STATEMENTS OF FINANCIAL INTEREST (FIS) By Shelley A. Houk

STATEMENTS OF FINANCIAL INTEREST (FIS)
By Shelley A. Houk, PSAB director of research
The deadline for filing Statements of Financial Interest (FIS) with the borough is May 1, 2015 for
current public officials and certain public employees.
Below are frequently asked questions concerning the PA Statements of Financial Interest based on both
the PA State Ethics Law as well as from the PA State Ethics Commission. Be sure to contact the SEC’s
web site for further information and directions at www.ethics.state.pa.us or call 1-800-932-0936.
Q. Which public officials are required to file?
A. Under the definitions section the following are considered public officials if involved in: “contracting
or procurement; administering or monitoring grants or subsidies; planning or zoning; inspecting,
licensing, regulating or auditing any person; or any other activity where the official action has an
economic impact of greater than a de minimis nature on the interests of any person.” This also includes
the police chief if he is involved in grants, but not rank and file officers.
Also included are borough solicitors however the solicitor files in one borough and then attaches a
separate paper to list all the municipalities he represents.
Q. I am an elected official currently drawing unemployment compensation from my former job. Am I
required to report the U.C. payments on my Statement of Financial Interest?
A. No, these payments should not be reported.
Q. I am a council person and my spouse does not want to disclose his income on my statement. Are
they required to do so?
A. In 1983 the PA State Supreme Court ruled that requiring spouses and immediate family members to
disclose their finances was unconstitutional.
Q. Must the members of our borough’s Recreation Board file FIS?
A. No, not if their function is purely as an advisory body to council. The State Ethics Commission does
not include members of advisory boards having no authority to expend public funds or to otherwise
exercise the power of the state or political subdivision.
Q. Must our planning commission and zoning hearing board members file FIS?
A. Zoning Hearing Board members must file. Planning Commission members file when they have the
authority to approve subdivision plans, but not if their role is strictly as an advisory body to the council.
Q. What are the specific income thresholds in the State Ethics Law?
A. Section 1105 (b) (5) requires the reporting of sources of income greater than $1,300 and over per
year. Section 1105 (b) (6) requires the reporting of gifts valued at $250 or more, as well as the source of
such gifts. Reimbursement for transportation or lodging exceeding $650 in the aggregate must be
reported.
Q. What is the penalty for someone who fails to file the FIS?
A. The official or public employee may be found guilty of a misdemeanor and fined up to $1,000 or may
be imprisoned for up to one year, or both.
Q. Are Statements of Financial Interest public records?
A. Yes and they can be inspected and duplicated.
Q. Our mayor will be on vacation for several weeks. Since the FIS must be filed with the borough by
May 1st, can she complete it when she returns in mid-May and date it May 1st?
A. No, there are severe penalties for backdating forms. Even if an official is ordered by the State Ethics
Commission to file missing years, he can only put the current date on the form and not the date it
should have been filed.
Q. A couple of officials who left office last year did not file their FIS with the borough. To what extent
am I, the borough secretary, required to keep contacting them?
A. The State Ethics Act does not address this provision however, if a former official does not file his FIS
anyone can file a complaint with the State Ethics Commission and they will investigate.