IN THE MATTER OF LOUIS ABRAMO
COIB Case No. 2000-638
April 23, 2001
SUMMARY: The Board issued a public warning letter to Louis Abramo, in which the Board reminded public servants who are licensed plumbers that they may file with the Department of Buildings (“DOB”) Plumbing Alteration and Repair Slips, which involve minor plumbing jobs, but not Plumbing Affidavits, involving major repairs in connection with building permits, unless they first obtain waivers from the Conflicts of Interest Board.
STIPULATION AND DISPOSITION
Dear Mr. Abramo,
The Conflicts of Interest Board (the "Board") has learned that you are employed as a Sewage Treatment Worker at the New York City Department of Environmental Protection ("DEP") and also moonlight as a Master Plumber who has approximately 202 outstanding Plumber's Affidavits pending at the New York City Department of Buildings ("DOB"). You have agreed to make this letter public in order to provide guidance to other City workers in similar situations.
We refer you to Board of Ethics Opinion 664, a copy of which is attached hereto. That opinion covers City employees who have master plumbers' or electricians' licenses and wish to moonlight as plumbers or electricians. The opinion classifies the plumbers' filings to DOB into two groups: "Plumbing Alteration and Repair Slips'' (which are for minor jobs) and "Plumber's Affidavits'' (which are filed in connection with a building permit and are for major repairs or installations). The opinion further states that City employees who are also licensed plumbers may file Plumbing Alteration and Repair Slips but may not file Plumber's Affidavits. Under the conflicts of interest law, City employees who are also licensed plumbers and who file such Plumber's Affidavits with DOB, without first seeking a waiver from the Conflicts of Interest Board, violate § § 2604(a)(1)(b) and 2604(b)(6) of the New York City Charter (the "Charter"). Those sections state, respectively, that
"No regular employee shall have an interest in a firm which such regular employee knows is engaged in business dealings with the City ...."
"No public servant shall for compensation, represent private interests before any city agency or appear directly or indirectly on behalf of private interests in matters involving the City ...."
In your case, you are both a City employee and a plumber who has filed approximately 314 Plumber's Affidavits for private jobs with the DOB from 1990 to the present. You have self-certified approximately 112 of these Plumber's Affidavits, leaving outstanding approximately 202 Plumber's Affidavits.
The Board is aware that there are numerous City employees who, like you, perform moonlighting work as plumbers. The purpose of this public warning letter is to remind all such employees of the existence of Ethics Opinion 664 and of its requirements. To reiterate, Ethics Opinion 664 provides that City employees who are also licensed plumbers may file Plumbing Alteration and Repair Slips but may not file Plumber's Affidavits. City employees who are licensed plumbers should also be aware that a "waiver" procedure exists under the Charter. Such employees may apply to their agency heads and to the Conflicts of Interest Board for permission to file Plumber's Affidavits at DOB for private jobs.
The reason that the Board is utilizing a public warning letter rather than initiating a formal enforcement action against you is that we are advised that there is a significant number of City employees who moonlight as plumbers and file applications before DOB. We hope that this resolution can serve an important educational function. This resolution is limited to the particular circumstances of this case and does not constitute a waiver by the Board in any other cases of any right to bring enforcement actions as deemed appropriate in its discretion.
Accordingly, the Board hereby advises that employees who moonlight as plumbers may file with DOB Plumbing Alterations and Repair Slips but may not file Plumber's Affidavits. Violations of these requirements can subject the violator to enforcement actions by the Board. Penalties in these enforcement actions include fines of up to $10,000 per violation.
The Board has concluded that no further action is required under the circumstances presented here. This letter should be regarded as a formal reminder of the importance of strict compliance with Chapter 68 of the Charter, which contains the City's ethics law, and the Rules of the Board. Precise compliance with these regulations avoids even the appearance of impropriety and helps to strengthen public confidence in City officials.
In connection with this matter, you have been advised that you have the right to be represented by counsel or any other person, and you freely and voluntarily waived the right to be represented by counsel or any other person in this matter. You consent to waive your statutory right to confidentiality under the City Charter and to permit the Board to make this letter public, as indicated by your signature below.
If in the future you have any questions regarding moonlighting or other issues relating to the conflicts of interest law, please contact the Conflicts of Interest Board staff at 442-1400.
Very truly yours,
Benito Romano
Acting Chair
I hereby waive any right I may have to confidentiality and agree that the Board may make this document public.
Louis Abramo
ATTACHMENT
OPINION NO. 664
We have several inquiries from City employees who have, or who are seeking, Master Plumber's and Master Electrician's licenses. They ask whether filing certain documents with the Department of Buildings and the Department of General Services constitutes appearances before City agencies and would, therefore, be forbidden to them under Charter Section 2604 b(4) which says that City employees may not "represent private interests before any city agency."
We have previously ruled that the filing of "plans" is such an appearance (Opinion No. 156) and so is the filing of affidavits (Opinion No. 56).
Presently a Master Plumber may be required to file either of two different forms to do plumbing work, depending upon the nature and extent of the work to be performed. One of these is called "Application for Plumbing Alteration and Repair Slip." That application carries the statement that it is to be "used only for minor replacements in or additions to the existing plumbing system." No other documents need be filed for this minor work. The other form is called a "Plumber's Affidavit" and is filed in connection with a building permit and its detailed statement of specifications and accompanying plans. This is for major repairs or installations.
It is the opinion of the Board of Ethics that filing the "Application for Plumbing Alteration and Repair Slip" is not an appearance before a City agency but that filing a Plumber's Affidavit in connection with a building permit is such an appearance and therefore a Plumber's Affidavit may not be filed with the Department of Buildings by a City employee.
The application for inspection and certification filed by electricians with the Department of General Services, Division of Public Structures, Bureau of Electrical Control, itemizes the electrical installations to be made and the fees for inspection to be paid thereon without describing the work to be done. Like the Application for Plumbing Alteration and Repair Slip, this falls far short of the affidavits referred to in Opinion No. 56 or the plans referred to in No. 156. Filing this form does not constitute representing private interests before a City agency.
Accordingly, it is our determination that a City employee having a Master Electrician license may file the Application for Inspection and Certification with the Bureau of Electrical Control without incurring a conflict of interests. A Master Plumber may file the Application for Plumbing Alteration and Repair Slip without incurring a conflict. However, it is improper for a plumber to file a Plumber's Affidavit with the Buildings Department. Such filing constitutes "representing private interests before a City agency.
Inasmuch as City employees may do certain work within the City as Master Plumbers or Master Electricians, the issuance of licenses for those trades to otherwise qualified City employees is proper.
Powell Pierpoint
Barbara Scott Preiskel
Evan A. Davis
Frederick A. O. Schwarz. Jr.
Corporation Counsel
Juan U. Ortiz
Director of Personnel
Dated: June 7, 1985