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HomeMy WebLinkAbout01-593 GreenleafThe Honorable Stewart J. Greenleaf Senate of Pennsylvania Senate Box 203012 The State Capitol Harrisburg, PA 17120 -3012 ADVICE OF COUNSEL September 17, 2001 01 -593 Re: Public Official; Statement of Financial Interests; Member; Senate of Pennsylvania; Attorney; Law Firms; Solo Practitioner; Clients; Direct /Indirect Sources of Income. Dear Senator Greenleaf: This responds to your letter dated August 15, 2001, by which you requested advice from the State Ethics Commission. Issue: Whether, pursuant to Section 1105(b)(5) of the Public Official and Employee Ethics Act ( "Ethics Act'), 65 Pa.C.S. § 1105(b)(5), a Senator who is also an attorney in the private practice of law must disclose on his Statement of Financial Interests the names and addresses of clients from which he has received income totaling in the aggregate $1,300 or more. Facts: As a Member of the Senate of Pennsylvania, you seek an advisory from the tate Ethics Commission regarding disclosure on the Statement of Financial Interests form of income from your private practice of law. In your capacity as an attorney, you are engaged in the private practice of law both through associations with law firms and as a solo practitioner. You note that Section 1105(b)(5) of the Ethics Act requires you to disclose "[t]he name and address of any direct or indirect source of income totaling in the aggregate $1,300 or more." 65 Pa.C.S. § 1105(b)(5). However, you further note that the said provision of law further states that it "shall not be construed to require the divulgence of confidential information protected . by statute or existing professional codes of ethics or common law privileges." p d While you acknowledge that you must report on your Statement of Financial Interests income received from the aforementioned law practices, you ask whether you must also disclose the names and addresses of the clients which you serve through your association with law firms or as a solo practitioner. Discussion: It is initially noted that pursuant to Sections 1107(10) and 1107(11) of the Ethics Act, 65 Pa.C.S. § §1107(10), (11), advisories are issued to the requestor based 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 Greenleaf, 01 -593 September 17, 2001 Page 2 not been submitted. It is the burden of the requestor to truthfully disclose all of the material facts relevant to the inquiry. 65 Pa.C.S. § §1107(10), (11). An advisory only affords a defense to the extent the requestor has truthfully disclosed all of the material facts. As a Member of the Senate of Pennsylvania, you are a public official as that term is defined in the Ethics Act, and hence you are subject to the provisions of the Ethics Act and particularly, the requirements for filing Statements of Financial Interests each year that you hold the aforesaid position and the year following your termination of such service. Section 1105(b) of the Ethics Act provides: §1105. Statement of financial interests (b) Required information. - -The statement shall include the following information for the prior calendar year with regard to the person required to file the statement. (5) The name and address of any direct or indirect source of income totaling in the aggregate $1,300 or more. However, this provision shall not be construed to require the divulgence of confidential information protected by statute or existing professional codes of ethics or common law privileges. 65 Pa.C.S. § 1105(b)(5). See also, 51 Pa. Code § 17.4(a). In applying the above provision to your inquiry, you are advised that with regard to your income as an attorney, Section 1105(b)(5) of the Ethics Act would require you to list on your Statements of Financial Interests the names and addresses of the law firms with which you are associated and your solo practice as sources of income. However, the Ethics Act would not require you to disclose on your Statements of Financial Interests the names or addresses of the clients which you serve through your association with law firms or as a solo practitioner. Such information would be considered "confidential information protected by statute or existing professional codes of ethics or common law privileges," and therefore excluded from the disclosure requirement of Section 1105(b)(5) of the Ethics Act. 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 Rules of Professional Conduct. Conclusion: As a Member of the Senate of Pennsylvania, you are a "public official" subject to the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. 1101 et seq., and particularly, the requirements for filing Statements of Financial I nterests each year that you hold the aforesaid position and the year following your termination of such service. With regard to your income as an attorney, Section 1105(b)(5) of the Ethics Act would require you to disclose on your Statements of Financial Interests the names and addresses of the law firms with which you are associated and your solo practice as sources of income. However, the Ethics Act would not require you to disclose on your Statements of Financial Interests the names or addresses of the clients which you serve through your association with law firms or as a solo practitioner. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act. Greenleaf, 01 -593 September 17, 2001 Page 3 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). 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. Sincerely, Vincent J. Dopko Chief Counsel