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HomeMy WebLinkAbout81-555 SweetDavid W. Sweet State Representative House P.O. Box 53 Harrisburg, PA 17120 STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 April 21, 1981 ADVICE OF COUNSEL 81 -555 RE: Part -time Association, Ethics Act Dear Representative Sweet: This responds to your letter of March 26, 1981. Issue: In your letter you request advice as to whether the Ethics Act is implicated in your proposed association on a part -time basis with a large law firm. Facts: You are currently serving as a Member of the Pennsylvania State House of Representatives. You are discussing possible employment with a large law firm in Pittsburgh, Pennsylvania and your role with that firm would be as a part -time associate. The law firm currently serves as bond counsel for several Commonwealth bond issues. This business was procured through a non -bid process. You specifically request information as to whether any associ- ation that you might have with this firm would preclude it from performing any of the above - referenced services for the Commonwealth. Discussion: First and foremost I should note that the jurisdiction of the Ethics Commission is limited by the Ethics Act, 65 P.S. Section 401 et seq. Therefore, this Advice can and does address the requirements of the Ethics Act only. Questions raised by other statutes including the Legislative Code of Ethics, 46 P.S. 143.5(c), (d), and (e), will not be addressed in this Advice. Initially, it must be noted that you are clearly a public official as that term is defined in the Ethics Act as "any elected or appointed official in the Executive, Legis- lative or Judicial Branch of the State or any political subdivision thereof... ", 65 P.S. Section 402. As a public David W. Sweet April 21, 1981 Page 2 official, the Ethics Act governs your conduct. The Ethics Act, however, does not require that you refrain from the association in which you outlined above. There is no per se prohibition in the Ethics Act from a public official engaging in such employment or associations. However, the Ethics Act makes it clear that you may not use your public office or confidential information gained through the holding of public office to obtain financial gain for yourself, your immediate family or business with which you are associated. 65 P.S. 403(a). The concept of financial gain includes the promise of future employment. Accordingly, any association you might have with the law firm in question cannot be secured through the use of confidential information secured while you were in public office. This, obviously, is not the situation we are faced with here. In addition, the Ethics Act does not preclude the law firm in question from performing bond counsel services to the Commonwealth even on a non -bid basis even though you might be associated with that firm. The only requirement under the Ethics Act as to your ability to contract with a governmental body relates to the governmental body with which you are associated, that is, the House of Representatives. This requirements is found in Section 3(c) of the Ethics Act, 65 P.S. 403(c). Section 3(c) requires that no public official or business in which the public official or a member of his immediate family is a director, officer, or holder of stock exceeding 5% of the fair market value equity of the business shall enter into a contract valued at more than $500 with the governmental body with which he is associated (in your case the House of Representatives) unless the contract has been awarded through an open and public process. Since neither you nor a member of your immediate family is a director, officer, or holder of stock exceeding 5% of the fair market value equity of the law firm in ques- tion there is no prohibition against that law firm's contracting even with the House of Representatives or the Commonwealth, in general, on a non -bid basis. Conclusion: The Ethics Act does not preclude your associa- tion with the law firm in question nor does the Ethics Act prohibit that law firm, assuming you become associated with same, from procurring business with the Commonwealth even on a non -bid basis. In other respects, your conduct should conform to the cautions set forth in this Advice. April 21, 1981 Page 3 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. 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 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. SSC /rdp Sincerely, d i ndra S. C General Co istianson nsel d1