- Fri Jul 06, 2007 1:14 pm
#324962
This information was obtained from the PA State Ethics Commission website:
Ethics Information
Who is Covered?
The State Ethics Act applies generally to public officials and public employees. Candidates and nominees for public office or employment are also subject to certain provisions in the Ethics Law.
Public Officials
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 the state 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.
Public Employees
Any individual employed by the Commonwealth or a political subdivision who is responsible for taking or recommending official action of a non-ministerial nature with regard to: (1) contracting; (2) administering or monitoring grants or subsidies; (3) planning or zoning; (4) inspecting, licensing, regulating, or auditing any person; or (5) any other activity where the official action has an economic impact of greater than a de minimis nature on the interests of any person.
The term of "public employee" shall not include individuals who are employed by the state or any political subdivision thereof in teaching as distinguished from administrative duties.
Candidates
Any individual who seeks nomination or election to public office by vote of the electorate, other than a judge of elections, inspector of elections, or official of a political party, whether or not such individual is nominated or elected. An individual shall be deemed to be seeking nomination or election to such office if he has: (1) received a contribution or made an expenditure for the purpose of influencing his nomination or election to such office, whether or not the individual has announced the specific office for which he will seek nomination or election at the time the contribution is received or the expenditure is made; or (2) take the action necessary under the laws of this Commonwealth to qualify himself for nomination or election to such office.
The term shall include individuals nominated or elected as write-in candidates unless they resign such nomination or elected office within 30 days of having been nominated or elected.
Nominees
Any person whose name has been submitted to a public official or governmental body vested with the power to finally confirm or reject proposed appointments to public office or employment.
Restricted Activities Under The Ethics Act
Restricted Activities
The Public Official and Employee Ethics Act provides certain restricted activities in which public officials and public employees may not engage. These restrictions provide the basis upon which Commission rulings are issued.
(a) No public official or public employee shall engage in conduct that constitutes a conflict of interest. A conflict of interest is defined as use by a public official or public employee of the authority of his office or employment or any confidential information received through his holding public office or employment for the private pecuniary benefit of himself, a member of his immediate family, or a business with which he or a member of his immediate family is associated. "Conflict" or "conflict of interest" does not include an action having a de minimis economic impact or which affects to the same degree a class consisting of the general public or a subclass consisting of an industry, occupation, or other group which includes the public official or public employee, a member of his immediate family, or a business with which he or a member of his immediate family is associated.
(b) No person shall offer or give to a public official, public employee, or nominee or candidate for public office or a member of his immediate family or a business with which he is associated, anything of monetary value, including a gift, loan, political contribution, reward or promise of future employment based on the offeror's or donor's understanding that the vote, official action, or judgment of the public official or public employee or nominee or candidate for public office would be influenced thereby.
(c) No public official, public employee or nominee or candidate for public office shall solicit or accept anything of monetary value, including a gift, loan, political contribution, reward, or promise of future employment based on any understanding of that public official, public employee or nominee that the vote, official action, or judgment of the public official or public employee or nominee or candidate for public office would be influenced thereby.
(d) No public official or public employee shall accept an honorarium.
(e)(1) No person shall solicit or accept a severance payment or anything of monetary value contingent upon the assumption or acceptance of public office or employment.
(e)(2) This subsection shall not prohibit:
(i) Payments received pursuant to an employment agreement in existence prior to the time a person becomes a candidate or is notified by a member of a transition team, a search committee, or a person with appointive power that he is under consideration for public office or makes application for public employment.
(ii) Receipt of a salary, fees, severance payment, or proceeds resulting from the sale of a person's interest in a corporation, professional corporation, partnership, or other entity resulting from termination or withdrawal therefrom upon the assumption or acceptance of public office or employment.
(e)(3) Payments made or received pursuant to paragraph (2)(i) and (ii) shall not be based on the agreement, written or otherwise, that the vote or official action of the prospective public official or public employee would be influenced thereby.
(f) No public official or public employee or his spouse or child or any business in which the person or his spouse or child is associated shall enter into any contract valued at $500 or more with the governmental body with which the public official or public employee is associated or any subcontract valued at $500 or more with any person who has been awarded a contract with the governmental body with which the public official or public employee is associated, unless the contract has been awarded through an open and public process, including prior public notice and subsequent public disclosure of all proposals considered and contracts awarded. In such a case, a public official or public employee shall not have any supervisory or overall responsibility for the implementation or administration of the contract. Any contract or subcontract made in violation of this subsection shall be voidable by a court of competent jurisdiction if the suit is commenced within 90 days of the making of the contract or subcontract.
(g) No former public official or public employee shall represent a person, with promised or actual compensation, on any matter before the governmental body with which he has been associated for one year after he leaves that body.
(h) No person shall use for any commercial purpose information copied from statements of financial interests required by the Ethics Act or from lists compiled from such statements.
(i) No former executive-level state employee may for a period of two years from the time that he terminates his state employment be employed by, receive compensation from, assist or act in a representative capacity for a business or a corporation that he actively participated in recruiting to the Commonwealth of Pennsylvania or that he actively participated in inducing to open a new plant, facility, or branch in the Commonwealth or that he actively participated in inducing to expand an existent plant or facility within the Commonwealth, provided that the above prohibition shall be invoked only when the recruitment or inducement is accomplished by a grant or loan of money or a promise of same from the Commonwealth to the business or corporation recruited or induced to expand.
(j) Where voting conflicts are not otherwise addressed by the Constitution of Pennsylvania or by any law, rule, regulation, order or ordinance, the following procedure shall be employed. Any public official or public employee, who in the discharge of his official duties, would be required to vote on a matter that would result in a conflict of interest shall abstain from voting and, prior to the vote being taken, publicly announce and disclose the nature of his interest as a public record in a written memorandum filed with the person responsible for recording the minutes of the meeting at which the vote is taken, provided that whenever a governing body would be unable to take any action on a matter before it because the number of members of the body required to abstain from voting under the provisions of this section makes the majority or other legally required vote of approval unattainable, then such members shall be permitted to vote if disclosures are made as otherwise provided herein. In the case of a three-member governing body of a political subdivision, where one member has abstained from voting as a result of a conflict of interest, and the remaining two members of the governing body have cast opposing votes, the member who has abstained shall be permitted to vote to break the tie vote if disclosure is made as otherwise provided herein.
NOTE: The foregoing provisions relate to Act 9 of 1989 and Act 93 of 1998 and apply to courses of conduct and activities that have occurred since June 26, 1989. For the purposes of addressing actions that have occurred prior to that date, Act 9 specifically provides that the previously existing Ethics Act, Act 170 of 1978, shall remain in full force and effect. Further questions regarding this particular situation may be addressed to a representative of the State Ethics Commission.
Filing a Statement of Financial Interests
The Public Official and Employee Ethics Act requires public officials, public employees, candidates, and nominees to file statements of their personal financial interests.
Who Must File
All "public employees" defined as individuals employed by the Commonwealth or by a political subdivision who are responsible for taking or recommending official non-ministerial (requiring judgment and discretion) action concerning 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.
*Gubernatorial nominees who need Senate confirmation.
*State, county, and local level nominees.
*Candidates for state, county, and local public office.
*Elected state, county, and local public officials.
*Appointed state, county, and local public officials who have the authority to expend public funds or otherwise exercise the power of the state or a political subdivision.
*Persons who serve as full-time or part-time solicitors.
NOTE: Public officials shall not include members of advisory boards having no authority to expend public funds or to otherwise exercise the power of the state or a political subdivision.
Where to File
* Employees of the Commonwealth file ONLY with their respective agency, department, or bureau personnel office.
* Employees of county and local political subdivisions file ONLY with the governing authority of their political subdivision.
* Incumbent county and local public officials (who are NOT candidates) including authority members file ONLY with the governing authority of their political subdivision.
* Incumbent Commonwealth Executive Branch public officials and appointed members of boards and commissions file with the State Ethics Commission, Governor's Office of Administration, AND with the department, agency, board or commission to which they are appointed.
* Incumbent Commonwealth Legislative Branch public officials file with the State Ethics Commission AND the Chief Clerk of the House of Representatives or the Secretary of the Senate, whichever applies.
* Incumbent Commonwealth public officials of independent state agencies file with the State Ethics Commission AND with the agency with which they are associated.
* Constables file with the State Ethics Commission.
* Gubernatorial and state-level nominees file with the State Ethics Commission AND with the Senate Caucus Secretary in charge of executive nominations.
* County and local-level nominees file with the governing authority of the political subdivision and, if different, with the official or body vested with the power of confirmation.
* Candidates for a state-level public office file with the State Ethics Commission AND append a copy to the petition to appear on the ballot.
* Candidates for county and local-level public office file with the governing authority of the political subdivision in which they are candidates AND append a copy to the petition to appear on the ballot.
* Write-in candidates (including winners) not seeking office through the nomination petition process shall file ONLY with the governing authority of the political subdivision as to a county or local-level office OR with the State Ethics Commission ONLY as to a state-level office.
When to File
* Nominees file no later than 10 days before confirmation.
* Public employees and public officials who are not candidates file no later than May 1 of each year a position is held and the year after leaving a position.
* Officials appointed between January 1 and May 1 file no later than May 1.
* Officials appointed after May 1 file by May 1 of the following year.
* Candidates file on or before the last day for filing a petition to appear on the ballot for election.
* Write-in winners of nominations or elections shall file within 30 days of having been nominated or elected unless such person declines the nomination or elected office within that period of time.
NOTE: Only one Statement of Financial Interets is required for each year. If multiple positions are held, all such positions may be listed on the same form. A copy of the form must be filed at all of the filing locations that are required for each of the positions sought/held.
What to File
Filers are required to disclose financial information concerning the prior calendar year. No dollar amounts are required for any of these items except for gifts and certain reportable expense payments/reimbursements. The information pertains only to the filer and includes:
* The name, address(work or residence), public position, and the public positions sought or held by the filer.
* The occupation or profession of the filer.
* Real estate interests in which the Commonwealth or a political subdivision is involved.
* Creditors owed in excess of $6,500 and the interest rate thereon except those relating to the principal or secondary residence of the filer. Loans extended between members of the immediate family need not be listed.
* Sources of income totaling $1,300 or more which includes employers, payments, fees, salaries, expenses, allowances, forbearances, any forgiveness, interest, dividends, royalties, rents, capital gains, rewards, severance payments, prize winnings, and tax exempt income. This does not include gifts, governmentally mandated payments, or retirement, pension or annuity payments funded totally by contributions of the official/employee.
NOTE: The governmental body which the filer serves must be listed if income in excess of $1,300 has been received.
* Sources and values of gifts of $250 or more in the aggregate and the circumstances thereof. Gifts from family members and friends are exempt.
NOTE: For purposes of reporting gifts under the Act, the term "friend" does not include a registered lobbyist or employee thereof.
* The source and amount of payments/reimbursements for transportation, lodging, or hospitality expenses exceeding $650 in the course of a single occurrence made in connection with public office or employment. Such payments from a governmental body or associations of public officials/employees in which such officials/employees officially serve are exempt.
* Any office, directorship, or employment of any nature whatsoever in any business entity.
* Ant financial interest in any legal entity engaged in business for profit. (More than a 5% interest in a business entity is considered a financial interest).
* Identity of any financial interest in a business which has been transferred to a member of the filer's immediate family (parent, spouse, child, brother, sister) during the prior calendar year.
Penalty for Failure to File
* Any person who is required to file a Statement of Financial Interests and fails to do so properly may be found guilty of a misdemeanor and upon conviction may be fined not more than $1,000 and/or imprisoned for not more than one year.
* The failure of a candidate to properly file shall be a fatal defect to a petition to appear on the ballot.
* No public official shall be allowed to take the oath of office, enter or continue upon his duties, or be compensated from public funds unless such statement has been filed as required by the Ethics Act.
* Any public official, public employee, candidate, nominee, or solicitor who is required to file a statement and does not do so or who files a deficient statement may in addition to any other civil remedy or criminal penalty under the Ethics Act, be penalized no more than $25 per day for each day said statement is delinquent or deficient, up to $250.
Public Inspection
Statements of Financial Interests on file with the State Ethics Commission are available for public inspection and copying between the hours of 8:00 a.m. and 5:00 p.m. (ET), Monday through Friday (excluding legal holidays). There is a charge of 25¢ per page.
All Statements of Financial Interests must be made available for public inspection and copying during regular office hours and copy facilities must be made available at an amount not to exceed actual cost.
