BEFORE
THE NEVADA COMMISSION ON ETHICS
IN THE MATTER OF THE REQUEST FOR OPINION concerning the conduct of
GERALD SIEREN, former State Inspector, Nevada Division of Occupational Safety and Health
This
Opinion is in response to the request for an opinion filed with the Nevada
Commission on Ethics (Commission) by Pioneer Chlor Alkali Company, Inc.
(Pioneer) concerning Mr. Gerald Sieren, a former State Inspector for the Nevada
Division of Occupational Safety and Health, later known as the Occupational
Safety and Health Enforcement Section, Division of Industrial Relations,
Department of Business and Industry of the State of Nevada (OSHES).
OSHES enforces the provisions of NRS Chapter 618, also known as the
Nevada Occupational Safety and Health Act.
The issue presented is whether Mr. Sieren violated the Code of Ethical
Standards as a result of his participation as an expert witness against Pioneer
in a private lawsuit for which he was compensated concerning his knowledge,
observations, and state documents reviewed or drafted by him as an OSHES
inspector.
A
just and sufficient cause hearing on the request was held on May 19, 1995, in
Las Vegas, Nevada, at which time the Commission received documentary evidence
regarding the subject matter of this Opinion and heard testimony from Mr. Sieren,
Mr. Kevin R. Stolworthy, counsel for Pioneer, and Mr. Larry C. Johns, legal
counsel to the plaintiff in a personal injury lawsuit filed against Pioneer as a
result of the chemical spill. Mr.
Sieren did not waive his statutory right to confidentiality pursuant to NRS
281.511(4) and the hearing was therefore not open to the public.
Prior to the conclusion of the hearing Mr. Sieren stipulated that the
record of the proceedings be merged into a full hearing on the merits, and,
accordingly, the hearing proceeded on the merits.
At the conclusion of the testimony and the introduction of exhibits, the
Commission closed the record and proceeded to deliberation. Based upon the
foregoing, the Commission makes the following Findings of Fact and issues the
Decision that follows.
FINDINGS
OF FACT
1.
Gerald Sieren is a 1963 graduate of the University of Kansas where he
received a Bachelor's Degree in Aeronautical Engineering.
He subsequently obtained a Master's Degree in Electrical Engineering from
the U.S. Naval Postgraduate School in Monterey,
California. His experience in
chemical plant maintenance and operating experience stems primarily from his
Navy experience as a steam plant operator on board ship from 1964 through 1967,
and as project manager on Mare Island, Vallejo, California for refueling naval
submarines from 1972 through 1978.
2.
From June 1985 until June 1989, Mr. Sieren was employed by the State of
Nevada as an OSHES compliance safety engineer.
In this capacity, Mr. Sieren conducted industrial inspections and
accident investigations, including the 1988 PEPCON explosion in the Basic
Management Industries (BMI) Industrial Complex in Henderson, Nevada which
prompted State concern about other facilities of this nature whose operations
have the capacity to contaminate large, populated areas.
Accordingly, a number of OSHES inspectors were assigned to conduct
inspections of the damage to the other plants in the BMI complex, including the
ICI/Stauffer chlorine plant, later to become Pioneer.
Inspectors cited Pioneer for violations of Nevada safety regulations
related to the improper venting of pressure relief valves on certain chlorine
storage tanks. Mr. Sieren was
assigned to further inspect and resolve these problems.
In the process, Mr. Sieren became aware that serious problems affecting
public safety existed at Pioneer.
3.
During the course of the
inspection and violation abatement efforts at the facility, Mr. Sieren
prepared several complex memorandums to Pioneer officials relating to the
plant's safety at that time. Mr.
Sieren relied upon several scientific reference texts to assist him with his
mathematical formulas and calculations. One
of the documents, a memorandum dated October 17, 1988, contained a 29-page
discussion with mathematical calculations with respect to the reliability of the
pressure relief valves on Pioneer's chlorine storage tanks.
Mr. Sieren's analysis concluded that the plant was statistically 35 years
overdue for a major spill, based on the data supplied by Pioneer.
On May 15, 1989, and June 7, 1989, Mr. Sieren prepared additional OSHES
memoranda concerning his observations
that the Plant was in poor condition and was not being maintained in accordance
with accepted standards and therefore posed a threat to the safety of the
community. His memorandum of May
15, 1989, detailed some of the problems observed and made recommendations on how
to resolve them.
4.
From approximately July 1989 to March 31, 1991, Mr. Sieren was employed
by the State Industrial Insurance System (SIIS) as an Industrial Hygienist.
Though in that capacity he primarily investigated inhalation problems and
similarly related health-based claims, due to his electrical background he was
oftentimes called upon to investigate matters associated with electricity or
electrical exposure and shock.
5.
While employed by the State of Nevada, Mr. Sieren previously testified as
a witness in civil lawsuits concerning information obtained in OSHES
inspections. On at least two
occasions he was directed to testify by his supervisor, and on one occasion was
provided a state-paid attorney to accompany him to a deposition.
While employed by SIIS, he had once been paid witness fees for providing
testimony concerning a respiratory claim.
6.
On April 1, 1991, Mr. Sieren commenced employment with the State
Department of Conservation and Natural Resources, Nevada Division of
Environmental Protection (NDEP), where he currently serves as a Staff Engineer.
7.
On or about May 6, 1991, Pioneer vented and discharged approximately 42
tons of liquefied chlorine into the environment from its plant.
Within 24 hours following the leak, Mr. Sieren was sent in his capacity
as NDEP Engineer to the plant to evaluate its general overall condition and was
given a tour of the plant in conjunction with OSHES' and Pioneer's efforts to
bring the plant back on line. Mr.
Sieren also attended a briefing concerning the repairs and modifications that
had been made to the plant. Although
his day-to-day work assignment at NDEP focused on the regulation of hazardous
and radioactive waste at the Nevada Test Site, the NDEP Hazardous Waste
Management Bureau Chief, Mr. Verne Rosse, requested Mr. Sieren to keep an eye on
the situation at the plant during the recovery phase following the chlorine
spill to make sure that Pioneer followed NDEP regulations in restarting the
plant and to assess the plant's readiness to resume production of chlorine. During his investigation, which was conducted alone, Mr.
Sieren spent approximately two months on a daily basis at the plant where OSHES
employees and investigators were also present.
8.
On June 5, 1991, Mr. Sieren issued a memorandum to Mr. Rosse in which he
documented his findings and concluded that although the plant was ready to load
chlorine and perform recirculation, because the plant had too many uncorrected
deficiencies and had not solved all of the problems as identified in 1988 and
1989, he did not consider it ready to resume full-scale production of chlorine.
9.
On September 30, 1992, Brian J. Valentine, a resident of the community
adjacent to the plant, filed a personal injury action in state district court
against Pioneer on theories of negligence and strict liability (the Valentine
case). The action was subsequently removed to the Federal District
Court for the District of Nevada on the basis of federal diversity jurisdiction.
Legal counsel to Mr. Valentine was provided by Mr. Larry Johns of Las Vegas.
10.
In August 1994, Mr. Sieren received a telephone call from Mr. Johns who
informed Mr. Sieren that in the discovery process he had obtained a copy of Mr.
Sieren's October 1988 memorandum from Pioneer and that he had reviewed his
prediction that the plant would experience a major spill. Mr. Sieren discussed
his history of involvement with Pioneer and described his observations
concerning the plant while he was at OSHES as well as those made during
subsequent assignments. According
to Mr. Sieren, there was no indication at this time that he would be called as a
witness in the Valentine case, and he did not agree to be an expert
witness to testify about any of the activities in which he was involved while
employed by OSHES.
11.
After Mr. Johns identified
Mr. Sieren as an expert witness for the plaintiff in the lawsuit to testify to
the cause of the 1991 chlorine leak at the plant, Pioneer noticed Mr. Sieren's
deposition for October 19, 1994, and served him with a subpoena. Mr. Sieren thereafter telephoned Mr. Johns to learn that Mr.
Johns had identified Mr. Sieren as an expert witness on the basis of the October
1988 OSHES memorandum and that Mr. Stolworthy would be taking his deposition to
learn what he knew about the plant and whether it would have a bearing upon Mr.
Valentine's lawsuit. Because a
major spill at Pioneer did in fact occur within three years following Mr.
Sieren's prediction in his October memorandum, this document took on major
significance to the litigation.
12.
Mr. Sieren informed Mr.
Johns that because it had been five or six years since he had written that
document, he did not feel qualified to testify intelligently concerning its
contents without reviewing the memorandum as well as its supporting references
and other documents, some of which he had prepared [OSHES documents].
Mr. Sieren explained that it was necessary that he be paid for the time
spent in reviewing these materials. He
could not do the work on state time; he was no longer working for OSHES. Mr.
Johns therefore agreed to compensate Mr. Sieren $100.00 an hour to review these
documents in preparation for the deposition and subsequently paid him $1500.00
for 15 hours of his time. A portion
of Mr. Sieren's time was spent reviewing his 1991 memorandum concerning the
status of Pioneer's readiness to restart chlorine production after the spill
based on personal observations made at the plant while employed by NDEP.
Because Mr. Sieren was under the impression that the state permitted him
to take civil leave in order to testify, he informed Mr. Johns that it was not
necessary that he be compensated for the time spent during the actual
deposition. Mr. Sieren and Mr.
Johns did not discuss whether Mr. Sieren would testify at trial if the case went
to trial.
13.
On October 7, 1994, OSHES
filed a motion for a protective order seeking to relieve Mr. Sieren from the
subpoena on the ground that NRS 618.365(2) barred him from testifying in a
lawsuit concerning information he had obtained or received in his former
capacity as OSHES inspector with regard to any employer or incident. NRS
618.365(2) provides that information obtained by OSHES in connection with an
OSHES investigation “must not be admitted as evidence in any civil action
other than an action for enforcement, variance hearing or review under this
chapter." Because Pioneer was
not presently involved in any health or safety enforcement action brought by
OSHES, OSHES asserted that Mr. Sieren's testimony was prohibited by statute.
14.
On October 31, 1994, U.S. Magistrate Judge Robert J. Johnston granted
OSHES' motion for a protective order, ruling that pursuant to NRS 618.365(2) Mr.
Sieren's testimony in the Valentine case "shall not include any
observations or information received by him as an OSHES inspector, or by OSHES
in connection with OSHES' investigation of Pioneer's chemical plant."
The order did not, however, preclude Mr. Sieren from otherwise testifying
as either an expert or lay witness in the matter.
15.
On November 1, 1994, Mr. Stolworthy proceeded with Mr. Sieren's
deposition. He asked Mr. Siren many
questions about what he knew about Pioneer, warning him repeatedly not to base
his answers on OSHES documents, observations, or his experience as an OSHES
inspector, but rather on other documents or information that Mr. Sieren may have
reviewed. Mr. Sieren described the
June 5, 1991, NDEP memorandum he had addressed to Mr. Rosse as well as other
documents he had reviewed, but explained that he had come to the deposition
primarily prepared only to answer questions concerning his 1988 OSHES memorandum
and that in view of Magistrate Johnston's order, he needed additional time to
review all other documents to enable him to testify meaningfully and
intelligently. Those documents
included Pioneer's operating logs, maintenance records, employee interviews, and
reports prepared by Failure Analysis Associates, which was under contract to
Pioneer. To facilitate Mr. Sieren's
review of such materials, Mr. Stolworthy and Mr. Johns stipulated to continue
the deposition to December 1-5, 1994.
16.
Mr. Johns agreed to provide Mr. Sieren with the documents he wanted him
to review and told him to keep track of his time so that he could be
compensated. Although Mr. Sieren
was under the impression that during the instant deposition he was on civil
leave,[1]
he explained that because his deposition was continued to review documents on
his own time, he did not believe it fair that the state of Nevada grant him
civil leave for the subsequent depositions.
He believed it appropriate to take annual leave for that purpose and
desired compensation for the use of his annual leave. Mr. Johns informed Mr. Sieren that because it was customary
for the law firm to compensate a subpoenaed witness, he should bill Mr.
Stolworthy's firm for the additional time that would be spent during the
continued deposition.
17.
Following the first day of his deposition, Mr. Sieren was informed by his
supervisor, Mr. Dick Serdoz, that he had received a call from Kent Hanson,
NDEP's deputy attorney general, who had received a call from Mr. Stolworthy
inquiring whether Mr. Sieren was on annual leave during the time of that
deposition. Upon learning that Mr.
Serdoz had incorrectly informed Mr. Hanson that Mr. Sieren had taken annual
leave for such deposition, Mr. Sieren and Mr. Serdoz made a conference call to
Mr. Hanson to inform him that Mr. Sieren had been on civil leave and inquired
whether it had been proper for Mr. Sieren to accept compensation for his review
of documents and to be an expert witness. Mr.
Hanson responded that he was not Mr. Sieren's personal attorney and advised him
to consult private counsel.
18.
By December 15, 1994, when Mr. Sieren was again deposed by Mr. Stolworthy,
Mr. Sieren had reviewed approximately 2,000 pages of documents obtained from
Pioneer through discovery. Mr.
Sieren testified as to his opinions and their basis, which included in addition
to his own post-inspection of the site, documents provided by the U.S.
Department of Labor; a two-volume reference text standard for process safety,
entitled Loss Control in the Process Industries, by Mr. Frank Lees; a
pamphlet published by the Chlorine Institute (pamphlet no. 67), entitled
"Safety Guidelines for the Manufacture of Chlorine"; and the
scientific reporting done by persons who kept the logbooks of the Failure
Analysis Associates, the group which investigated the plant following the May
1991 incident. Mr. Sieren also
referred to a PHM audit conducted by the ICI, prior owners of the plant, which
appeared to have been conducted in 1988. In
addition, Mr. Sieren supported his opinions with information obtained from
plant-employee interviews and other deposition testimony.
19.
On the basis of the information reviewed, Mr. Sieren testified that the
plant was "shoddily" operated and maintained, especially, the
liquefaction and the storage components. It
was Mr. Sieren's opinion that the failure of the isolation valve on the chlorine
storage tanks that enabled chlorine gas to escape suddenly over a period of less
than 12 hours was neither accidental nor the result of normal equipment wear and
tear, but the result of faulty maintenance and operation of the plant.
Mr. Sieren testified that plant tools and measuring equipment were either
nonexistent, obsolete or in poor condition and that plant employees were neither
well-trained nor supplied with air respirators.
Mr. Sieren concluded that had a different, more reliable valve been used
for the isolation valve on the specific storage tank in issue, the chlorine leak
would not have occurred because the valve would
have operated properly. Had the
employees been prepared for that incident by casualty control drills and the
possession of blanks, tools, airpacks, and other equipment prestaged, they would
have been able to seal off the leak much sooner.
Further, had Pioneer incorporated the means, which Mr. Sieren considered
an industry standard, to vent off the pressure in the storage tank to some type
of gas absorption unit (i.e., a "scrubber"), the leak would probably
have been much less severe.
20.
Because of Magistrate Johnston's order, Mr. Sieren testified that he
could not testify as to whether Pioneer had a scrubber gas absorption unit or
scrubber system at the time of the May 6, 1991, leak.
He stated however, that he did not see one at the time of his
post-inspection of the site on behalf of NDEP, and that if there had been a
scrubber there, it would have been obvious.
Based upon employee interviews following the spill and the formation of
similar chemicals, there was evidence of previous incidents of high levels of
primary liquefiers expected to cause internal corrosion in some of the same
places that the internal corrosion was found as a result of the May 1991
incident.
21. On December 17, 1994, Mr. Sieren submitted a $500.00 bill to Mr. Stolworthy for the five hours of deposition testimony he provided on December 15, 1994.
22.
On February 3, 1995, Mr. Stolworthy informed Mr. Johns that based upon
Pioneer's opinion that Mr. Sieren had acted unethically by accepting money in
exchange for assisting in the investigation of the plaintiff's case, the $500.00
requested by Mr. Sieren would be withheld pending a ruling on the matter by the
Commission.
23.
On February 6, 1995, Pioneer filed a motion to prohibit Mr. Sieren from
testifying as an expert and lay fact witness in the Valentine action.
24.
Upon learning of Mr. Stolworthy's Opinion Request to the Commission, Mr.
Sieren immediately ceased all participation in the Pioneer civil suit pending a
ruling by the Commission on the matter. In
addition, he sought clarification of the issue before the NDEP Committee on
Ethics, which was formed on March 14, 1995, approximately two months after Mr.
Stolworthy's Opinion Request to the Commission.
25.
On March 23, 1995, United States Magistrate Judge Roger L. Hunt ordered
that while Mr. Sieren could not testify as to any of his observations or expert
opinions in his capacity as an NDEP agent or OSHES investigator, he was not
prohibited from providing testimony as a lay, fact witness to his firsthand
observations while an NDEP agent.
26.
On March 27, 1995, Mr. Stolworthy received a ruling from the NDEP ethics
committee that Mr. Sieren may testify about the contents of the June 1991 NDEP
memorandum at the civil trial if he were subpoenaed because documents in NDEP
files are public information and available for public inspection and NAC
284.758 was not applicable. It also
stated, however, that Mr. Sieren could not serve as an expert witness against
Pioneer in the same civil action, regardless of whether he was paid for
testifying.
27.
Mr. Sieren conceded to the Commission that he made an error in judgment
in participating in the civil case as an expert witness and that he is not
entitled to $500.00 from Mr. Stolworthy's law firm for his deposition testimony.
ANALYSIS
AND OPINION
The
Nevada Commission on Ethics takes jurisdiction in this matter pursuant to NRS
281.511(2). Based upon the Findings
of Fact, the Commission concludes that Mr. Sieren is a public employee as
defined by NRS 281.436.
The question before the Commission was whether Mr. Sieren's request and acceptance in a civil lawsuit of compensation for observations, information, or review of documents received or drafted by him in his capacity as a government investigator, which would serve the basis of his testimony in the matter, violated NRS 281.481(1), (2) and (5).[2]
Mr.
Sieren was originally subpoenaed to testify at a deposition regarding
information that he received or obtained while working as an employee of OSHES
in the course of violation abatement efforts conducted at Pioneer after the
issuance of a serious citation on or about May 17, 1988. Although Mr. Sieren testified that he had not agreed to
testify as an expert witness and did not understand that he would be called in
the Valentine litigation as an expert witness until after he was
subpoenaed for deposition by Pioneer's legal counsel, the plaintiff's attorney
identified him as an expert witness whom he intended to call at trial because of
Mr. Sieren's working knowledge of the plant and educational background. Mr.
Sieren accepted $1,500.00 in compensation for the time spent to refresh his
recollection in reviewing governmental documents as well as reports of his prior
analysis, conclusions, supporting textbook references and personal observations
obtained in his public capacity that would enable him to intelligently testify
concerning his knowledge of safety regulations, recommendations, violations, and
other items within the areas of his expertise as to Pioneer.
It was anticipated that Mr. Sieren's testimony would illustrate and
confirm that Pioneer was aware of inadequacies in its plant that could cause
injury to the general public prior to the 1991 accident.
Analysis
Under NRS 281.481(1)
NRS
281.481(l) provides that a public employee must refrain from seeking or
accepting any employment, engagement, emolument or economic opportunity which
would tend improperly to influence a reasonable person in his position to depart
from the faithful and impartial discharge of his public duties.
The standard is objective, not subjective.
Thus, while it may be that Mr. Sieren himself may not have actually been
influenced against the faithful and impartial discharge of his duties with NDEP,
our inquiry must be whether such a scenario presents a reasonable tendency that
such detrimental influence might occur. We
find that an employee in Mr. Sieren's
position reasonably may be detrimentally influenced by the receipt of private
expert witness fees for testimony regarding information gathered by the employee
in the discharge of his public duties, and thus, that seeking or accepting such
fees would violate NRS 281.481(1).
The
public policy manifest in NRS 281.481(1) as applied in this case is that a
government employee performing critical investigative functions should be
responsible solely to his agency and its mission when making an investigation.
The facts of the matter before us raise the concern that if a
governmental investigator knew that he could be paid privately for testimony
regarding the results of his investigation, then he might tend to investigate
with partiality and bias that would detrimentally color the discharge of his
public duty. To be useful, a
governmental investigation must be objective, fair, and trustworthy, and NRS
281.481(1) properly acknowledges that the promise or potential of private gain
could damage the credibility of an investigation.
In
this matter, Mr. Sieren's investigations of the plant, while with OSHES or NDEP,
were actually untainted by bias because Mr. Sieren was not contacted by Mr.
Johns until over a year had passed since the completion of the more recent NDEP
investigation and over three years had passed since the completion of the OSHES
investigation. It is foreseeable,
however, that a governmental investigation may identify or predict a problem
that in fact later occurs. In this
case, Mr. Sieren's foresight was accurate.
Because of this foreseeability, the rule under NRS 281.481(1) must be
that a governmental investigator cannot testify as a privately paid witness.
In
Tahoe Ins. v. Morrison-Knudson, 84
F.R.D. 362 (D. Idaho 1979), the district court ruled that while the
government-employed experts in that matter could testify as to their firsthand
observations as ordinary lay witnesses, they were prohibited from testifying to
the opinions they formed while serving on an investigatory panel.
For the same reason, the Commission concludes that while Mr. Sieren did
not seek Mr. Johns out to secure his status as a government witness and did not
knowingly or intend to violate any provision of the ethics laws in preparation
for his deposition, he nevertheless violated NRS 281.481(1) by accepting money
to review the documents upon which he would rely as a retained expert witness to
testify against a company that he regulated.
Analysis
Under NRS 281.481(2)
NRS
281.481(2) prohibits a public employee from using his position in government to
secure unwarranted privileges or advantages for himself.
A public employee should not be able to benefit financially from his
position by receiving a fee for the utilization of his knowledge or expertise
obtained through his government employment.
We conclude that because Mr. Sieren's state employment allowed him access
to information upon which he relied in preparing to testify in return for a
prohibited source of income in violation of NRS 281.481(1), his conduct likewise
constituted an "unwarranted privilege or advantage" in violation of
NRS 281.481(2).
Ana
NRS
281.481(5) provides that if a public employee acquires, through his public
duties or relationships, any information which by law or practice is not at the
time available to people generally, he shall not use the information to further
the pecuniary interests of himself or any other person or business entity.
Both prior to and after the 1991 chlorine spill at Pioneer, Mr. Sieren
personally inspected the plant during the course of his regulatory duties.
Mr. Sieren conducted a tour of the plant within 24 hours of the accident
and had spoken to plant employees. As
an employee of NDEP, his functions included observing, reporting, and forming an
opinion as to "whether the plant was in good enough condition to resume
chlorine operations." As a
result, Mr. Sieren had gained unique knowledge and inside information in his
official capacity that was not available to anybody else.
Though
NDEP documents are generally public records,[3]
members of the public were not and would not be provided access to the plant
facilities which would enable them to make personal observations nor would they
be allowed conduct employee interviews. Mr.
Sieren's access to the plant and its employees was unique because of his state
employment. We conclude that the
pecuniary benefit which ultimately inured to Mr. Sieren, as well as the tactical
advantage which may have been provided to Mr. Johns as a result, was prohibited
by NRS 281.481(5).
Special
Issues and Concerns Raised by this Opinion Request
This
matter has raised two issues deserving of additional comment and analysis.
First, it appears to the Commission that the state administrative
procedures should provide guidance for employees such as Mr. Sieren in this
matter. NAC 284.582 allows a civil
servant leave with pay if the employee is subpoenaed to appear as a witness in
court or at an administrative hearing. See
Footnote I supra. Unfortunately,
NAC 284.582 does not provide for the manner of payment for time spent by the
employee in preparation for his or her appearance.
Mr.
Sieren was on civil leave pursuant to NAC 284.582 at the time of his deposition
on November 1, 1994. Following
Magistrate Johnston's protective order prohibiting Mr. Sieren from testifying
with regard to any OSHES documents, observations or experience received as an
OSHES inspector concerning Pioneer, Mr. Sieren requested additional time to
review other information and observations from which his testimony was not
barred under the order. NAC
284.582, as it is presently written, presented Mr. Sieren with the following
options: (1) appear unprepared; (2) review the relevant documents upon which his
testimony may be based using his personal time at no charge; (3) review such
documents on state time; or (4) review such documents for a reasonable fee paid
by the party seeking his testimony. In
this case, the Commission determined that the latter choice, as made by Mr.
Sieren, violated the Code of Ethical Standards notwithstanding his good
intentions.
Because
the effect of this Opinion is to disallow a state employee's receipt of private
payment for his or her preparation time, a state employee who will serve as a
witness will have only the first three choices above. The public interest, however, may best be served by enabling
a state employee to prepare and testify at state expense as a neutral witness in
the interest of finding the truth and a fair resolution of litigation among
private parties. The Commission
suggests that NAC 284.582 be amended to allow state employees to either be
allowed civil leave for the time necessary to prepare for his or her set-vice as
a witness or to be paid by the state for their time necessary to prepare for
their service as witnesses. Such an
amendment should obviate the dilemma faced by Mr. Sieren in this matter.
The
second concern raised by this matter is the treatment accorded Mr. Sieren by
NDEP's deputy attorney general. While
it may be that Mr. Sieren's request for guidance appeared that he was asking for
personal legal advice, we believe that the deputy attorney general should have
advised Mr. Sieren or referred him to this Commission for guidance.
Our concern is that although Mr. Sieren sought his counsel, he did not
receive the counsel deserved so that he may well have avoided most of what now
appears negative about him in this Opinion.
CONCLUSION
The
Commission concludes that Mr. Sieren violated NRS 281.481(1), (2), and (5) in
requesting and accepting compensation as an expert witness for his review of
governmental documents which would support the basis of his testimony in a
third-party civil lawsuit. Mr.
Sieren's violation was not willful under NRS 281.551(5) because he sought advice
of counsel and was not advised, through no fault of his own, that he could seek
the Commission's advice. Because
this Opinion addresses and resolves an important issue of public policy for the
first time, this Opinion will be made public pursuant to NRS 281.511(4)(f) as it
was in effect at the time that Mr. Sieren's request was filed.
COMMENT
It
is specifically noted that the foregoing Opinion applies only to these specific
facts and circumstances. The
statutory provisions quoted and discussed above must be applied on a
case-by-case basis with results which may vary depending on the specific facts
and circumstances involved.
DATED:
May 6, 1996.
NEVADA
COMMISSION ON ETHICS
By: /s/ THOMAS R. C. WILSON, Chairman
[1]
Nevada's civil leave policy provides that any state employee who is granted
civil leave must be paid his regular state salary while on civil leave and
he may retain any fee paid to him for his service as a witness. The policy
is set forth in NAC 284.582 in pertinent part as follows:
1.
Except as otherwise provided in subsection 2, civil leave with pay must be
granted to any employee who is required, during his normal hours of work, to
serve:
(b)
As a witness in a court or at an administrative hearing unless he is a party
to the action which is not related to his job. The period of the leave must
not be deducted from the balance of his annual leave. An employee who is
granted the leave must be paid his regular salary while on the leave, and he
may retain any fee paid to him for his service as a juror or witness.
2. If an employee, in his official capacity as a state employee and as part of his required duties, serves as a witness during his regular working hours, he shall accept any witness fee offered to him and relinquish it to the agency by which he is employed.
[2]
NRS 281.481(t), (2), and (5) provide as follows:
1.
A public officer or employee shall not seek or accept any gift, service,
favor, employment, engagement, emolument or economic opportunity which would
tend improperly to influence a reasonable person in his position to depart
from the faithful and impartial discharge of his public duties.
2.
A public officer or employee shall not use his position in government to
secure or grant unwarranted privileges, preferences, exemptions or
advantages for himself, any member of his household, any business entity in
which he has a significant pecuniary interest, or any other person.
*
* *
5. If a public officer or employee acquires, through his public duties or relationships, any information with by law or practice is not at the time available to people generally, he shall not use the information to further the pecuniary interests of himself or any other person or business entity.
[3]
NRS 618.341(3) provides as follows:
3.
The division shall keep confidential:
(a)
The name of any employee who filed any complaint against an employer or who
made any statement to the division concerning an employer; and
(b)
Any information which is part of a current investigation by the division,
but the fact that an investigation is being conducted is public information.
For the purposes of this subsection, “current investigation” means any investigation conducted before the issuance of a citation or notice of violation or, if no citation or notice of violation is issued, an investigation which is not closed.