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PHONE: 717-783-1610 STATE ETHICS COMMISSION FACSIMILE: 717-787-0806
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613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120-0400
ADVICE OF COUNSEL
September 26, 2025
To the Requester:
25-540
This responds to your letter dated September 5, 2025, by which you requested a
confidential advisory from the Pennsylvania State Ethics Commission (“Commission”), seeking
guidance as to the issue presented below:
Issue:
Whether, pursuant to Sections 1104 and 1105 of the Public Official and Employee Ethics
Act (“Ethics Act”), 65 Pa.C.S. §§ 1104, 1105, and the Regulations of the State Ethics
Commission, 51 Pa. Code § 11.1 et seq., a state legislator who has been appointed as a
Member of the \[Body\] would be required to disclose on his Statement of Financial Interests
his status as a Member of the \[Body\] by completing Blocks 3, 4, and 5 on the form
(“Status,” “Public Office or Employment,” and “Governmental Body,” respectively).
Brief Answer: NO. Based upon the provisions of the Ethics Act, the Regulations of the
State Ethics Commission, and the instructions for filing the Statement of Financial Interests
form, the filer of the form is required to list, in pertinent part, each public position for which
the filer is a current or former “public official” of the Commonwealth or one of its political
subdivisions. The \[Body\], as an entity established pursuant to \[a Type of Agreement\], is
not an instrumentality of the Commonwealth or a political subdivision of the
Commonwealth. Therefore, in his capacity as an appointed Member of the \[Body\], the
State Legislator is not a “public official” of the Commonwealth or one of its political
subdivisions. Accordingly, the State Legislator is not required to disclose on his Statement
of Financial Interests his status as a Member of the \[Body\].
Facts:
You request a confidential advisory from the Commission on behalf of a Member of the
\[Chamber of the General Assembly\], the Honorable \[Name of Individual\] (“the State Legislator”).
Confidential Advice, 25-540
September 26, 2025
Page 2
The \[Body\] was established in \[Year\] through \[a Type of Agreement\], \[Title of
Agreement\], which was adopted by \[Political Units\] across the United States. Pennsylvania
entered into the \[Type of Agreement\] on \[Date\] with the passage of \[Legislation\]. The \[Title of
Agreement\] was approved by the United States Congress on \[Date\], at which time it became
\[Federal Law\].
The \[Body\] is organized as a \[Type of Organization\] with more than \[Number of Appointed
Members\] from \[Various Political Units\]. By statute, the Members of the \[Body\] from the
Commonwealth shall consist of \[Various Officers and Appointees\]. See, \[Statute\]. The State
Legislator was recently appointed to the \[Body\] by the \[Appointing Authority\].
The \[Body\] serves as a national entity where \[Political Units\] can share resources, research,
and strategies to \[Achieve a Goal\]. Under the \[Type of Agreement\], the \[Body\] has the authority
to engage in various actions, including: \[Certain Actions\].
The question that is presented by your advisory request is whether the State Legislator
would be required to disclose on his Statement of Financial Interests his status as a Member of the
\[Body\] by completing Blocks 3, 4, and 5 on the form (“Status,” “Public Office or Employment,”
and “Governmental Body,” respectively).
Discussion/Conclusion:
Pursuant to Sections 1107(10) and 1107(11) of the Ethics Act, 65 Pa.C.S. §§ 1107(10),
(11), advisories are issued to the requester based upon the facts that the requester has submitted.
In issuing the advisory based upon the facts that the requester has submitted, the Commission does
not engage in an independent investigation of the facts, nor does it speculate as to facts that have
not been submitted. It is the burden of the requester to truthfully disclose all material facts relevant
to the inquiry. 65 Pa.C.S. §§ 1107(10), (11). An advisory only affords a defense to the extent the
requester has truthfully disclosed all material facts.
Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), requires a public official/public
employee to file a Statement of Financial Interests for the preceding calendar year, each year that
he holds the public position and the year after he leaves it. Section 1104(a) specifically provides
that: (1) each public official of the Commonwealth shall file the form with the Commission; (2)
each public employee and public official of the Commonwealth shall file the form with the
department, agency, body or bureau in which he is employed or to which he is appointed or elected;
and (3) any other public employee or public official shall file the form with the governing authority
of the political subdivision by which he is employed or within which he is appointed or elected.
Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), and its subsections detail the
information that a person required to file the Statement of Financial Interests must provide. Section
1105(b)(1) of the Ethics Act requires the filer to disclose on his Statement of Financial Interests
his name, address and public position. Section 17.1 of the Regulations of the State Ethics
Commission similarly requires the filer to list on his Statement of Financial Interests his full name
Confidential Advice, 25-540
September 26, 2025
Page 3
and address as well as the position sought or held and the name of the governmental body
associated with the position sought or held.
The instructions for Block 3, “Status,” of the Statement of Financial Interests form direct
the filer to check the box or boxes indicating his status. The status boxes on the form consist of
Candidate, Nominee, Public Official (Current), Public Official (Former), Public Employee
(Current), Public Employee (Former), and Solicitor. The instructions for Block 4, “Public Office
or Employment,” direct the filer to list each public position which the filer is seeking, currently
holds, or has held in the prior calendar year. The filer is directed to list the job title or official title
of each public position and to check the appropriate box (seeking, hold, or held) for each public
position. The instructions for Block 5, “Governmental Body,” direct the filer to list all
Commonwealth agencies or political subdivisions as to which the filer: (1) is presently seeking a
public position or public office as a candidate or nominee; (2) presently holds public office or
public employment; or (3) previously held public office or public employment during any portion
of the calendar year for which the form is being filed.
Based upon the above provisions of the Ethics Act, Regulations of the State Ethics
Commission, and instructions for filing the Statement of Financial Interests form, the filer of the
form is required to list, in pertinent part, each public position for which the filer is a current or
former public official of the Commonwealth or one of its political subdivisions. Accordingly, the
answer to the question of whether the State Legislator would be required to disclose on his
Statement of Financial Interests his status as a Member of the \[Body\] hinges upon whether the
State Legislator, in that position, would be considered a “public official” of the Commonwealth or
one of its political subdivisions.
The term "public official" is defined in the Ethics Act as follows:
§ 1102. Definitions
"Public official." Any person elected by the public or
elected or appointed by a governmental body or an appointed
official in the executive, legislative or judicial branch of this
Commonwealth or any political subdivision thereof, provided that it
shall not include members of advisory boards that have no authority
to expend public funds other than reimbursement for personal
expense or to otherwise exercise the power of the State or any
political subdivision thereof.
65 Pa.C.S. § 1102.
The related terms “governmental body” and “political subdivision” are defined in the
Ethics Act as follows:
"Governmental body." Any department, authority,
commission, committee, council, board, bureau, division,
service, office, officer, administration, legislative body or
Confidential Advice, 25-540
September 26, 2025
Page 4
other establishment in the executive, legislative or judicial
branch of a state, a nation or a political subdivision thereof
or any agency performing a governmental function.
"Political subdivision." Any county, city, borough,
incorporated town, township, school district, vocational
school, county institution district, and any authority, entity
or body organized by the aforementioned.
65 Pa.C.S. § 1102.
In applying the above provisions of the Ethics Act to the instant matter, you are advised as
follows.
Although the \[Body\] is a “governmental body” as that term is defined in the Ethics Act,
the \[Body\], as an entity established pursuant to \[a Type of Agreement\], is not an instrumentality
of the Commonwealth or a political subdivision of the Commonwealth. Therefore, in his capacity
as an appointed Member of the \[Body\], the State Legislator is not a “public official” of the
Commonwealth or one of its subdivisions. Accordingly, the State Legislator is not required to
disclose on his Statement of Financial Interests his status as a Member of the \[Body\].
Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act.
Pursuant to Section 1107(11) of the Ethics Act, 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 requester 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.
Respectfully,
Bridget K. Guilfoyle
Chief Counsel