Opinion ID: 2558572
Heading Depth: 3
Heading Rank: 3

Heading: Personal and substantial participation

Text: The third inquirywhether Respondent participated personally and substantially in the prior G. Thomas matterwas the question on which the parties focused most of their argument and evidence. Substantial participation means that the employee's involvement must be of significance to the matter or create a reasonable appearance of such significance. Sofaer, 728 A.2d at 643. A single act of approving or participating in a critical step may be substantial if the act is of significance to the matter. Id. at 643. This requires more than official responsibility, knowledge, perfunctory involvement, or involvement in only administrative or peripheral issues. Id. at 643 (citing 5 C.F.R. § 2637.201(d)(1)); see also Whether a Lawyer May Continue to Represent a Client When That Lawyer Represented the Same Client in the Same Matter While Serving as a Public Officer or Employee, District of Columbia Bar Legal Ethics Committee Opinion 313 (2002). Respondent contended that, even if she had titular supervisory responsibility for the G. Thomas file at OHR, she did not, in fact, have personal, substantial, material input into the LOD and its conclusions. Respondent sought to show that: (a) the G. Thomas investigation was nearing completion when Respondent transferred into the main OHR office in July 2002; (b) M. Thomas continued to report to a previous supervisor on some matters even after Respondent was appointed her supervisor; (c) the LOD itself was not signed by Respondent; and (d) when issues of Respondent's performance were raised in late 2002, Respondent complained that M. Thomas had sent out the LOD without her prior approval. Although these issues were generally undisputed, Respondent's arguments focused almost exclusively on the G. Thomas file before the issuance of the LOD, whereas the G. Thomas matter extended further to the subsequent discussions about reconsideration of the LOD, removal of materials from the G. Thomas file, and G. Thomas' complaints about OHR. The Hearing Committee correctly determined that for purposes of its inquiry, the G. Thomas matter was not concluded with the issuance of the LOD, contrary to Respondent's assertions. The Board agrees that the record contains clear and convincing evidence that Respondent was personally and substantially involved in the G. Thomas matter while Respondent was employed by the District. As reflected in Finding of Fact No. 5, the Hearing Committee concluded that Respondent reviewed and commented on the LOD before its issuance, that she was given the draft and in fact reviewed it, as M. Thomas testified. The Hearing Committee further concluded that Respondent had access to, reviewed, and was aware of, the contents of the G. Thomas file after the issuance of the LOD and communicated directly with G. Thomas regarding reconsideration of the LOD decision. See Findings of Fact Nos. 7-8; Tr. 3/27/06 at 750-55; Tr. 2/15/06 at 455-60. All the relevant witnessesRespondent, her supervisor, M. Thomas, and G. Thomasand all the relevant documents and affidavits confirm that Respondent was actively involved in dealing with the G. Thomas OHR file after issuance of the LOD and not simply in a pro forma capacity as supervisor of M. Thomas. [8]