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HomeMy WebLinkAbout91-600 AndersonDear Representative Anderson: STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 1 71 08 -1 470 TELEPHONE (717) 783 -1610 ADVICE OF COUNSEL November 15, 1991 The Honorable Dan Anderson 91 -600 31st Legislative District House of Representatives House Post Office Box 199 Main Capitol Building Harrisburg, PA 17120 -0028 Re: Public Official, General Assembly, Representative, Governmental Body, First US -Japan "Grassroots Summit," Pennsylvania Grassroots Summit Team, Travel, Transportation, Lodging, Hospitality, FIS. This responds to your letter memorandum of October 21, 1991 in which you requested advice from the State Ethics Commission. Issue: Whether the Public Official and Employee Ethics Law presents any prohibition, restrictions, or requirements upon a Member of the General Assembly with regard to attending the First US -Japan Grassroots Summit, to be held in Japan, as a member of the Pennsylvania Grassroots Summit team, where all of the travel, transportation, lodging, and hospitality expenses (other, than some meals at the Member's own expense) will be paid by The Executive Committee for US -Japan Grassroots Summit. Facts: As a Member of the House of Representatives of the Commonwealth of Pennsylvania, you seek an advisory from the State Ethics Commission regarding your prospective attendance at the First US -Japan Grassroots Summit, to be held in Japan, which you would attend as a member of the Pennsylvania Grassroots Summit team. You have submitted materials concerning this Summit which include the following: 1. A list of participants on the Pennsylvania Grassroots Summit team; 2. A letter dated September 23, 1991 from the Japan - America Grassroots Committee providing background information and a preliminary schedule for the Grassroots Summit; The Honorable Dan Anderson November 15, 1991 Page 2 3. The Summit Prospectus dated September, 1991 outlining historical and background information pertaining to the Summit; the purpose of the Summit; information pertaining to participation, sponsorship, and support of the summit; and a program schedule; 4. Cover letter dated September 30, 1991 from H. G. Bittle to you, by which letter you were supplied the above information. All of the above documents which you have submitted are incorporated herein by reference. It is noted that the cover letter from H. G. Bittle to you states that there will be several meals where the participants will be "on- their -own." The letter further states that all expenses related to "travel, hotel, etc." are being covered by host country sponsors. However, the Summit Prospectus states that the sponsor of this Summit is the Executive Committee for US -Japan Grassroots Summit, Chaired by Nobuo Matsunaga, former Ambassador to the United States, and that "support" is "expected" from the following: The Ministry of Foreign Affairs, The Japan Foundation The Ministry of Finance The Ministry of International Trade and Industry, Japan External Trade Organization (JETRO) The Ministry of Transport The Ministry of Posts and Telecommunications The Ministry of Construction The Ministry of Home Affairs The Governments of Metropolitan Tokyo, Kyoto Prefecture and Kochi Prefecture The Municipal Office of Kyoto City The Summit Prospectus further states, rather confusingly, that the John Manjiro Society will bear all hotel charges and airfares of the participants from the U.S. You specifically inquire as to whether there would be any ethical problem involved if you would attend this Summit. Discussion: As a Representative for the General Assembly of the Commonwealth of Pennsylvania, you are a public official as that term is defined under the Ethics Law, and hence you are subject to the provisions of that law. Sections 3(b) and 3(c) of the Ethics Law provide in part that no person shall offer to a public official /employee anything of monetary value and no public official /employee shall solicit or accept any thing of monetary value based upon the The Honorable Dan Anderson November 15, 1991 Page 3 understanding that the vote, official action, or judgement of the public official /employee would be influenced thereby. Reference is made to these provisions of the law not to imply that there has or will be any transgression thereof but merely to provide a complete response to the question presented. Under the circumstances which you have submitted, the Ethics Law would not preclude your attendance at the above First US- Japan Grassroots Summit, to be held in Japan, although you would be required to observe the disclosure requirements of the Ethics Law which pertain to the filing of Statements of Financial Interests. The Ethics Law's disclosure requirements were recently considered in the context of trips by a Member of the General Assembly in Nove, Opinion 91 -007. See also, Confidential Advice 91 -597. The Ethics Law disclosure requirements regarding any payment for or reimbursement of actual expenses for transportation, lodging and /or hospitality received in connection with public office or employment are set forth at Section 5, which provides in pertinent part: Section 5. Statement of financial interests (a) The statement of financial interests filed pursuant to this act shall be on a form prescribed by the commission. All information requested on the statement shall be provided to the best -of the knowledge, information and belief of the person required to file and shall be signed under oath or equivalent affirmation. (b) The statement shall include the following information for the prior calendar year with regard to the person required to file the statement. (7)(i) The name and address of the source and the amount of any payment for or reimbursement of actual expenses for transportation and lodging or hospitality received in .connection with public office or employment .where such actual expenses for transportation and lodging or hospitality exceed $500 The Honorable Dan Anderson November 15, 1991 Page 4 in the course of a single occurrence. This paragraph shall not apply to expenses reimbursed by a governmental body, or to expenses reimbursed by an organization or association of public officials or employees of political subdivisions which the public official or employee serves in an official capacity. (ii) This paragraph shall not be applied retroactively. 65 P.S. §405(a), (b)(7). In applying the above provisions of the Ethics Law to your proposed trip, confusion is generated by contradictory statements as to exactly who or what will be paying your expenses. The submitted materials state that the "sponsor" of the Summit is The Executive Committee for US -Japan Grassroots Summit; yet "support" is "expected" from host country sponsors, at least some of which are identified in the Summit Prospectus; and finally, that the John Manjiro Society will bear all hotel charges and airfares of the participants from the U.S If all of these statements are true, it must be assumed - and this Advice does expressly assume - that your expenses will be paid by The Executive Committee for US- Japan Grassroots Summit, and that any contributions from other entities will be non - earmarked contributions to that Committee. If any of your expenses would to be paid in any other fashion, your disclosure of such expenses would have to conform with the principles set forth in Hove, Opinion 91 -007, in which various payment /reimbursement arrangements were discussed. Section 5(b)(7) excludes from the disclosure requirements expenses reimbursed by a governmental body and expenses reimbursed by organizations /associations of public officials /employees of political subdivisions wherein the public official /employee serves in an official capacity. The term "governmental body" is defined under the Ethics Law as follows: Section 2. Definitions "Governmental body." Any department, authority, commission, committee, council, board, bureau, division, service, office, officer, administration, legislative body, or The Honorable Dan Anderson November 15, 1991 Page 5 65 P.S. 5402. other establishment in the Executive, Legislative or Judicial Branch of a state, a nation or a political subdivision thereof or any agency performing a governmental function. The Executive Committee for US -Japan Grassroots Summit would neither be deemed a "governmental body," nor an organization /association of public officials /employees of political subdivisions wherein you serve in an official capacity. Thus, the exclusion would not apply, and the disclosure requirements of the Ethics Law must be observed. Turning now to the question as to exactly what must be reported, Section 5(b)(7) of the Ethics Law provides that the name and address of the source as well as the amount of any payment or reimbursement of actual expenses for transportation, lodging, or hospitality received in connection with public office must be reported'where the actual expenses exceed $500.00 as to a single occurrence. Thus, if the transportation, lodging or hospitality together exceed $500.00 for the single occurrence of this Summit, you are required to report that on your annual Statement of Financial Interests. The specific reporting would require the name and address of The Executive Committee for US- Japan Grassroots Summit which would be providing the travel expenses or reimbursement as well the amount of such expenses. Lastly, we note that we have only addressed the question posed under the Ethics Law. Specifically not addressed herein is the applicability of the Legislative Code of Conduct or any reporting requirements for lobbyists. IV. Conclusion: As a Member of the General Assembly of the Commonwealth of Pennsylvania, you are a public official subject to the provisions. of the Ethics Law. Subject to the qualifications and restrictions noted above, the Ethics Law would not preclude attendance as a Member of the General Assembly at the First US -Japan Grassroots Summit, to be held in Japan, at the expense of The Executive Committee for US -Japan Grassroots Summit. Section 5(b)(7) of the Ethics Law requires a Member of the General Assembly to list the name and address of the source, and the amount of payments or reimbursements for expenses as to transportation, lodging and hospitality which exceed $500.00 in the course of a single occurrence. Travel expenses and accommodations for the First US -Japan Grassroots Summit at the expense of The Executive Committee for US -Japan Grassroots Summit must be reported since The Executive Committee for US- The Honorable Dan Anderson try November 15, 1991 Page 6 Japan Grassroots Summit is not within the exclusionary language of Section 5(b)(7) of the Ethics Law. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Law. Pursuant to Section 7(11), 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 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 S2.12. Vincent . Dopko Chief Counsel