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Home My WebLink About99-579 WilliamsThe Honorable Constance H. Williams State Representative 149th Legislative District 601 South Henderson Road, Suite 201 King of Prussia, PA 19406 STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 17108 -1470 (717) 783 -1610 1- 800 - 932 -0936 ADVICE OF COUNSEL July 13, 1999 99 -579 Re: Conflict; Public Official /Employee; State Representative; Senior Exposition; Sponsor; Donations; Gift; Money; FIS. Dear Representative Williams: This responds to your letter of June 16, 1999 by which you requested advice from the State Ethics Commission. Issue: Whether the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1101 fit seg., presents any prohibition or restrictions upon a State Representative as to the receipt of money or donations for the sponsorship of a senior exposition. Facts: You sponsor two Senior Expos in your district each year. Senior citizens in the district are made aware of these Senior fairs by means of a newsletter that is sent to those over the age of 60. The following are the types of donations you receive: 1) Use of space in facility - usually a building that is part of a religious complex or community organization. 2) Donations in kind - for example, food donated by local supermarkets, either directly or through the donation of gift certificates. (These companies are acknowledged by signs prominently displayed at the event.) 3) Door prizes given by local merchants and /or organizations such as hospitals, cable companies, etc. (These organizations are acknowledged by signs also.) 4) Sponsorship money used to defray other costs. (Also acknowledged by signs.) 5) Donation of time and expertise by experts such as speakers and caterers. You request advice in regards to the donations received for the two Senior Expos that you sponsor. Discussion: It is initially noted that pursuant to Sections 1107(10) and 1107(1 1) of the Ethics Act, 65 Pa.C.S. §§1107(10), (11), advisories are issued to the requestor based FAX: (717) 787 -0806 • Web Site: www.ethics.state.pa.us • e -mail: ethics @state.pa.us Williams, 99 -579 July 13, 1999 Page 2 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. As State Representative for 149th Legislative District, you are a public official as that term is defined in the Ethics Act, and hence you are subject to the provisions of that Act. You are required to file Financial Interest Statements (FIS's) as per Section 1104 of the Ethics Act, 65 Pa.C.S. 1104. Section 1104. Statement of financial interests required to be filed. (a) Public official or public employee. - -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 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. 65 Pa.C.S. §1104(a). The financial interests that need to be disclosed are set forth in Section 1105 of the Ethics Act. Section 1105. 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 of $250 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. If you were to accept the gift and donations for the senior expo, such would constitute gift(s) under the Ethics Act. There is no per se prohibition under the Ethics Act as to the receipt of true, "no- strings- attached" gifts by a public official /employee. See, Cooper, Opinion No. 92 -009 (Citing Wolfgang, Opinion No. 89 -028). Of course, a gift or gifts valued in the aggregate at $250 or more must be disclosed on the Statement of Financial Interests, pursuant to Section 1105(b)(6) of the Ethics Act. 65 Pa.C.S. Williams, 99 -579 July 13, 1999 Page 3 §1105(b)(6) (Note: Pursuant to Section 5(d) of the Ethics Act, 65 P.S. §405(d)/65 Pa.C.S. §1105(d), the State Ethics Commission increased the statutory reporting threshold for "gifts" from $200 to $250 effective with the forms due to be filed in 1998). Such disclosure must include the name and address of the source, the amount of the gift or gifts, and the circumstances of each gift. Gifts which do not meet the aggregate threshold of $250 need not be disclosed. Therefore, although the receipt of gifts for a senior exposition would not be prohibited by the Ethics Act, it would be necessary to list all gifts, as set forth above, which are $250 or more in the aggregate on your FIS. The propriety of the proposed conduct has only been addressed under the Ethics Act; the applicability of any other statute, code, ordinance, regulation or other code of conduct other than the Ethics Act has not been considered in that they do not involve an interpretation of the Ethics Act. Specifically not addressed herein is the applicability of the Legislative Code of Conduct. Conclusion: As State Representative for 149th Legislative District, you are a public official subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1101 $gg. Although the receipt of gifts for a senior exposition would not be prohibited by the Ethics Act, it would be necessary to list all gifts, with the details as stated above, which are $250 or more in the aggregate on your FIS. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act. Pursuant to Section 1107(11), an 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, provided 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 J. 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. Vincent J. Dopko Chief Counsel or-t6i