
statutory definition of "public employee" (pertaining to "any other activity where the official
action has an economic impact of greater than a de minimis nature on the interests of any
person" (65 Pa.C.S. § 1102)), as well as the criteria set forth in this Commission's Regulations
for determining status as a public employee. 51 Pa. Code § 11.1.
By letter dated May 17, 2004, you appealed a portion of Advice of Counsel, 04 -530,
specifically with respect to the Advice's determination that Drs. Grem, Czarnecki, Friedman,
Corteza, Kirk, Franklin, and Kleponis are "public employees" required to file Statements of
Financial Interests pursuant to the Ethics Act. You stated that you were not appealing the
Advice's determination that Dr. Thomas, in his capacity as a Staff Psychiatrist, is not a "public
employee" within the meaning of the Ethics Act.
By letter dated May 20, 2004, you were notified of the date, time and location of the
public meeting at which your request would be considered.
On June 3, 2004, this Commission received a submission from Thomas J. Burk,
Program Office Representative of OM HSAS. Per the submission, OM HSAS agrees with the
Advice of Counsel's determination that Drs. Grem, Czarnecki, Friedman, Corteza, Kirk,
Franklin, and Kleponis are "public employees" required to file Statements of Financial Interests
pursuant to the Ethics Act. However, OMHSAS disagrees with the Advice of Counsel's
determination that Staff Psychiatrist Dr. Thomas is not a public employee subject to the
financial disclosure requirements of the Ethics Act. The submission states that Dr. Thomas
has the authority to prescribe indicated "treatment orders," including autonomy to prescribe
medication to patients without interference from his supervisor. Additionally, the submission
states that per the job description, a Staff Psychiatrist is a "Team Leader" with full
responsibility and authority to make all decisions to provide psychiatric care to assigned
patients. Noting the high cost to state hospitals, and consequently, to Pennsylvania
taxpayers, of prescribed medications for patients in state hospitals, and the need to ensure
that every check and balance is in place to hold the prescribing employees accountable,
OMHSAS requests that this Commission issue a formal finding that Dr. Thomas, as a Staff
Psychiatrist, is a public employee subject to the Ethics Act and the requirements for filing
Statements of Financial Interests under the Ethics Act.
At the public meeting on June 9, 2004, you and DPW representatives appeared and
offered commentary, which may be fairly summarized as follows.
On the procedural issue of whether this Commission may review the status of Dr.
Thomas, you argued that: (1) DPW is neither an appellant nor an intervenor and lacks
standing in this proceeding; and (2) this Commission lacks jurisdiction to consider the status of
Dr. Thomas because Dr. Thomas did not appeal the Advice of Counsel. DPW Assistant
Counsel Peter Garcia argued that: (1) DPW did not have notice in order to file a timely
intervention; and (2) this Commission has discretion to review Dr. Thomas's status through its
authority to conduct a de novo review of the entire Advice of Counsel and to correct any
errors.
With regard to the substantive issues, you argued that:
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June 22, 2004
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(1) Physicians who perform general medical work in the state institutions do not fall
within the scope of the "public employee" definition;
(2) Although the supervisory positions include duties that would probably bring
such employees within the Ethics Act's definition of "public employee," this
Commission should nevertheless determine that such employees are not
covered by the Ethics Act because DPW did not require persons in such
positions to file Statements of Financial Interests until approximately two years
ago;
(3) This Commission's Regulations do not list these positions among examples of
positions typically covered or not covered by the Ethics Act;
(4) Persons in these positions are insulted by the suggestion that their acceptance
of a sandwich or tickets to a sporting event from a drug company would impact
upon their prescription decisions;
(5) Persons in these positions are subject to discipline by the Commonwealth as
their employer and by licensing boards as to professional oaths /codes; and
(6) If the Commonwealth does not want persons in these positions to accept
anything from drug companies, the Commonwealth should issue a rule to that
effect, rather than require persons in these positions to file Statements of
Financial Interests.
Thomas Burk of OMHSAS argued that:
Persons in all of these positions have free reign to prescribe medications and to
direct treatment;
The exercise of such authority by persons in these positions has a large
economic impact upon the Commonwealth; and
Drug companies have become more aggressive in trying to push their
medications, and persons in these positions should be required to provide
disclosure by filing Statements of Financial Interests.
III. 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
that the requestor has submitted. In issuing the advisory based upon the facts that the
requestor has submitted, this Commission does not engage in an independent investigation of
the facts, nor does it speculate as to facts that 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.
Our review of this matter is de novo: "De novo review entails, as the term suggests, full
consideration of the case anew. The reviewing body is in effect substituted for the prior
decision maker and redecides the case." D'Arciprete v. D'Arciprete, 323 Pa. Super. 430, 470
A.2d 995 (1984) (citations omitted). See also, Hayes v. Donohue Designerkitchen, Inc., 2003
Pa. Super. 84, 818 A.2d 1287 (2003); Commonwealth v. Krut, 311 Pa. Super. 64, 457 A.2d
114 (1983); In re Audit of School District, 354 Pa. 232, 47 A.2d 292 (1946).
We shall first address the procedural issue, specifically, the issue of whether we may
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June 22, 2004
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review the status of Dr. Thomas, who did not appeal from the Advice of Counsel. Although an
appeal from an Advice of Counsel is subject to de novo review, we consider the instant matter
to essentially consist of multiple requests for advice consolidated and presented through you.
Thus, the appeal by some such individuals does not force an unwanted appeal upon Dr.
Thomas. Because the issue of Dr. Thomas' status under the Ethics Act is not properly before
us, we shall not review it at this time. However, we would note that as Dr. Thomas employer,
DPW is free to amend any inaccuracies in his job description and to seek further review by
this Commission in a proper procedural posture. It is generally noted that amendment of ajob
description may result in a change in status under the Ethics Act.
The following provisions of the Ethics Act are pertinent to our review of the seven
individuals who appealed from the Advice of Counsel.
The Ethics Act defines the term "public employee" as follows:
§ 1102. 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 subsidies;
(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 minimis nature on
the interests of any person.
The term shall not include individuals who are employed by this
Commonwealth or any political subdivision thereof in teaching as
distinguished from administrative duties.
65 Pa.C.S. § 1102.
The Regulations of the State Ethics Commission similarly define the term "public
employee" and set forth the following additional criteria:
(ii) The following criteria will be used, in part, to
determine whether an individual is within the definition of "public
employe ":
(A) The individual normally performs his responsibility in the
field without onsite supervision.
(B) The individual is the immediate supervisor of a
person who normally performs his responsibility in the field
without onsite supervision.
(C) The individual is the supervisor of a highest level
field office.
(D) The individual has the authority to make final
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June 22, 2004
Page 6
decisions.
(E) The individual has the authority to forward or stop
recommendations from being sent to the person or body with the
authority to make final decisions.
(F) The individual prepares or supervises the preparation of
final recommendations.
(G) The individual makes final technical recommen-
dations.
(H) The individual's recommendations or actions are an
inherent and recurring part of his position.
(I) The individual's recommendations or actions affect
organizations other than his own organization.
(iii) 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.
(iv) Persons in the following positions are generally
considered public employes:
(A) Executive and special directors or assistants
reporting directly to the agency head or governing body.
(B) Commonwealth bureau directors, division chiefs or
heads of equivalent organization elements and other
governmental body department heads.
(C) Staff attorneys engaged in representing the
department, agency or other governmental bodies.
(D) Engineers, managers and secretary-treasurers acting as
managers, police chiefs, chief clerks, chief purchasing agents, grant
and contract managers, administrative officers, housing and building
inspectors, investigators, auditors, sewer enforcement officers and
zoning officers in all governmental bodies.
(E) Court administrators, assistants for fiscal affairs and
deputies for theminorjudiciary.
(F) School superintendents, assistant superintendents,
school business managers and principals.
(G) Persons who report directly to heads of executive,
legislative and independent agencies, boards and commissions
except clerical personnel.
(v) Persons in the following positions are generally not
considered public employes:
(A) City clerks, other clerical staff, road masters, secretaries,
police officers, maintenance workers, construction workers,
equipment operators and recreation directors.
(B) Law clerks, court criers, court reporters, probation
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June 22, 2004
Page 7
officers, security guards and writ servers.
(C) School teachers and clerks of the schools.
51 Pa. Code § 11.1.
Status as a "public employee" subject to the Ethics Act is determined by an objective
test. The objective test applies the above definition and criteria to the powers and duties of the
position itself. Typically, the powers and duties of the position are established by objective
sources that define the position, such as the job description, job classification specifications,
and organizational chart. Thus, the objective test considers what an individual has the
authority to do in a given position, rather than the variable functions that the individual may
actually perform in that position. See, Philips v. State Ethics Commission, 470 A.2d 659 (Pa.
Commw. Ct. 1984); Mummau v. Ranck, 531 Fed. Supp. 402 (E.D. Pa. 1982); Shienvold,
Opinion 04 -001; Shearer, Opinion 03 -011. Furthermore, the Commonwealth Court of
Pennsylvania has directed that coverage under the Ethics Act be construed broadly and that
exclusions under the Ethics Act be construed narrowly. See, Phillips, supra.
Applying the objective test, we shall now review the job descriptions for Drs. Grem,
Czarnecki, Friedman, Corteza, Kirk, Franklin, and Kleponis.
First, with respect to Dr. Grem and Dr. Czarnecki, it is clear that in their capacities as
Staff Physicians 2, they have the ability to take or recommend official action with respect to
subparagraph (5) within the definition of "public employee" as set forth in the Ethics Act, 65
Pa.C.S. § 1102. This conclusion is supported by the following authority /responsibilities set
forth in the job description: overseeing the clinical operations in a mental health hospital,
mental retardation center or youth development center infirmary; participating on teams in
formulating individual treatment program plans; assigning and reviewing the work of
physicians and /or other professional and nonprofessional nursing care staff; making medical
decisions regarding admissions or referrals of patients; prescribing medical treatment;
ordering supplies; recommending referral of patients to medical specialists or to other health
care facilities; and participating in the formulation of policies and procedures of medical care
in accordance with appropriate accreditation, certification and regulatory authorities. While
we need go no further to conclude that these individuals are public employees subject to the
Ethics Act, we would parenthetically note that given the authority of Staff Physicians 2 to
order supplies, subparagraph (1) of the definition of "public employee" (pertaining to
contracting or procurement) would also be satisfied. The authority /responsibilities of Staff
Physicians 2 would also meet the criteria for determining the status of these individuals as
public employees under the Regulations of this Commission, specifically at 51 Pa. Code, §
11.1, "public employee," subparagraph (ii).
Second, as to Dr. Friedman, a Physician Specialist in Internal Medicine, we determine
that Dr. Friedman's job description establishes that he has the ability to take or recommend
official action with respect to subparagraph (5) within the definition of "public employee" as set
forth in the Ethics Act, 65 Pa.C.S. § 1102. Examples of work that reflect that Dr. Friedman
engages in activities where his official action has an economic impact of greater than a de
minimis nature on the interests of person(s) include the following: assigning and reviewing
the work of other physicians, interns, registered nurses, nursing assistants, physician
assistants and other professional and non - professional personnel; examining and prescribing
an appropriate course of medical care and treatment; prescribing necessary medical
treatments; and making medical decisions and referrals of patients /individuals. The foregoing
activities establish Dr. Friedman's status as a "public employee" under the definition of the
term at Section 1102 of the Ethics Act as well as the Regulations of this Commission at 51
Pa. Code § 11.1, "public employee," subparagraph (ii).
Third, with regard to Dr. Corteza, a Supervisory Physician, we determine that the job
description of Dr. Corteza establishes that he has the ability to take or recommend official
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June 22, 2004
Page 8
action with respect to subparagraph (5) within the definition of "public employee" as set forth
in the Ethics Act, 65 Pa.C.S. § 1102. This conclusion is supported by the following
authority /responsibilities set forth in the job description: supervising staff physicians or
physician specialists and interns, and directing the issuance of standing orders for nursing
and interdisciplinary direct care and treatment staff to implement the prescribed medical
regime; assigning and reviewing the work of other physicians, interns, registered nurses and
other professional and non - professional direct care and treatment personnel; establishing
work schedules and assigning, directing, and evaluating the work performed by staff
physicians or physician specialists and interns; examining and admitting new patients, making
medical decisions and referrals on committed patients; referring patients /individuals requiring
health care services not available on site to appropriate health care resources for treatment,
and monitoring and evaluating medical services provided; receiving grievances and
complaints, conducting initial investigation into causes and conditions, discussing with
employee and resolving or recommending resolution to grievances or complaints; authorizing
or assigning overtime; and supervising the preparation of reports and maintenance of medical
records. The foregoing activities establish Dr. Corteza's status as a "public employee" under
the definition of the term at Section 1102 of the Ethics Act as well as the Regulations of this
Commission at 51 Pa. Code § 11.1, "public employee," subparagraph (ii).
Fourth, with regard to Dr. Kirk, based upon a review of his job description, we
determine that in his capacity as a Psychiatrist Supervisor, he has the ability to take or
recommend official action with respect to subparagraph (5) within the definition of "public
employee" as set forth in the Ethics Act, 65 Pa.C.S. § 1102. This conclusion is supported by
the following authority /responsibilities set forth in the job description: supervising the
psychiatric care and treatment of patients in a component of a state hospital or community
psychiatric program; directing the treatment team, making the psychiatric diagnosis and
leading the treatment for an assigned group of patients; developing operational procedures;
supervising, directing and instructing staff psychiatrists, physicians, resident physicians,
nurses, medical students and other professional and non - professional staff in the care and
treatment of the mentally ill; administering or directing the administration of treatment;
participating in developing and coordinating policies and procedures related to psychiatric
services; developing operational procedures pertinent to the conduct of psychiatric treatment
programs within the assigned area(s); supervising staff psychiatrists, staff physicians, and /or
resident physicians; preparing and signing employee performance evaluations; interviewing
prospective employees and recommending employee selection or ranking applicants in terms
of preferability of employment; investigating and resolving or recommending solutions to
grievances or complaints; reviewing and identifying training needs of staff and initiating
training recommendations; reviewing reports of subordinate staff and preparing and
maintaining necessary administrative and clinical records and reports; and testifying as an
expert psychiatric witness in legal proceedings regarding patients. The foregoing activities
establish Dr. Kirk's status as a 'public employee" under the definition of the term at Section
1102 of the Ethics Act as well as the Regulations of this Commission at 51 Pa. Code § 11.1,
"public employee," subparagraph (ii).
Fifth, with regard to Dr. Franklin, a Podiatrist, we determine based upon his job
description that he has the ability to take or recommend official action with respect to
subparagraph (5) within the definition of "public employee" as set forth in the Ethics Act, 65
Pa.C.S. § 1102. This conclusion is supported by the following authority /responsibilities set
forth in the job description: making referrals for care and treatment; ordering various
diagnostic procedures; prescribing a full range of medications; prescribing treatments and
corrective footwear; and preparing and submitting medical billing documents for
reimbursements of services provided. The foregoing activities establish Dr. Franklin's status
as a "public employee" under the definition of the term at Section 1102 of the Ethics Act as
well as the Regulations of this Commission at 51 Pa. Code § 11.1, "public employee,"
subparagraph (u).
Sixth, with regard to Dr. Kleponis, a Dentist, we determine based upon a review of his
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June 22, 2004
Page 9
job description that he has the ability to take or recommend official action with respect to
subparagraph (5) within the definition of "public employee" as set forth in the Ethics Act, 65
Pa.C.S. § 1102. This conclusion is supported by the following authority /responsibilities set
forth in the job description: supervising a dental clinic and its subordinate nonprofessional
staff; participating in the formulation of dental clinic policies and procedures in the areas of
patient services and worksite environment; providing input into the dental clinic's capital
equipment and personnel needs; ordering necessary supplies and equipment; and
supervising dental hygienists, technicians, assistants and /or clerical staff specifically with
regard to completing performance evaluations and processing grievance /disciplinary
activities, as appropriate. We parenthetically note that given the authority of Dentists to
provide input into the dental clinic's capital equipment and personnel needs and to order
necessary supplies and equipment, subparagraph (1) of the definition of "public employee"
(pertaining to contracting or procurement) would also be satisfied. The foregoing activities
establish Dr. Kleponis' status as a "public employee" under the definition of the term at
Section 1102 of the Ethics Act as well as the Regulations of this Commission at 51 Pa. Code
§ 11.1, "public employee," subparagraph (ii).
Thus, in applying the objective test approved by the Commonwealth Court of
Pennsylvania, whereby coverage is determined based upon objective sources that define the
position, such as the job description and job classification specifications, rather than claimed
actual job performance, we determine that Advice of Counsel, 04 -530 correctly determined
that Drs. Grem, Czarnecki, Friedman, Corteza, Kirk, Franklin, and Kleponis are "public
employees" as that term is defined under the Ethics Act and the Regulations of this
Commission. Therefore, as "public employees," Drs. Grem, Czarnecki, Friedman, Corteza,
Kirk, Franklin, and Kleponis are subject to the Ethics Act and are required to file Statements of
Financial Interests pursuant to the Ethics Act.
We reject your arguments to the contrary.
First, as detailed above, the job descriptions clearly establish that the positions held by
Drs. Grem, Czarnecki, Friedman, Corteza, Kirk, Franklin, and Kleponis fall squarely within the
statutory definition and regulatory criteria for determining status as a "public employee" subject
to the Ethics Act.
Second, your assertion that DPW has not required individuals in such positions to file
the forms until recently is irrelevant. This Commission, not DPW, is the administrative agency
with the authority to interpret, administer and enforce the Ethics Act. This Commission, not
DPW, is the administrative agency with the statutory authority to determine status under the
Ethics Act. The fact that until recently, these individuals have not been asked to comply with a
statutory requirement that they are presumed to know does not operate to shield them from
their duty to comply.
As for the lists of examples of covered and non - covered positions in this Commission's
Regulations, they are just that —a few examples. No credible argument may be made that
they are anything else.
As for other ethical requirements applicable to various professions, you are advised
that the Ethics Act prevails and is not superseded by oaths or codes of ethics pertaining to
medical /dental professions. See, 65 Pa.C.S. § 1112.
Finally, as for the purported "insult" of requiring public employees in medical /dental
professions to comply with the Ethics Act, we need only remind you that public service is a
public trust, and the public trust is paramount over perceived privileges or private sensitivities.
530.
Based upon the above analysis, we deny the appeal and affirm Advice of Counsel, 04-
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June 22, 2004
Page 10
Lastly, the propriety of the proposed course of conduct has only been addressed under
the Ethics Act.
IV. CONCLUSION:
Certain individuals employed by the Commonwealth of Pennsylvania, Department of
Public Welfare at various state hospitals in the positions of Staff Physician 2, Physician
Specialist in Internal Medicine, Supervisory Physician, Psychiatrist Supervisor, Podiatrist, and
Dentist, who, based upon their job descriptions, are responsible for taking or recommending
official action of a nonministerial nature that satisfies subparagraph (5) of the statutory
definition of "public employee" (pertaining to "any other activity where the official action has an
economic impact of greater than a de minimis nature on the interests of any person" (65
Pa.C.S. § 1102)), are "public employees" subject to the provisions of the Public Official and
Employee Ethics Act ( "Ethics Act'), 65 Pa. C.S. § 1101 et seq. Accordingly, such individuals
must file a Statement of Financial Interests each year in which they hold their positions and
the year following their termination of such service.
If such individuals have not already done so, they must file a Statement of Financial
Interests within 30 days of the mailing of this Opinion.
The appeal is denied. Advice of Counsel, 04 -530 is affirmed.
The propriety of the proposed conduct has only been addressed under the Ethics Act.
Pursuant to Section 1107(10), the person who acts in good faith on this Opinion issued
to him shall not be subject to criminal or civil penalties for so acting provided the material facts
are as stated in the request.
This letter is a public record and will be made available as such.
Finally, a party may request the Commission to reconsider its Opinion. The
reconsideration request must be received at this Commission within thirty days of the mailing
date of this Opinion. The party requesting reconsideration must include a detailed explanation
of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code §
21.29(b).
By the Commission,
Louis W. Fryman
Chair
Commissioner Michael J. Healey concurs in part and dissents in part, concurring as to the
status of the Physician Specialist in Internal Medicine, Supervisory Physician, Psychiatrist
Supervisor, and Dentist as public employees subject to the Ethics Act, and dissenting as to
the status of the two Staff Physician 2 positions and the Podiatrist position as public
employees subject to the Ethics Act.