HomeMy WebLinkAbout03-515 AlfieriMichele D. Alfieri
17 Rosehill Avenue
Smethport, PA 15749
Dear Ms. Alfieri:
ADVICE OF COUNSEL
February 25, 2003
03 -515
Re: Public Official; District Attorney; Non - Incumbent; Judicial Candidate; Statement
of Financial Interests; Filing Location; County.
This responds to your letter dated January 20, 2003, by which you requested
advice from the State Ethics Commission.
Issue: Whether a district attorney who is also a judicial candidate in a county
mtist two Statements of Financial Interests ( "SFI's ") for each position, or may file
one SFI for both positions.
Facts: You currently serve as the McKean County District Attorney, in which
capacity you state that you are required to file a Statement of Financial Interests
( "SFI ") form each year. You have announced your intention to seek election to a
judgeship position that was recently created in McKean County.
You ask what the Ethics Act requires in terms of filing an SFI for both positions.
Discussion: It is initially noted that pursuant to Sections 1107(10) and
110/(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 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 the McKean County District Attorney, 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, particularly the requirement to file an SFI in accordance with Sections 1104 and
1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. In addition, as a non - incumbent
Judicial candidate, you are a "candidate" subject to Sections 1104 and 1105 of the
Ethics Act.
Section 1104 of the Ethics Act provides as follows:
Alfieri 03 -515
February 25, 2003
Page 2
Section 1104. Statement of financial interests required to be
filed.
(a) Public official or public employee.... 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.
(b)(2) Any candidate for county -level or local office shall file a
statement of financial interests for the preceding calendar year with
the governing authority of the political subdivision in which he is a
candidate on or before the last day for filing a petition to appear on
the ballot for election. A copy of the statement of financial interests
shall also be appended to such petition.
65 Pa.C.S. § 1104(a), (b)(2).
Based upon the above quoted provisions, as a public official, you would be
required to file an SFI for the preceding calendar year with the governing authority of
the political subdivision in which you have been appointed or elected by the May 1
deadline.
As a candidate, you would be required to file an SFI for the preceding calendar
year with the governing authority of the political subdivision in which you are a
candidate on or before the last day for filing a petition to appear on the ballot for
election. The specific filing location within the County would be the Board of County
Commissioners or such other office as the Board of County Commissioners may
designate for that purpose. Mansour, Opinion 97 -006 You would also be required to
attach a copy of the form to the nomination petition filed with the County Board of
Elections.
One SFI form may be used to indicate your dual status as a candidate and as a
public official with copies sent to the appropriate filing locations.
It is parenthetically noted that should you win the election for Judge, you would
become part of the Unified Judicial System of the Commonwealth. See, 42 Pa.C.S. §
301. Since the State Ethics Commission has no jurisdiction over members of the
Unified Judicial System, you would not be required to file an SFI as a judge.
Conclusion: As the McKean County District Attorney, 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, particularly the requirement to file an SFI in accordance with Sections
1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. In addition, as a non -
incumbent judicial candidate, you are a "candidate" subject to Sections 1104 and 1105
of the Ethics Act.
As a public official, you would be required to file an SFI for the preceding
calendar year with the governing authority of the political subdivision in which you
have been appointed or elected by the May 1 deadline.
As a candidate, you would be required to file an SFI for the preceding calendar
year with the governing authority of the political subdivision in which you are a
candidate on or before the last day for filing a petition to appear on the ballot for
election. The specific filing location within the County would be the Board of County
Alfieri 03 -515
February 25, 2003
Page 3
Commissioners or such other office as the Board of County Commissioners may
designate for that purpose. You would also be required to attach a copy of the form to
the nomination petition filed with the County Board of Elections.
One SFI form may be used to indicate your dual status as a candidate and as a
public official with copies sent to the appropriate filing locations.
Should you win the election for judge, you would become part of the Unified
Judicial System of the Commonwealth. Since the State Ethics Commission has no
jurisdiction over members of the Unified Judicial System, you would not be required to
file an SFI as a judge.
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