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HomeMy WebLinkAbout95-005 SciottoDear Mr. Sciotto: I. ISSUE: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 OPINION OF THE COMMISSION Before: Daneen E. Reese, Chair Austin M. Lee, Vice Chair Roy W. Wilt Allan M. Kluger Boyd E. Wolff DATE DECIDED: 05/05/95 DATE MAILED: 05/16/95 Charles T. Sciotto Deputy Secretary for Employee Relations Office of Administration 517 Finance Building Commonwealth and North Street Harrisburg, PA 17120 95 -005 Re: Public Official /Employee, FIS, May 1, Filing Deadline, Appointment or Employment After May 1. This Opinion is issued in response to your advisory request on March 22, 1995. What is the filing deadline for Statements of Financial Interests under the Public Official and Employee Ethics Law as to public officials or employees who are appointed or employed after the May 1st filing deadline. II. FACTUAL BASIS FOR DETERMINATION: In recent discussions with members of the State Ethics Commission staff, it has come to your attention that the Regulations of the State Ethics Commission are unclear with respect to filing requirements for individuals appointed after May 1. Sciotto, Charles T., 95 -005 Page 2 Previously, any individuals who were appointed to a position covered by the Public Officials and Employees Ethics Law were required to file a Financial Interests Statement within 15 days following appointment. It is your understanding that the 15 day rule is no longer applicable; only individuals appointed prior to May 1 must file by May 1. The question for which you seek a response concerns the filing deadline for individuals appointed after May 1. You solicit a prompt answer so that you may inform the Agencies and Board and Commission members of this Commission's policy. III. DISCUSSION: 65 P.S. §404(a). Section 4. Statement of financial interests required to be filed (a) 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 subdivisions are required to file under this section. The Regulations of this 170 of 1978 provide in part: (a) Each public Commission as are applicable to Act employe employed by the Sciotto, Charles T., 95 -005 Page 3 Commonwealth shall file a Statement of Financial Interests, Form SEC -1, for the preceding calendar year with the department, agency, or bureau with 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. 51 Pa. Code § 4.1(a). (a) Each candidate for public office nominated by a public official or governmental body and subject to confirmation by a public official or governmental body shall file a Statement of Financial Interests for the preceding calendar year with the Commission and with the official or body that is vested with the power of confirmation at least ten days before the official or body shall approve or reject the nomination. (b) Any person appointed as an official in the Commonwealth's executive, legislative, judicial branches and other statewide offices who is not a candidate shall file his. Statement of Financial Interests with the Commission and a copy with the agency to which he appointed by May 1 of the year appointed or within 15 days if appointed after May 1. (c) Any person appointed as an official not subject to confirmation in any governing body other than those specified in subsection (b) shall file a Statement of Financial Interests only with his governing body by May 1 of the year appointed or within 15 days if appointed after May 1. 51 Pa. Code §§ 4.3(a)-(c). 51 Pa. Code § 15.2(a). * * * Under the Regulations as to Act 9 of 1989, the filing requirement is set forth in § 15.2(a): §15.2. Public officials and public employes. (a) Public officials and employes shall file a Statement of Financial Interests for the preceding calendar year by May 1 of each year during which they hold office or a position and by May 1 for the year after they leave the position. Although the Regulations under Act 170 of 1978 dealt with post Sciotto, Charles T., 95 -005 Page 4 May 1 appointments, Act 9 of 1989 and the current Regulations are silent on the situation of a post May 1 appointment /employment of a public official / employee. Absent a definitive statement in the Ethics Law or Regulations which have the force and effect of law, we cannot in an advisory format create an arbitrary deadline for filing in a certain number of days. We must apply a literal reading of Section 4(a) to mean that a public official /employee whose service commences after May 1 must file a Financial Interests Statement on or before May 1 of the following year. We reach the foregoing result since it is the one and only possible interpretation that may be made under the Ethics Law. 1 Pa. C.S.A. 1922. You are therefore advised that the Financial Interests Statement filing deadline for public officials /employees appointed or employed after May 1 of any year is on or before May 1 of the following year. IV. CONCLUSION: The Financial Interests Statement filing deadline for public officials /employees appointed or employed after May 1 of any year is on or before May 1 of the following year. Pursuant to Section 7(10), the person who acts in good faith on this opinion issued to him shall not be subject to criminal or civil penalties for so acting provided the material facts are as stated in the request. such. This letter is a public record and will be made available as Finally, any person may request the Commission to reconsider its Opinion. The reconsideration request must be received at this Commission within fifteen days of the mailing date of this Opinion. The person requesting reconsideration should present a detailed explanation setting forth the reasons why the Opinion requires reconsideration. By the Commission, tAttpAu Daneen E. Reese Chair