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HomeMy WebLinkAbout89-573 FranceMr. Jack H. France Attorney at Law 308 Fallowfield Avenue P.O. Box 109 Charleroi, PA 15022 STATE ETHICS COMMISSION 308 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 17108-1470 TELEPHONE (717) 783 -1610 ADVICE OF COUNSEL October 16, 1989 89 - 573 Re: Solicitor, Municipal Authority, FIS, Filing Location Dear Mr. France: This responds to your letter of September 15, 1989, in which you requested advice from the State Ethics Commission. Issue: You have requested advice regarding the location for the filing of a Financial Interest Statement by a solicitor for an authority created by twenty -two municipalities. Facts: You are the solicitor for a joint authority consisting of twenty -two members. After noting that the directions on the Financial Interests Statement require that authority members file with their political subdivision, you acknowledge that solicitors must file but question whether you would have to file with the twenty -two municipalities or merely with the authority. You request a ruling on the above and also a copy of the annual report of the State Ethics Commission for 1988. Discussion: As the solicitor for a joint authority, you are public employee subject to the provisions of the Ethics Act. Spataro, Opinion 89 -009. In addition, as a solicitor you are required to file a Financial Interest Statement. Section 4(a) of Act 9 of 1989; Spataro, supra. Section 4(a) of Act 9 of 1989 provides: Section 4. Statement of financial interests required to be filed. (a) Each public official of the Commonwealth shall file a statement of Mr. Jack H. France Page 2 financial interests for the preceding calendar year with the commission no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Each public employee and public official of the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency, body or bureau in which he is employed or to which he is appointed or elected no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Any other public employee or public official shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed or within which he is appointed or elected no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Persons who are full -time or part -time solicitors for political subdivisions are required to file under this section. Since you are either a full -time or part -time solicitor for the joint authority, Section 4(a) of the Ethics Law requires that you annually file the Statement of Financial Interests. The question to be resolved is whether you have to file with the joint authority solely or with the twenty -two municipalities which created the authority. There are two applicable provisions in Section 4(a) quoted above regarding the filing location as to public employees. The first general provision provides that a public official /employee must file the Financial Interests Statement with the department, agency, body or bureau in which he is employed. The second provision provides that a public official /employee shall file with the governing authority of the political subdivision by which he is employed. Under the facts of this case, it is clear that you are employed by the joint authority rather than by the twenty -two individual municipalities. Therefore, Section 4(a) of the Ethics Law would require that you file your Financial Interests Statement with the joint authority but not with the twenty -two municipalities, unless you are also the solicitor for any one or more of those municipalities or other political subdivisions in which case you must also file the Financial Interests Statement in your capacity as solicitor for those other municipal bodies. Mr. Jack H. France Page 3 Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Law; the propriety of any other statute, code, regulation or ordinance other than the Ethics Law has not been considered. Specifically not addressed in this Advice is the applicability of the Rules of Professional Conduct. Conclusion: As a solicitor for a joint authority, you are a public employee required to file the Financial Interests Statement. Section 4(a) of the Ethics Law only requires that you file with the joint authority but not with the municipalities that created the authority unless you are also the solicitor for one or more of those municipalities or any other political subdivision in which case you must also file with those municipal bodies. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Law. Pursuant to Section 7(9)(ii), this Advice is a complete defense in any enforcement proceeding initiated by the Commission, and evidence of good faith conduct in any other civil or criminal proceeding, providing the requestor has disclosed truthfully all the material facts and committed the acts complained of in reliance on the Advice given. such. This letter is a public record and will be made available as Finally, if you disagree with this Advice or if you have any reason to challenge same, you may request that the full Commission review this Advice. A personal appearance before the Commission will be scheduled and a formal Opinion from the Commission will be issued. Any such appeal must be in writing and must be received at the Commission within 15 days of the date of this Advice pursuant to 51 Pa. Code §2.12. VJD /emg Sincerely, Vincent T. Dopko, Chief Counsel