HomeMy WebLinkAbout98-580 CaloThomas J. Calo
1409 Ridgemere Lane
Winston - Salem, NC 27106
Dear Mr. Calo:
STATE ETHICS COMMISSION -
309 FINANCE BUILDING
P.O. BOX 11470
HARRISBURG, PA 1 71 08 -1 470
(717) 783 -1610
1- 800 - 932 -0936
ADVICE OF COUNSEL
July 15, 1998
98 -580
Re: Public Official /Public Employee; FIS; Deputy Secretary; Department of Banking.
This responds to your Financial Interest disclosure appeal, which will be treated as
a request for advice from the State Ethics Commission.
Issue: Whether, as a Deputy Secretary with the Department of Banking, you would
be required to file a Statement of Financial Interests for a particular calendar year in which
you only served for four working days.
Facts: You have been asked to complete a Statement of Financial Interests form
as the result of your having served as a Deputy Secretary with the Department of Banking
in 1997. You acknowledge that in that capacity, you were a "public employee" subject
to the Ethics Law. However, you explain that you resigned from the said position on
December 24, 1996, effective January 6, 1997. Thus, you served as Deputy Secretary
for only four working days in 1997. You state that during those four working days, you
made no managerial decisions and engaged in no contacts with persons outside the
Department. Your activities were solely to update and turn over your responsibilities to
the Secretary. Based upon these circumstances, you request that you not be required to
complete the Statement of Financial Interests form for calendar year 1997. _
Discussion: It is clear, and it would appear that you acknowledge the fact, that
in your capacity as a Deputy Secretary with the Department of Banking, you would be
considered a public official /public employee subject to the provisions of the Public Official
and Employee Ethics Law ( "Ethics Law "), Act 9 of 1989, P. L. 26, 65 P.S. §401, et seq.
Moreover, you would be an "executive -level state employee," as defined by the Ethics
Law.
It is equally clear, and again you do not appear to contest the fact, that as a Deputy
Secretary with the Department of Banking, you would be required to file Statements of
Financial Interests pursuant to the requirements of the Ethics Law, and specifically Section
4(a) of the Ethics Law which provides, in pertinent part: "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." 65 P.S. §404(a).
FAX : (717) 787 -0806 to Web Site: www.ethics.state.pa.us • e -mail: sec@state.pa.us
Calo, 98 -580
July 15, 1998
Page 2
A straightforward application of Section 4(a) to the facts which you have submitted
necessitates the conclusion that you would be required to file a Statement of Financial
Interests for calendar year 1997, regardless of the fact that you only served as Deputy
Secretary with the Department of Banking for four working days in that year.
The above conclusion would not be altered by the nature of the particular functions
which you performed during those four working days in 1997. The duties and
responsibilities of your position, rather than particular functions performed on particular
days, determine your status as a public official /public employee and consequently, your
duty to file. See, Phillips v. State Ethics Commission, 470 A.2d 659 (Pa. Commw. Ct.
1984).
Conclusion: In your capacity as a Deputy Secretary with the Department of
Banking, you would be considered a public official /public employee and an "executive -level
state employee" subject to the Public Official and Employee Ethics Law and the
Regulations of the State Ethics Commission. Accordingly, you would be required to file
a Statement of Financial Interests for each year in which you held the aforesaid position
and for the year following your termination of such service. You would specifically be
required to file a Statement of Financial Interests for calendar year 1997 despite the fact
that you only served in the aforesaid position for four working days in 1997.
If you have not already done so, a Statement of Financial Interests must be filed
within 30 days of this Advice.
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 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 1. The appeal may be received at the
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.
Chief Counsel