Midboe v. Com'n on Ethics for Pub. Empl.

646 So. 2d 351, 1994 WL 673962
CourtSupreme Court of Louisiana
DecidedNovember 30, 1994
Docket94-CA-2270
StatusPublished
Cited by29 cases

This text of 646 So. 2d 351 (Midboe v. Com'n on Ethics for Pub. Empl.) is published on Counsel Stack Legal Research, covering Supreme Court of Louisiana primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Midboe v. Com'n on Ethics for Pub. Empl., 646 So. 2d 351, 1994 WL 673962 (La. 1994).

Opinion

646 So.2d 351 (1994)

Kai David MIDBOE
v.
COMMISSION ON ETHICS FOR PUBLIC EMPLOYEES and Richard Ieyoub, Attorney General.

No. 94-CA-2270.

Supreme Court of Louisiana.

November 30, 1994.

*353 Maris L. McCrory, R. Gray Sexton, Baton Rouge, Richard P. Ieyoub, Atty. Gen., James M. Ross, Asst. Atty. Gen., for applicant.

Kai David Midboe, Richard E. Matheny, Baton Rouge, for respondent.

John M. Madison, Jr., Shreveport, for amicus curiae Wiener, Weiss, Madison & Howell.

WATSON, Justice.[1]

A direct appeal was lodged to review the district court's conclusion that LSA-R.S. 42:1121 of the Code of Governmental Ethics has been unconstitutionally applied to conflict with the Louisiana Supreme Court's exclusive *354 power to regulate the discipline of attorneys under La. Const. art. 5, § 5(B) and the Rules of Professional Conduct for attorneys. La. Const. art. 5, § 5(D).

FACTS

Kai David Midboe, Secretary of the Louisiana Department of Environmental Quality (DEQ) from January 1992 to January 1994, is an attorney licensed to practice law in the State of Louisiana. In January 1994, Midboe and a law firm requested an advisory opinion from the Commission on Ethics for Public Employees (Commission) regarding post-employment restrictions of the Code of Governmental Ethics, LSA-R.S. 42:1101 et seq., on Midboe's proposed "of counsel" relationship with the law firm.

The Commission issued an opinion January 20, 1994 (Ethics Commission Docket No. 94-005), concluding that the ethics rules prohibited Midboe (for two years) from compensated assistance of clients in connection with DEQ transactions and from engaging in interoffice communications with other law firm attorneys regarding DEQ transactions. The Commission concluded that Midboe could assist persons in state legislative transactions, including environment matters, and could assist persons in transactions involving federal agencies and state administrative agencies other than DEQ.

The Commission concluded that, as the agency head of DEQ, Midboe "participated" in all transactions that arose within DEQ while he was DEQ Secretary. Therefore, for a two-year period, any firm in which Midboe became an officer, director, trustee, partner or employee could not assist clients for compensation in any transactions that arose at DEQ while Midboe was Secretary. However, the Commission stated that if Midboe's relationship with a firm, law firm or otherwise, was clearly that of an "independent contractor" as defined in Hickman v. Southern Pacific Transport Co., 262 La. 102, 262 So.2d 385 (1972), then that firm would not be restricted from assisting clients before DEQ. If Midboe had other part-time employment that resulted in some type of proscribed activity, the Commission determined that conduct would not be attributable to a law firm with which Midboe had an independent contractor relationship, assuming that relationship had no impact on the part-time employment.

The Commission concluded no violation of the ethics code was presented if Midboe received compensation for public speaking on environmental issues. The Commission also determined that Midboe could contact entities and encourage them to engage a law firm with which Midboe was associated as long as Midboe did not represent those clients in matters involving DEQ.

The Commission invited Midboe to present for its consideration any employment contract to determine if there were any ethics rules violations. In February 1994, Midboe submitted to the Commission a contract for professional services with an engineering firm to determine whether the employment relationship would meet the independent contractor status necessary to avoid violating the ethics rules. Midboe explained that relationship as consulting work in which he provides opinions on environmental construction regulations. After one modification, the Commission concluded the employment contract was that of an independent contractor.

In June 1994, Midboe filed a Petition for Declaratory Judgment in this Court seeking a declaratory ruling on the constitutionality of LSA-R.S. 42:1121(C). The application was denied, and Midboe was advised to seek relief in the district court. Midboe v. Commission on Ethics for Public Employees, 94-1419 (La. 6/3/94), 638 So.2d 1071.

On July 1, 1994, Midboe filed a Petition for Declaratory Judgment and Injunction in the 19th Judicial District Court seeking an order declaring the Code of Governmental Ethics, LSA-R.S. 42:1101 et seq., and Ethics Commission Docket No. 94-005 unconstitutional to the extent that they infringe on judicial authority and conflict with the Rules of Professional Conduct for lawyers. Midboe also sought a preliminary and permanent injunction against the Commission's enforcement of the ethics code or its opinion against him. The Attorney General was made a party defendant due to the constitutional challenge. LSA-C.C.P. art. 1880.

*355 After denying the Commission's exceptions of no cause and no right of action, the trial court rendered judgment declaring the Code of Governmental Ethics and Ethics Commission Docket No. 94-005 unconstitutional as applied in this case because they conflicted with Rule 1.11 of the Rules of Professional Conduct and infringed on the Louisiana Supreme Court's exclusive and plenary power to regulate the practice of law. The trial court enjoined the Commission from enforcing LSA-R.S. 42:1121(C) or the Commission's opinion against Midboe in a manner that conflicted with Rule 1.11. A direct appeal was taken to this Court. La. Const. art. 5, § 5(D).

LAW AND DISCUSSION

Preliminary/Procedural Issues:

The Commission argues the district court did not have jurisdiction to rule on Midboe's petition. La. Const. art. 10, § 21, provides that "decisions of a[n ethics] board shall be appealable, and the legislature shall provide the method of appeal." The method of appeal of ethics board decisions is statutorily mandated under LSA-R.S. 42:1142 to the First Circuit Court of Appeal. LSA-R.S. 42:1142 states, in pertinent part:

A. Appeals to the Court of Appeal, First Circuit. Whenever action is taken against any public servant or person by an ethics body or by an agency head by order of the commission, or whenever any public servant or person is aggrieved by any action taken by an ethics body, he may appeal therefrom to the Court of Appeal, First Circuit, if application to the ethics body is made within thirty days after the decision of the ethics body becomes final. Any preliminary, procedural, or intermediate action or ruling by an ethics body is subject to the supervisory jurisdiction of the appellate court as provided by Article V, Section 10 of the constitution. The Court of Appeal, First Circuit, shall promulgate rules of procedure to be followed in taking and lodging such appeals.

"[A]n advisory opinion by the Commission is a preliminary or intermediate action or ruling by an ethics body within the meaning of La.R.S. 42:1142." Board of Com'rs v. Commission on Ethics, 484 So.2d 845, 849 (La. App. 1 Cir.), writ denied, 487 So.2d 440 (La. 1986).

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Bluebook (online)
646 So. 2d 351, 1994 WL 673962, Counsel Stack Legal Research, https://law.counselstack.com/opinion/midboe-v-comn-on-ethics-for-pub-empl-la-1994.