HomeMy WebLinkAbout81-541 SweelyHarry D. Sweely
627 Glenn Street
Shippensburg, PA 17257
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
April 10, 1981
ADVICE OF COUNSEL
81 -54:1
RE: Grant Administrator, Financial Interest Statement
Dear Mr. Sweely:
This responds to your letter of January 13, 1981, in which
you requested an opinion from the Ethics Commission.
Issue: In your letter you asked for advice as to whether a
Project Director of a National Science Foundation (NSF) grant
is required to file a Statement of Financial Interest.
Facts: We infer from your letter you are a faculty member at
Shippensburg State College. You are also a Project Director of
a NSF grant. Because you administered a grant the Personnel
Director of Shippensburg State College submitted your name to
the Ethics Commission as a person required to file a Statement
of Financial Interests.
Discussion: The Ethics Act, 65 P.S. §401 et seq., defines
"public employee" as follows:
"Any individual employed by the Common-
wealth or a political subdivision who is
responsible for taking or recommending
official action of a non - ministerial
nature with regard to:
(1) contracting or procurement;
(2) administering or monitoring
grants or subsidies;
(3) planning or zoning;
(4) inspecting, licensing, regula-
ting or auditing any person; or
(5) any other activity where the
official action has an economic
impact of greater than a
de minimus nature on the
interests of any person.
Harry D. Sweely
April 10, 1981
Page 2
'Public employee' shall not include
individuals who are employed by the
State or any political subdivision
thereof in teaching as distinguished
from administrative duties." 65 P.S.
§402. (Emphasis supplied).
Even though you are a teacher who might be generally
exempt from the Act, you are responsible tor taking or
recommending official action of a non - ministerial nature with
regard to administering or monitoring a grant in your capacity
as a Project Director of a NSF grant. Accordingly, you are
obviously within the statutory definition of public employee
recited above, and must file a Statement of Financial Interests.
65 P.S. §404.
The duty to file commenced on January 1, 1980 and continues
so long as you remain a Project Director in charge of a NSF or
other rant or subsidy. You must also file a Statement for the
year after you leave a position monitoring a grant or subsidy.
65 P.S. §404. You are not required to file statements for the
year before the Act became effective, thus the contention that
the Act is being applied ex post facto or retroactively is not
well taken.
Conclusion: A faculty member of a state college who is also a
Project Director for a National Science Foundation grant is a
public employee and must file a Statement of Financial Interest
as mandated by 65 P.S. §404.
The administrator of a grant must file a Statement of
Financial Interests for each year he administers a grant and
for a year after ceasing to administer grants or subsidies.
If, however, the administrator was not monitoring a grant
as of the effective date of Section 4 of the Act, January 1,
1980, or within the one year prior to January 1, 1980, there is
no filing requirement.
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 tacts and committed the
acts complained of in reliance on the Advice given.
This letter is a public record and will be made available
as such.
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
April 10, 1981
Page 3
the Commission may be scheduled and a formal Opinion from the
Commission will be issued. You should make such a request or
indicate your disapproval of this Advice within the next 30
days.
SW /rdp
Sincerely,
andra S.,'C ristianson
General Counsel