HomeMy WebLinkAbout98-606 ConfidentialSTATE 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
October 20, 1998
98 -606
Re: Conflict; Public Official /Employee; Register of Wills; Estate; Executor; Fee.
This responds to your letter of September 15, 1998 by which you requested
confidential advice from the State Ethics Commission.
Issue: Whether the Public Official and Employee Ethics Law presents any
prohibition or restrictions upon a county register of wills from receiving a fee for
serving as the executor of an estate in the same county.
Facts: You are the elected Register of Wills of County A. In the past year you
were named and sworn in as the Executor of a deceased individual's estate in County
A.
You request an advisory from the State Ethics Commission as to whether, as
County A Register of Wills, you may collect an Executor's fee for administering that
estate.
Discussion: It is initially noted that pursuant to Sections 7(10) and 7(11) of the
Ethics Law, 65 P.S. §§407(10), (11), advisories are issued to the requestor based
upon the facts which the requestor has submitted. In issuing the advisory based upon
the facts which the requestor has submitted, the Commission does not engage in an
independent investigation of the facts, nor does it speculate as to facts which have not
been submitted. It is the burden of the requestor to truthfully disclose all of the
material facts relevant to the inquiry. 65 P.S. §§407(10), (1 1). An advisory only
affords a defense to the extent the requestor has truthfully disclosed all of the material
facts.
It is further initially noted that, pursuant to the same aforesaid Sections of the
Ethics Law, an opinion /advice may be given only as to prospective (future) conduct.
If the activity in question has already occurred, the Commission may not issue an
opinion /advice but any person may then submit a signed and sworn complaint which
will be investigated by the Commission if there are allegations of Ethics Law violations
by a person who is subject to the Ethics Law. To the extent you have inquired as to
conduct which has already occurred, such past conduct may not be addressed in the
context of an advisory opinion. However, to the extent you have inquired as to future
conduct, your inquiry may, and shall be addressed.
As Register of Wills of County A, you are a public official as that term is defined
in the Public Official and Employee Ethics Law ( "Ethics Law "), and hence you are
subject to the provisions of that law.
FAX : (717) 787 -0806 • Web Site: www.ethics.state.pa.us • e -mail: sec@state.pa.us
Confidential Advice, 98 -606
October 20, 1998
Page 4
of Register of Wills, you would not have a conflict of interest as to such
appointees /employees under such circumstances. If any such appointee /employee
would have to take discretionary action as to your administration of the estate, you
may write to the Commission for additional advice.
The propriety of the proposed conduct has only been addressed under the Ethics
Law; the applicability of any other statute, code, ordinance, regulation or other code
of conduct other than the Ethics Law has not been considered in that they do not
involve an interpretation of the Ethics Law. Specifically not addressed herein is the
applicability of the County Code.
Conclusion: As Register of Wills of County A, you are a public official subject
to the provisions of the Ethics Law. Subject to the qualifications noted above, you as
the county register of wills may receive a fee for serving as the executor of an estate
in the same county. 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 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 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.
p9cerely,
U`
Vincent ''' op o
Chief Counsel