HomeMy WebLinkAbout79-053 LoweryRE:
FACT
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STATE ETHICS COMMISSION
SOS FINANCE BUILQING
HARRISBURG, PENNSYLVANIA 17120
OPINION
October 17, 1979
Olan B. Lowery, Esquire
1719 N. Broad Street
Philadelphia, PA 19122
Reporting Requirements under Section 5(b)(5)
79 -053
On March 31, 1979, Olan B. Lowery, Esquire, of
Philadelphia, wrote the Commission as follows:
Section 4 Subdivision (5) requires that the
name and address of any person who is the direct
or indirect source of income totalling in the
aggregate of $500 or more must be provided. Do I
understand that to mean that an attorney should
list all clients whom he anticipates might pay him
that much money in the following year?
DISCUSSION:
The issue is whether the Act requires the reporting
of identities and addresses of persons whom a "public
official" or "public employee" anticipates might pay
him...in the following year.
Since this question involved the issue of whether,
and if so, to what extent, attorneys are required to
disclose the names of clients, the answer to this
request was postponed until a Chief Counsel was hired. -
That issue of attorney /client disclosure was considered
at September 5 and October 17 meetings without resolution.
The Commission therefore takes no position on the
issue of attorney /client disclosure at this time,.
Since Mr. Lowery requested an opinion on March 31,
1979, we feel it is incumbent upon the Commission to
answer his question.
Olan B. Lowery
October 17, 1979
page 2 of 2
Section 5(b) states that:
The statement shall include the following
information for the prior calendar year with
regard to the person required to file the
statement and the members of his immediate
family: (emphasis added)
Thus, if an attorney is required'to disclose the
identity and addresses of any of his clients, it would
involve those in the "prior calendar year" and not
those "whom he anticipates might pay him that much
money in the following year."
Pursuant to Section 7(9)(i), this opinion 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 wil be made
available as such.
CONCLUSION:
The identities and addresses of any clients of an
attorney required to be reported involve those clients
in the "prior calendar year," and not those whom the
attorney anticipates might pay him in the following
year.
C:Z
PAUL J SMITH
Chairman
(SEAL)
UPDATE: The Pennsylvania Code, Title 51, Section 5.7 and 5.8 further explains disclosure of individual clients as sources
of income.