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HomeMy WebLinkAbout80-035 RogersMr. James C. Rogers Rogers Huber & Associates A Professional Corporation 521 North Derr Drive Lewisburg, PA 17837 Dear Mr. Rogers: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 August 20, 1980 OPINION OF THE COMMISSION 80 -035 In your letter of April 29, 1980, you requested an advisory Opinion from the State Ethics Commission relative to the report- ing requirements of Section 4 of Act 170. You stated that your firm audits at least 3 school districts, 3 boroughs, 7 water - sewer authorities, federal- and state - supported planning commissions, housing and redevelopment authorities, 3 school district author- ities and county revenue sharing funds. You specifically requested an opinion as to whether members of your firm are required to file a Statement of Financial Interest pursuant to Section 4 of Act 170. It is the articulated purpose of Act 170 to promote public confidence in government that the people might be assured of impartiality and honesty of public officials. In effectuating the interests of the Act, both public officials and public em- ployees are, under certain circumstances, required to file Statements of Financial Interests. The term "public official" is defined, in part, as being "any elected or appointed official in the executive, legislative or judicial branch of the state or any political sub- division thereof...." "Public employee" is defined, in part, as "any individual employed by the Commonwealth or political subdivision. It is the conclusion of the Commission that any individual who serves in the elected office of auditor for any political subdivision is a public official and obligated to comply with Section 4 of Act 170. Any individual who is appointed to fill the office of auditor in lieu of election and who receives compensation is a public official and obligated to comply with Section 4 of Act 170. William Hemsley August 20, 1980 Page 2 township as engineer on sewage or non - sewage related services for a development where that employment was secured as a result of or derived from your association, your firm's association, or your employee's association as sewage enforce- ment officials with the township. Act 170 does not prohibit an employee of an engineering firm that provides sewage enforcement services at a subdiv- ision from pruchasing a lot in the subdivision. In regard to your final question concerning the Statement of Financial Interests, please be advised that question 5 on the statement requires you to list sources of your spouse's income in excess of $500 provided your spouse resides i your household. 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 will be made available as such. PJS /af cc: T. D. Wilkenson Linus Fenicle, Esquire Martha Bryer PAUL J. "lITH Chairman James C. Rogers August 20, 1980 Page 2 Thus, if your firm is designated as the official auditor under code, charter or the like, including the by -laws of a municipal authority, for example, the firm would be considered a "public official" covered by the Ethics Act. Reporting and disclosure requirements of Section 4 would have to be met. For details on the context of these requirements refer to 51 Pa. Code 5.7. It individuals within your firm are designated as the auditor for aft entity of a political subdivision, that individual form would be filed with the entity or political subdivision which is served. Individuals employed by the firm who may perform the actual auditing and who are not named as the official auditor as discussed above, who exercise no judgment as to the audit, but merely record the results of same may be deemed to be performing functions and therefore excluded from thecoverage of the e Ethics Act. 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 will be made available as such. PJS /af cc: PA St. Asso. of Twp. Supervisors Martha Bryer (7 t PAUL J. SMiITH Chairman / / UPDATE: A court case is pending on this factual determination (Rogers, No. 337 C.D. 1982),It may or may not alter the opinion result. Contact the Ethics Commission for current information regarding this opinion. See also Opinion 82 -001 where the Commission reconsidered this ruling.