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HomeMy WebLinkAbout97-556 McCallRepresentative Keith R. McCall Main Capitol Building House Box 202020 Harrisburg, PA 17120 -2020 STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 1 71 08 -1 470 TELEPHONE (717) 783 -1610 ADVICE OF COUNSEL April 17, 1997 Re: Public Official; Member, House of Representatives; FIS; Travel sponsored by Philadelphia Convention Center Authority. Dear Representative McCall: This responds to your letter of April 8, 1997, in which you requested advice from the State Ethics Commission. Issue: Whether, as a Member of the House of Representatives, you should report a trip to the City of Philadelphia that was sponsored by the Philadelphia Convention Center Authority, under Block 12 or Block 13 on the Statement of Financial Interests form. Facts: You ask whether your travel to the City of Philadelphia which was sponsored by the Philadelphia Convention Center Authority, should be reported under Block 12 or Block 13 of the Statement of Financial Interests (FIS). You state that you do not object to reporting the information; however, you would question any rationale for reporting the information twice on the FIS form. You ask whether there is a statutory requirement or a regulation adopted by this Commission that would require dual disclosure for these payments. Discussion: As a Member of the House of Representatives, you are a public official subject to the Ethics Law and are therefore required to file Statements of Financial Interests: Section 4. Statement of financial interests required to be fil (a) Each public official of the Commonwealth shall file a statement of 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 97 -556 McCall, 97 -556 April 17, 1997 Page 2 65 P.S. §404(a). 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. You have correctly identified blocks 12 and 13 of the Statement of Financial Interests form as the blocks which could be appropriate for disclosing payments for travel by a public official. Block 12, labeled "Gifts," is used to disclose information pursuant to Section 5(b)(6) of the Ethics Law which provides as follows: Section 5. Statement of financial interests (b) The statement shall include the following information for the prior calendar year with regard to the person required to file the statement. (6) The name and address of the source and the amount of any gift or gifts valued in the aggregate at $200 or more and the circumstances of each gift. This paragraph shall not apply to a gift or gifts received from a spouse, parent, parent by marriage, sibling, child, grandchild, other family member or friend when the circumstances make it clear that the motivation for the action was a personal or family relationship. However, for the purposes of this subsection, the term "friend" shall not include a registered lobbyist or an employee of a registered lobbyist. This paragraph shall not be applied retroactively. 65 P.S. §405(b)(6). The word "gift" is specifically defined in the Ethics Law as follows: Section 2. Definitions "Gift." Anything which is received without consideration of equal or greater value. "Gift" shall not include a political contribution otherwise reported as McCall, 97 -556 April 17, 1997 Page 3 65 P.S. §402. required by law or a commercially reasonable loan made in the ordinary course of business. Block 13, which is labeled, "Transportation, lodging, hospitality," is used to disclose information pursuant to Section 5(b)(7) of the Ethics Law which provides, in pertinent part, as follows: Section 5. Statement of financial interests (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 4 public office or employment where such actual expenses for transportation and lodging or hospitality exceed $500 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. 65 P.S. §405(b)(7)(i) (Emphasis added). The term "governmental body" is defined as follows in the Ethics Law: Section 2. Definitions "Governmental body." Any department, authority, commission, committee, council, board, bureau, division, service, office, officer, administration, legislative body, or 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. 65 P.S. §402 (Emphasis added). Where payments for a particular trip meet the disclosure requirements of both Section 5(b)(6) and Section 5(b)(7), pursuant to Commission Regulations, disclosure must be made in both blocks of the form: McCall, 97 -556 April 17, 1997 Page 4 51 Pa.Code §17.10. §17.10. Reporting in multiple categories. (a) The required disclosure of information in one category does not excuse the nondisclosure of that information in other categories when so required. Therefore, the same information may be required in more than one category. However, in this case, it is clear that you would not be required to make disclosure in block 13 for this particular trip since the sponsorship was by a governmental body and therefore falls within one of the stated exceptions to disclosure as set forth in Section 5(b)(7). Assuming that the value of the trip (together with any other gifts received from the Philadelphia Convention Center Authority in 1996) would be $200 or more, Block 12 would be the appropriate and only block at which you would need to disclose the Philadelphia Convention Center Authority's sponsorship of this particular trip. Conclusion: As a Member of the House of Representatives, you are a "public official" subject to the provisions of the Ethics Law. Accordingly, you must file a Statement of Financial Interests for each year in which you hold that position and for the year following your termination of this service. As to your trip to Philadelphia that was sponsored by the Philadelphia Convention Center Authority, if the value of the trip (and any other gifts received from the Philadelphia Convention Center Authority in 1996) would be $200 or more, block 12 would be the proper and only block at which you would need to disclose the trip. Disclosure would not have to be made at block 13 given that the sponsorship was by a governmental body and therefore would be within a specific statutory exception to the disclosure requirement for that block. 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 sucfh. Finally, if you disagree with this Advice or if you have any reason to challenge same, you may appeal the Advice to the full Commission. A personal appearance before the Commission will be scheduled and a formal Opinion will be issued by the Commission. Any such appeal must be in writing and must be actually received at the Commission within thirty (30) days of the date of this Advice pursuant to 51 Pa.Code §13.2(h). The appeal may be received at the McCall, 97 -556 April 17, 1997 Page 5 Commission by hand delivery, United States mail, delivery service, or by FAX transmission (717- 787 - 0806). Failure to file such an appeal at the Commission within thirty (30) days may result in the dismissal of the appeal. Sincerely, Vincent JNDopko Chief Counsel