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DISCUSSION:
•
STATE ETHICS COMMISSION
306 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
OPINION OF THE COMMISSION
November 7, 199
Louis J. Carter
23 Wiltshire Road
Philadelphia, PA 19151
RE: Uniform treatment of public employees and public
officials
FACTS:
79 -066
On October 3, 1979, Louis J. Carter, former
Commissioner of the Public Utility Commission, wrote
this Commission inquiring as to whether a public official
must file a Financial Interest Statement for the year
which he has left office.
Mr. Carter noted that Section 4(d) does not make
such a requirement of public officials, but does require
public employees who leave their position to file for
the year they have left their position.
The issue is whether public officials and public
employees shall be held to the same reporting requirements
under Section 4 of Act 170. Specifically, should both
public employees and public officials file Financial
Interest Statements for the year after they heave
office?
Section 4(a) states:
Each public employee employed by the Commonwealth
shall file a statement of financial interests for
the preceding calendar year with the department,
agency or bureau in which he is employed 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 shall file a
statement of financial interests with the
governing authority of the political subdivision
by which he is employed no later than May 1 of
each year that he holds such a position and of the
year after he leaves such a position.
Louis J. Carter
November 7, 1979
page 2 of 3
Section 4(d) states:
No public official shall be allowed to take the
oath of office or enter or continue upon his
duties, nor shall he receive compensation from
public funds, unless he has filed a statement of
financial interests with the commission as
required by this act.
It is noted that Section 4(d) does not specifically
state that public officials must file Financial Interest
Statements for the preceding year, yet Section 4(a)
does.
If we were to literally construe the statute as to
require public employees to file for the preceding
year, but not public officials, we would be holding
public employees to a higher standard than public
officials. There does not appear to be any rationale or
purpose in holding public officials to a lower standard.
To hold one group to a higher disclosure standard may
impose problems relating to equal protection under the
14th Amendment of the U.S. Constitution.
Further, we note the Legislative Journal, September
19, 1978, on page 3002 reports the following statement
by Representative Cowell:
...May 1 is the deadline for current public
officials, public employees, incumbents when
you say public officials, public employees.
...For instance, the date that I would normally
have to file is May 1, except in those years
when I seek reelection and I would have to file
prior to filing my nomination papers, my petition
papers....
Thus it would appear from the discussion of the
Act when it was passed that public officials were
covered in the same manner as public employees are
covered.
We also note that Section 2 of the Act makes the
Governor an "executive level state employee." Thus, it
would appear that any paid public official is also a
public employee as defined by the Act.
Louis J. Carter
November 7, 1979
page 3 of 3
Equal filing requirements for both public officials
and public employees would ease administration of the
Act. In addition, it would relieve the Commission of
the burden of having to differentiate between a public
official and a public employee, or'dzciding whether a
person is both. Different regulations would likewise
have to be drafted for each of these three categories.
Section 1 of the Act provides guidance in the
event of an ambiguity in the Act. It states, "...[T]his
act shall be liberally construed to promote complete
disclosure." To treat public officials differently
would result in less disclosure.
CONCLUSION:
All public officials, as defined by Act 170, are
also public employees and are covered by the same
standards.
Counsel is directed to prepare regulations imple-
menting this opinion.
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 cormitted the acts complained of in reliance on the
advice given.
This letter is a public record and will be made
available as such.
4 (SEAL)
AUL S ITIi, Chairman