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rule is no longer applicable; only individuals appointed prior to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