PENNSYLVANIA PUBLIC OFFICIAL AND EMPLOYEE ETHICS ACT

PENNSYLVANIA

PUBLIC OFFICIAL

AND EMPLOYEE

ETHICS ACT

STATE ETHICS COMMISSION

Finance Building

613 North Street, Room 309

Harrisburg, PA 17120-0400

(717) 783-1610

Toll Free – 800-932-0936

Fax – 717-787-0806

http://www.ethics.pa.gov

email: ra-ethicswebm[email protected]v

Rev. 06/18

Retaliation Ethics Act, Section 1108(j)

Witnesses Ethics Act, Section 1108(g)

Condentiality Ethics Act, Section 1108(k)

Violations of Chapter Ethics Act, Section 1108(e)

Conict of Interest

Denition Ethics Act, Section 1102

Restricted Activities Ethics Act, Section 1103(a)

Voting Ethics Act, Section 1103(j)

Contracting Ethics Act, Section 1103(f)

Denition Ethics Act, Section 1102

Gis

Prohibitions

Acceptance Ethics Act, Section 1103(c)

Inuence Ethics Act, Section 1103(b)

Reporting resholds Ethics Act, Section 1105(6)

Honorariums

Denition Ethics Act, Section 1102

Restricted Activities Ethics Act, Section 1103(d)

Immediate Family

Denition

Ethics Act, Section 1102

Seeking Improper Inuence

Ethics Act, Section 1103(b)

Statement of Financial Interests Disclosure

Investigations

Full

Preliminary

Ethics Act, Section 1105(4)(10)

Ethics Act, Section 1108(c)

Ethics Act, Section 1108(a)

Penalties

Restricted Activities Ethics Act, Section 1109(a)

Statement of Financial Interests

Ethics Act, Section 1109(b)

Revolving Door Ethics Act, Section 1103(g)

Severance Payments Ethics Act, Section 1103(e)

Solicitors

Denition Ethics Act, Section 1102

Statement of Financial Interests Filing Requirement

Ethics Act, Section 1104(a)

Reliance on Solicitor’s Opinion

Ethics Act, Section 1109(g)

Statement of Financial Interests

Failure to File Ethics Act, Section 1104(d)

Filing Requirement for Public Ocial or Public

Employee Ethics Act, Section 1104(a)

Filing Requirement for State-Level Public Oce

Candidate Ethics Act, Section 1104(b)

Filing Requirement for State-Level Public Oce

Nominee Ethics Act, Section 1104(c)

Required Information Ethics Act, Section 1105(b)

Reporting Amounts Ethics Act, Section 1105(d)

Statute of Limitations Ethics Act, Section 1108(m)

ree-Member Board Ethics Act, Section 1103(j)

Voting Conicts Ethics Act, Section 1103(j)

Wrongful Acts

Frivolous Complaint Ethics Act, Section 1108(l)

Retaliation Ethics Act, Section 1108(j)

TABLE OF CONTENTS

Introduction .................................. 1

Ethics Act ..................................... 2

Frequently Asked Questions

Powers and Duties

.......................... 30

Statement of Financial Interests .............. 31

Conicts of Interest ......................... 36

Ethics Act ................................. 38

Lobbying Disclosure Law .................... 40

Gaming Act ............................... 40

Medical Marijuana Act ...................... 41

Act 114 of 2016 ............................ 41

Key Word Index .............................. 41

members, the requestor will be advised of the

date, time, and place of the Commission meet-

ing, at which the Opinion will be considered. e

requestor may attend this meeting and make a

presentation.

Q: What is the eect of an Advice/Opinion once is-

sued by the Commission?

A: No person who acts in good faith on an Opinion

that was issued to him by the Commission will

be the subject of either criminal or civil penalties

for acting in conformity with the language of the

Opinion, provided that he truthfully disclosed all

material facts in the Opinion requested.

An Advice issued by the Commission’s Chief

Counsel is a complete defense in any enforce-

ment proceeding initiated by the Commission

and if followed, is considered evidence of good

faith conduct in any other civil or criminal

proceeding.

Lobbying Disclosure Law:

Q: What are the Commission’s duties and responsibili-

ties under the Lobbying Disclosure Law?

A: e Commission is authorized to issue advisory

opinions, as well as to conduct investigations and

enforcement actions in relation to violations of

the Lobbying Disclosure Law.

Gaming Act:

Q: What are the Commission’s duties and responsibili-

ties under the Gaming Act?

A: Pursuant to the Gaming Act, the Commission

is responsible for: (1) making determinations as

to whether certain individuals employed by the

Gaming Control Board or independent contrac-

tors of the Board would be subject to certain

“revolving-door” provisions within the Gaming

Act; (2) biennially publishing a listing of all state,

county, municipal and other government posi-

tions meeting the denitions of the terms “public

ocial” or “executive-level public employees” set

forth in the Gaming Act; and (3) determining

whether deadlines should be extended concern-

ing enumerated individuals’ requirement to

divest themselves of nancial interests prohibited

INTRODUCTION

e Pennsylvania State Ethics Commission’s core

mission and guiding principle is that public oce is

a public trust and that any eort to realize personal

nancial gain through one’s public oce other than

compensation provided by law is a violation of that

trust. e Pennsylvania Public Ocial and Employee

Ethics Act, Act 170 of 1978, became eective on Janu-

ary 1, 1979, and in subsequent years was amended

and reenacted in 1989, codied in 1998, and amended

in 2006. roughout its history, the Ethics Commis-

sion has remained ever vigilant and steadfast in its

mission of ensuring the public’s condence in state

and local government.

e Ethics Commission is an independent state

agency charged with the responsibility of enforc-

ing the Ethics Act. e Ethics Act applies to elected

and appointed public ocials and public employees.

Candidates and nominees for public oce are also

subject to certain provisions of the Ethics Act. e

Ethics Commission’s responsibilities under the Ethics

Act include rendering advisory opinions regarding

the Ethics Act, enforcing the Ethics Act as it relates

to the ling of Statement of Financial Interests forms,

investigating alleged violations of the Ethics Act, and

issuing decisions in relation to such investigations.

Pursuant to the Lobbying Disclosure Law, 65

Pa.C.S. § 13A01 et seq., the Commission has duties

involving enforcement of the reporting requirements

of the law, investigations of Lobbying Law violations,

and the issuance of advisory opinions regarding the

Lobbying Disclosure Law.

e Ethics Commission holds additional respon-

sibilities pursuant to the Pennsylvania Race Horse

Development and Gaming Act, 4 Pa.C.S. § 1101 et

seq, and Act 16 of 2016, known also as the Medi-

cal Marijuana Act. Under both, the Commission is

charged with generating a public listing of all state,

county, municipal, and other government positions

meeting the denitions of the terms “public ocial”

or “executive-level public employee” as set forth in the

Act(s), as well as issuing “Determinations” specic to

the Gaming Act and Medical Marijuana Act.

Also, in 2016, pursuant to Act 114 of 2016, the

Commission was assigned additional responsibilities

of publishing a list of all employment positions within

the State Horse Racing Commission with duties that

would subject those individuals to “revolving door/

post-termination” restrictions, as well as making de-

terminations whether individuals would be subject to

the “revolving door/post-termination” restrictions.

rough the interpretation and enforcement of the

Ethics Act and its responsibilities under the Gaming

Act, the Medical Marijuana Act, Act 114 of 2016 and

the Lobbying Disclosure Law, the Ethics Commission

strives to strengthen the faith and condence of the

citizens of the Commonwealth in their government.

PENNSYLVANIA PUBLIC OFFICIAL

AND EMPLOYEE ETHICS ACT

65 Pa.C.S. §1101 et seq.

Section

1101. Short title of chapter.

1101.1. Purpose.

1102. Denitions.

1103. Restricted activities.

1104. Statement of Financial Interests required to

be led.

1105. Statement of Financial Interests.

1106. State Ethics Commission.

1107. Powers and duties of Commission.

1108. Investigations by Commission.

1109. Penalties.

1110. Wrongful use of chapter.

1111. Supplemental provisions.

1112. Conict of law.

1113. Severability.

§ 1101. Short title of chapter

is chapter shall be known and may be cited as the

Public Ocial and Employee Ethics Act.

§ 1101.1. Purpose

(a) Declarations.–e Legislature hereby declares

that public oce is a public trust and that any

eort to realize personal nancial gain through

public oce other than compensation provided

Q: How does one request an Advice/Opinion from the

Commission?

A: All requests must be in writing. Requests should

be addressed as follows: State Ethics Commis-

sion, Attention: Legal Division, Finance Build-

ing, 613 North Street, Room 309, Harrisburg,

PA 17120-0400. At a minimum, the following

information should be provided:

• Name, address and telephone number of the

subject of the request and if dierent, the

name, address and telephone number of the

person initiating the request.

• Where applicable, the name of the govern-

mental body with which the subject serves

and the name or title of such person’s public

oce or position.

• If the requester is the appointing authority,

employer or authorized representative of

the subject of the request, the nature of such

relationship.

• Where applicable, the nature of duties of the

subject’s oce or job. Include an organiza-

tion chart, bylaws of the organization, if

available, and a job description.

• List the material facts and circumstances

surrounding the request.

Q: How is the request for an Advice/Opinion pro-

cessed by the Commission, and will the Advice or

Opinion be made public?

A: e Commission will advise within 14 days

whether an Advice or Opinion may be issued.

An Advice is issued by the Commission’s Chief

Counsel where Commission precedent, court

cases, the Ethics Act, the Lobbying Disclosure

Law, and/or Regulations provide the basis upon

which to render such Advice. An Advice can

usually be issued to a person within 21 working

days of the Commission’s receipt of the request.

In some cases, however, the time may be ex-

tended. An Advice may be appealed to the full

Commission.

If an Opinion will be issued by the Commission

Ethics Act:

Q: How do I le an Ethics complaint or a Lobbying

complaint with the Commission?

A: Complaint forms are available at the Pennsylva-

nia State Ethics Commission website: http://www.

ethics.pa.gov. Upon access to the Website, click

on the link entitled “Forms.” ere is a separate

PDF form and instructions for an Ethics com-

plaint versus a Lobbying complaint. Paper forms

are also available upon request from the State

Ethics Commission. e complaint should state

the name, job or oce held by the subject of the

complaint, and a description of the facts which

are alleged to constitute a violation of either the

Ethics Act or the Lobbying Disclosure Law. Com-

plaints must be sworn before a notary public.

Q: If a public ocial/public employee violates the

Ethics Act, can he “undo” the violation through

remedial measures?

A: e Commission has held that “remedial mea-

sures,” such as to rescind a prior vote, DO NOT

“undo” or negate a violation if such has occurred,

but may be considered as mitigating circum-

stances when the Commission considers the

imposition of an appropriate penalty or referral

for criminal prosecution.

Q: Who may request an Advice/Opinion from the

State Ethics Commission?

A: Under the Ethics Act, anyone who is subject to

the Ethics Act may request an advisory about his

or her own obligations. An advisory may also

be requested by the authorized representative of

such person or by the appointing authority or

employer of such person.

Under the Lobbying Disclosure Law, a lobby-

ist, lobbying rm, principal, the Pennsylvania

Department of State, a State employee, or the

Disciplinary Board of the Supreme Court of

Pennsylvania may request an advisory regarding

compliance with the Lobbying Disclosure Law.

An advisory may also be requested by the autho-

rized representative of the aforesaid individuals

or entities.

by law is a violation of that trust. In order to

strengthen the faith and condence of the people

of this Commonwealth in their government, the

Legislature further declares that the people have

a right to be assured that the nancial interests of

holders of or nominees or candidates for pub-

lic oce do not conict with the public trust.

Because public condence in government can

best be sustained by assuring the people of the

impartiality and honesty of public ocials, this

chapter shall be liberally construed to promote

complete nancial disclosure as specied in this

chapter. Furthermore, it is recognized that clear

guidelines are needed in order to guide public

ocials and employees in their actions. us,

the General Assembly by this chapter intends to

dene as clearly as possible those areas which

represent conict with the public trust.

(b) Recognition.–It is recognized that many public

ocials, including most local ocials and mem-

bers of the General Assembly, are citizen-ocials

who bring to their public oce the knowledge

and concerns of ordinary citizens and taxpayers.

ey should not be discouraged from maintain-

ing their contacts with their community through

their occupations and professions. us, in order

to foster maximum compliance with its terms,

this chapter shall be administered in a manner

that emphasizes guidance to public ocials and

public employees regarding the ethical standards

established by this chapter.

Assembly that this chapter be administered by an

independent commission composed of members

who are cognizant of the responsibilities and

burdens of public ocials and employees and

who have demonstrated an interest in promoting

public condence in government.

§ 1102. Denitions

e following words and phrases when used in this

chapter shall have, unless the context clearly indicates

otherwise, the meanings given to them in this section:

“Ad v i c e.” Any directive of the chief counsel of

the State Ethics Commission issued under section

1107(11) (relating to powers and duties of Commis-

sion) and based exclusively on prior Commission

opinions, this chapter, regulations promulgated

pursuant to this chapter and court opinions which

interpret this chapter.

“Aggregate.” e total of all gis received from a

single source as provided in section 1105(b)(6) (relat-

ing to Statement of Financial Interests).

“Authority of oce or employment.” e actual

power provided by law, the exercise of which is neces-

sary to the performance of duties and responsibilities

unique to a particular public oce or position of

public employment.

“Business.” Any corporation, partnership, sole

proprietorship, rm, enterprise, franchise, associa-

tion, organization, self-employed individual, holding

company, joint stock company, receivership, trust or

any legal entity organized for prot.

“Business with which he is associated.” Any busi-

ness in which the person or a member of the person’s

immediate family is a director, ocer, owner, employ-

ee or has a nancial interest.

“Candidate.” Any individual who seeks nomination

or election to public oce by vote of the electorate,

other than a judge of elections, inspector of elections

or ocial 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 oce if he has:

(1) received a contribution or made an expenditure

or given his consent for any other person or

committee to receive a contribution or make an

expenditure for the purpose of inuencing his

nomination or election to such oce, whether or

not the individual has announced the specic of-

ce for which he will seek nomination or election

at the time the contribution is received or the

expenditure is made; or

(2) taken the action necessary under the laws of this

Commonwealth to qualify himself for nomina-

tion or election to such oce.

A: ere are two voting conict exceptions in Sec-

tion 1103(j) of the Ethics Act. e exception for

breaking a tie vote despite a conict of interest

is available exclusively to members of three-

member governing bodies who rst abstain and

disclose their conicts as required by Section

1103(j) of the Ethics Act. See, Pavlovic, Opinion

02-005. erefore, the Section 1103(j) exception

for breaking a tie vote despite a conict of interest

would not be applicable for a board containing

more than three members. e other voting con-

ict exception is not limited to a three-member

governing body but requires that the following

conditions be met: (1) the board must be unable

to take any action on the matter before it because

the number of members required to abstain from

voting under the provisions of the Ethics Act

makes the majority or other legally required vote

of approval unattainable; and (2) prior to voting,

such members with conicts under the Ethics

Act must disclose their conicts as required by

Section 1103(j). When both of these conditions

are met, such that the exception is applicable,

the exception allows for voting only—it does not

permit other forms of participation, such as dis-

cussing the matter that is the subject of the vote.

Klutzaritz, Order 1078; Pavlovic, supra.

Q: What is a conict of interest under the Ethics Act?

A: Under the Ethics Act, a conict of interest exists

when a person uses the authority of their public

oce/employment or condential information

received through their public oce/employment,

which is used for the private pecuniary benet of

the public ocial/public employee himself, any

member of his immediate family, or a business

with which he or a member of his immediate

family is associated. 65 Pa.C.S. §§ 1102, 1103(a).

e term “business with which he is associated”

is dened as “Any business in which the person

or a member of the person’s immediate family is

a director, ocer, owner, and employee or has a

nancial interest.” 65 Pa.C.S. § 1102.

Q: Is a judge who is a candidate for election to a judi-

cial seat required to le the Statement of Financial

Interests (SFI) form as a candidate under Section

1104(b) of the Ethics Act?

A: Yes. Members of the judiciary who are candidates

in a judicial election are required to le State-

ments of Financial Interests in conformance with

Section 1104(b) of the Ethics Act.

Conicts of Interest:

Q: What are the restrictions regarding contracting for

Public Employees and Public Ocials?

A: e restrictions for contracting are set forth in

Section 1103(f) of the Ethics Act which pro-

hibits a public ocial/public employee or his/

her spouse, child, or any business the ocial/

employee, spouse or child is associated with,

from entering into a contract (or subcontract)

valued at $500 or more with the governmental

body of the public ocial/employee unless the

contract has been awarded through an open and

public process. An open and public process is not

necessarily competitive bidding, but at a mini-

mum includes prior public notice and subsequent

public disclosure of all proposals considered and

contracts awarded.

Q: What does the 1-year “Revolving Door” provision

of the Ethics Act prohibit?

A: Section 1103(g) of the Ethics Act (Revolving

Door) prohibits a former public ocial/public

employee from representing a person (including

themselves) for compensation before the ocial/

employee’s former governmental body for one

year aer the ocial/employee leaves service.

e terms “person” and “represent” are broadly

dened and would include a former employee

returning as an independent contractor. Caution

should be taken when one considers leaving pub-

lic service and engaging in any business ventures

with a former governmental entity.

Q: Are there any exceptions allowing a public ocial

with a conict of interest under the Ethics Act to

vote despite the conict?

e term shall include individuals nominated or

elected as write-in candidates unless they resign such

nomination or elected oce within 30 days of having

been nominated or elected.

“Commission.” e State Ethics Commission.

“Condential information.” Information not

obtainable from reviewing a public document or

from making inquiry to a publicly available source of

information.

“Conict” or “conict of interest.” Use by a public

ocial or public employee of the authority of his of-

ce or employment or any condential information

received through his holding public oce or employ-

ment for the private pecuniary benet of himself, a

member of his immediate family or a business with

which he or a member of his immediate family is as-

sociated. e term does not include an action having

a de minimis economic impact or which aects 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 ocial or pub-

lic employee, a member of his immediate family or a

business with which he or a member of his immediate

family is associated.

“Contract.” An agreement or arrangement for the

acquisition, use or disposal by the Commonwealth or

a political subdivision of consulting or other services

or of supplies, materials, equipment, land or other

personal or real property. e term shall not mean

an agreement or arrangement between the State or

political subdivision as one party and a public ocial

or public employee as the other party, concerning his

expense, reimbursement, salary, wage, retirement or

other benet, tenure or other matters in consideration

of his current public employment with the Common-

wealth or a political subdivision.

“De minimis economic impact.” An economic con-

sequence which has an insignicant eect.

“Executive-level State employee.” e Governor,

Lieutenant Governor, cabinet members, deputy

secretaries, the Governor’s oce sta, any State

employee with discretionary powers which may aect

the outcome of a State agency’s decision in relation

to a private corporation or business or any employee

who by virtue of his job function could inuence the

outcome of such a decision.

“Financial interest.” Any nancial interest in a legal

entity engaged in business for prot which comprises

more than 5% of the equity of the business or more

than 5% of the assets of the economic interest in

indebtedness.

“Findings report.” An initial report containing

ndings of fact as determined by the State Ethics

Commission’s investigation but not containing any

conclusions of law or any determination of whether

there has been a violation of law.

“Frivolous complaint.” A complaint led in a grossly

negligent manner without basis in law or fact.

“G i .” As dened in section 13A03 (relating to

denitions).

“Governmental body.” Any department, authority,

commission, committee, council, board, bureau, divi-

sion, service, oce, ocer, administration, legislative

body or other establishment in the executive, legisla-

tive or judicial branch of a state, a nation or a politi-

cal subdivision thereof or any agency performing a

governmental function.

“Governmental body with which a public ocial

or public employee is or has been associated.” e

governmental body within State government or a

political subdivision by which the public ocial or

employee is or has been employed or to which the

public ocial or employee is or has been appointed

or elected and subdivisions and oces within that

governmental body.

“Honorarium.” Payment made in recognition of

published works, appearances, speeches and presen-

tations and which is not intended as consideration

for the value of such services which are nonpublic

occupational or professional in nature. e term does

not include tokens presented or provided which are of

de minimis economic impact.

“Hospitality.” As dened in section 13A03 (relating

to denitions).

“Immediate family.” A parent, spouse, child, brother

or sister.

For School Director candidates: e original

copy must be led in the School District where

you are a candidate, and a copy must be ap-

pended to your nomination petition when led

with the County Board of Elections. is must

be completed on or before the last day for ling a

petition to appear on the Ballot for Election.

For Announced Write-ins, Unannounced

Write-in Winners of Nominations, and Unan-

nounced Write-in Winners of Elections: For

state oce, le with the State Ethics Commission.

For county or local oce, le with the governing

authority of the political subdivision. No addi-

tional copy is required to be led. is must be

completed within 30 days of ocial certication

of having been nominated or elected unless such

person declines the nomination or oce within

that time frame.

Q: Must a school district employee with duties that

include recommending equipment purchases le

Statements of Financial Interests (SFIs) pursuant

to the Ethics Act, or is the ling requirement only

limited to school directors, superintendents and

solicitors?

A: Yes. Although school directors, superintendents

and solicitors certainly are subject to the ling

requirement—as would be assistant superin-

tendents, school business managers, and prin-

cipals—the ling requirement is not limited to

only these positions.

Because status as a public employee is deter-

mined based upon duties and authority rather

than job titles, and because positions and duties

may vary greatly from one school district to

another, it is not feasible to create one listing of

all school district positions subject to the ling

requirement. Rather, the duties and authority of

each position must be considered to determine

status as a public employee.

An employee with duties including recommend-

ing equipment purchases would typically fall

within the denition of “public employee” and

would be subject to the requirements for ling

Statements of Financial Interests.

“employee.” Additionally, if you serve as a member

of a nonprot board, such as a community group

or organization, even though you may receive

no compensation for this position, you would

be considered an oce holder, and would report

your position here.

Q: Regarding the Statement of Financial Interests

(SFI) Form ling for Candidates running for oce,

who, when and where should they le?

A: Candidates for Statewide oces, which include

State Senate, State House, Supreme Court, Supe-

rior Court, Common Pleas Court, Trac Court,

Municipal Court and Commonwealth Court: e

original copy of the SFI form must be led with

the State Ethics Commission, and a copy must be

appended to the nomination petition when led

with the State Bureau of Elections. is must be

completed on or before the last day for ling a

petition to appear on the Ballot for Election.

For Constables/Deputy Constables: e original

copy must be led with the State Ethics Com-

mission, and a copy must be appended to the

nomination petition when led with the County

Board of Elections. is must be completed on or

before the last day for ling a petition to appear

on the Ballot for Election.

For Countywide, City, Borough, Township or

Municipality candidates (home rule charter):

e original copy must be led with the Clerk/

Secretary in the Municipality in which you are a

candidate, and a copy must be appended to the

nomination petition when led with the County

Board of Elections. is must be completed on or

before the last day for ling a petition to appear

on the Ballot for Election.

For Magisterial District Judges candidates:

e original copy must be led with the County

in which the Magisterial District is located, and

a copy must be appended to the nomination

petition when led with the County Board of

Elections. is must be completed on or before

the last day for ling a petition to appear on the

Ballot for Election.

“Income.” Any money or thing of value received

or to be received as a claim on future services or in

recognition of services rendered in the past, whether

in the form of a payment, fee, salary, expense, allow-

ance, forbearance, forgiveness, interest, dividend,

royalty, rent, capital gain, reward, severance payment,

proceeds from the sale of a nancial interest in a

corporation, professional corporation, partnership

or other entity resulting from termination or with-

drawal therefrom upon assumption of public oce or

employment or any other form of recompense or any

combination thereof. e term refers to gross income

and includes prize winnings and tax-exempt income.

e term does not include gis, governmentally

mandated payments or benets, retirement, pension

or annuity payments funded totally by contributions

of the public ocial or employee, or miscellaneous,

incidental income of minor dependent children.

“Indirect interest in real estate.” Any business entity

the assets of which are 80% or more in real property.

“Ministerial action.” An action that a person per-

forms in a prescribed manner in obedience to the

mandate of legal authority, without regard to or the

exercise of the person’s own judgment as to the desir-

ability of the action being taken.

“Nominee.” Any person whose name has been

submitted to a public ocial or governmental body

vested with the power to nally conrm or reject pro-

posed appointments to public oce or employment.

“Nonministerial actions.” An action in which the

person exercises his own judgment as to the desirabil-

ity of the action taken.

“Opinion.” A directive of the State Ethics Commis-

sion issued pursuant to section 1107(10) (relating to

powers and duties of Commission) setting forth a

public ocial’s or public employee’s duties under this

chapter.

“O rd er.” A directive of the State Ethics Commission

issued pursuant to section 1107(13) (relating to pow-

ers and duties of Commission) at the conclusion of an

investigation which contains ndings of fact, conclu-

sions of law and penalties.

“Person.” A business, governmental body, individual,

corporation, union, association, rm, partnership,

committee, club or other organization or group of

persons.

“Political contribution.” Any advance, conveyance,

deposit, distribution, transfer of funds, loan, pay-

ment, pledge, purchase of a ticket to a testimonial or

similar fund-raising aair, or subscription of money

or anything of value, except volunteer services,

in connection with a political campaign, and any

contract, agreement, promise or other obligations,

whether or not legally enforceable, to make a political

contribution.

“Political subdivision.” Any county, city, borough,

incorporated town, township, school district, voca-

tional school, county institution district, and

any authority, entity or body organized by the

aforementioned.

“Public employee.” Any individual employed by the

Commonwealth or a political subdivision who is re-

sponsible for taking or recommending ocial action

of a nonministerial nature with regard to:

(1) contracting or procurement;

(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 ocial action has an

economic impact of greater than a de minimis

nature on the interests of any person.

e term shall not include individuals who are

employed by this Commonwealth or any political

subdivision thereof in teaching as distinguished from

administrative duties.

“Public ocial.” Any person elected by the public

or elected or appointed by a governmental body or

an appointed ocial 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.

retirement, pension or annuity payments funded

totally by contributions of the public ocial or

employee, or miscellaneous, incidental income of

minor dependent children. Some examples fol-

low: 1) if you receive monthly pension payments

of $1,300.00 or more, where the employer has

contributed in whole or in part to your pension,

or if you own a 401K account that has generated

dividends, distributions or capital gains totaling

in the aggregate of $1,300.00 or more, you must

list it here; 2) if you sell a property and you have

capital gains from that property, and each source

is $1,300.00 or more, you must list it here; and

3) if, for example, you are a doctor or lawyer and

you receive income from multiple individual

clients in an amount of greater than $1,300.00,

you should list the name and address of your rm

or oce, not the individual clients.

An inheritance received from a family member is

not considered “income” for purposes of nan-

cial disclosure under the Ethics Act unless the

inheritance would be expressly designated as a

payment for, or in recognition of, services.

An inheritance received from a family member

would ordinarily be considered a gi that would

not have to be disclosed on the Statement of Fi-

nancial Interests as per Section 1105(b)(6) of the

Ethics Act.

If you do not have ANY reportable source of

income, then check the box next to “NONE.”

Q: What must be reported in Block 13 (Oce, Di-

rectorship or Employment in any business) of the

Statement of Financial Interests (SFI) form?

A: is block focuses solely on your status as an of-

cer, director or employee, regardless of income.

List the name and address of the business entity

for any oce that you hold (for example, Presi-

dent, Vice President, Secretary, Treasurer), any

directorship that you hold (through service on a

governing board such as a board of directors), and

any employment that you have in any capacity

whatsoever, as to any business entity. For example,

if you are employed by a business, you should list

the name of the business and list your position as

Q: What creditors are required to be reported in Block

9 (Creditors) of the Statement of Financial Interests

(SFI)?

A: is block contains the name and address of any

creditor and the interest rate of any debt over

$6,500.00 regardless of whether such debt is held

solely by you or jointly by you and any other

individual (including your spouse) where each

obligor is fully responsible for the obligation. A

joint obligation with other persons, for which the

ler is responsible only for a proportional share

that is less than the reporting threshold, is not

required to be reported. Car loans, school loans,

credit cards, personal loans and lines of credit

must be listed on the form if the balance owed

was in excess of $6,500.00 at any time during the

calendar year. Do not report a mortgage or eq-

uity loan on your home (or secondary home) or

loans/credit between you and your spouse, child,

parent or sibling. If you do not have ANY report-

able creditor, then check the box next to “NONE”.

Q: What Direct or Indirect Sources of Income must be

reported in Block 10 of the Statement of Financial

Interests (SFI)?

A: List the name and address of each source of

$1,300.00 or more of gross income regardless of

whether such income is received solely by you or

jointly by you and another individual, such as a

spouse. “Income” includes any money or thing

of value received or to be received as a claim

on future services or in recognition of services

rendered in the past, whether in the form of a

payment, fee, salary, expense, allowance, forbear-

ance, forgiveness, interest, dividend, royalty,

rent, capital gain, reward, severance payment,

proceeds from the sale of a nancial interest in a

corporation, professional corporation, partner-

ship or other entity resulting from termination/

withdrawal therefrom upon assumption of public

oce or employment or any other form of rec-

ompense or combination thereof. e term refers

to gross income; it includes prize winnings and

tax-exempt income but does not include gis,

governmentally mandated payments or benets,

“Represent.” To act on behalf of any other person in

any activity which includes, but is not limited to, the

following: personal appearances, negotiations, lobby-

ing and submitting bid or contract proposals which

are signed by or contain the name of a former public

ocial or public employee.

“Solicitor.” A person elected or appointed to the of-

ce of solicitor for the political subdivision.

“Source.” Any person who is a provider of an item

reportable under section 1105 (relating to Statement

of Financial Interests).

“State consultant.” A person who, as an independent

contractor, performs professional, scientic, technical

or advisory service for an agency of this Common-

wealth, and who receives a fee, honorarium or similar

compensation for such services. A State consultant is

not an executive-level employee.

§ 1103. Restricted activities

(a) Conict of interest.–No public ocial or public

employee shall engage in conduct that constitutes

a conict of interest.

(b) Seeking improper inuence.–No person shall

oer or give to a public ocial, public employee or

nominee or candidate for public oce or a mem-

ber of his immediate family or a business with

which he is associated, anything of monetary

value, including a gi, loan, political contribution,

reward or promise of future employment based

on the oeror’s or donor’s understanding that the

vote, ocial action or judgment of the public of-

cial or public employee or nominee or candidate

for public oce would be inuenced thereby.

cial, public employee or nominee or candidate

for public oce shall solicit or accept anything of

monetary value, including a gi, loan, political

contribution, reward or promise of future employ-

ment, based on any understanding of that public

ocial, public employee or nominee that the vote,

ocial action or judgment of the public ocial

or public employee or nominee or candidate for

public oce would be inuenced thereby.

(d) Honorarium.–No public ocial or public em-

ployee shall accept an honorarium.

(e) Contingent and severance payments.–

(1) No person shall solicit or accept a severance

payment or anything of monetary value con-

tingent upon the assumption or acceptance

of public oce or employment.

(2) is 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 notied by a member of

a transition team, a search committee

or a person with appointive power that

he is under consideration for public

oce or makes application for public

employment.

(ii) Receipt of a salary, fees, severance pay-

ment 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 as-

sumption or acceptance of public oce

or employment.

(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 ocial action of the prospective

public ocial or employee would be inu-

enced thereby.

(f) Contract.–No public ocial 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 ocial 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

ocial or public employee is associated, unless

the contract has been awarded through an open

Q: Does the Commission investigate violations of the

Sunshine Act?

A: No. e Commission does not have jurisdiction

over the Sunshine Act. Questions and concerns

about violations of the Sunshine Act (65 Pa.C.S.

§§ 701–716) should be directed to the county

district attorney.

Q: Does the State Ethics Commission have jurisdic-

tion over judicial ocers or judicial employees?

A: No. e Supreme Court of Pennsylvania has

exclusive jurisdiction over judicial ocers and

judicial employees. See also L.J.S. v. State Ethics

Commission, 744 A.2d 798 (Pa. Cmwlth. 2000);

Billotte, Opinion 00-005.

Statement of Financial Interests (SFI):

Q: Can I le my Statement of Financial Interests (SFI)

online instead of lling out a paper form?

A: Yes. Your Statement of Financial Interests can

be led online at the State Ethics Commission’s

Website as follows: http://www.ethics.pa.gov. All

Filers will need to submit a paper version and/or

a copy of their electronically led form to all re-

quired ling locations if it is other than the State

Ethics Commission.

Q: Which sections of the Statement of Financial Inter-

ests (SFI) are most oen incomplete, requiring the

form to be returned to the ler for correction?

A: ere are two sections that are frequently le

blank. Block 5 (Governmental Entity) and

Block 7 (Year). Block 5 refers to the name of

the Entity where the ler currently serves or, if a

candidate, intends to serve as a Public Ocial/

Public Employee. e most frequent Government

Entities names usually include the following:

department, agency, authority, borough, board,

commission, county, school district, township,

etc. Block 7 (year) is the calendar year for which

the ler is ling the form. For example, if the

form is being completed in the calendar year

2018, block 7 should read “2017” and all infor-

mation in blocks 8 through 15 should represent

nancial interests for calendar year 2017.

(3) Any specic pecuniary loss that has resulted

from the proceedings.

(4) Any emotional distress that has been caused

by the proceedings.

(5) Any punitive damages according to law in

appropriate cases.

§ 1111. Supplemental provisions

Any governmental body may adopt requirements

to supplement this chapter, provided that no such

requirements shall in any way be less restrictive than

the chapter.

§ 1112. Conict of law

Except as otherwise provided in Chapter 13 (relat-

ing to lobby regulation and disclosure), if the provi-

sions of this chapter conict with any other statute,

ordinance, regulation or rule, the provisions of this

chapter shall control.

§ 1113. Severability

If any provision of this chapter or the application

thereof to any person or circumstance is held invalid,

the validity of the remainder of this chapter and the

application of such provisions to other persons and

circumstances shall not be aected thereby.

FREQUENTLY ASKED QUESTIONS

Powers and Duties:

Q: Can the State Ethics Commission le criminal

charges and/or can it remove a public ocial/

public employee from oce?

A: Although violations of the Ethics Act may be

charged as a criminal violation of law, only the

District Attorney or Attorney General may le

criminal violations of the Ethics Act. e Com-

mission is empowered to nd administrative

violations of the Ethics Act, order restitution and

treble penalties, and can recommend or refer

any matter for prosecution by law enforcement.

e Ethics Act does not provide authority for the

Commission to remove an individual from their

oce or employment—even aer a nding of a

violation of the Ethics Act.

and public process, including prior public notice

and subsequent public disclosure of all propos-

als considered and contracts awarded. In such a

case, the public ocial or public employee shall

not have any supervisory or overall responsibil-

ity 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) Former ocial or employee.–No former public

ocial 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 aer

he leaves that body.

(h) Misuse of statement of nancial interest.–No

person shall use for any commercial purpose

information copied from statements of nancial

interests required by this chapter or from lists

compiled from such statements.

(i) Former executive-level employee.–No former

executive-level State employee may for a period

of two years from the time that he terminates em-

ployment with this Commonwealth be employed

by, receive compensation from, assist or act in a

representative capacity for a business or corpora-

tion that he actively participated in recruiting to

this Commonwealth or that he actively partici-

pated in inducing to open a new plant, facility or

branch in this Commonwealth or that he actively

participated in inducing to expand an existent

plant or facility within this Commonwealth,

provided that the above prohibition shall be in-

voked only when the recruitment or inducement

is accomplished by a grant or loan of money or

a promise of a grant or loan of money from the

Commonwealth to the business or corporation

recruited or induced to expand.

(j) Voting conict.–Where voting conicts are not

otherwise addressed by the Constitution of Penn-

sylvania or by any law, rule, regulation, order

or ordinance, the following procedure shall be

employed. Any public ocial or public employee

who in the discharge of his ocial duties would

be required to vote on a matter that would result

in a conict of interest shall abstain from voting

and, prior to the vote being taken, publicly an-

nounce and disclose the nature of his interest as

a public record in a written memorandum led

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 provi-

sions 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 here-

in. 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 conict 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.

§ 1104. Statement of Financial Interests required to

be led

(a) Public ocial or public employee.–Each public

ocial of the Commonwealth shall le a State-

ment of Financial Interests for the preceding

calendar year with the Commission no later than

May 1 of each year that he holds such a position

and of the year aer he leaves such a position.

Each public employee and public ocial of the

Commonwealth shall le a Statement of Finan-

cial Interests for the preceding calendar year

with the department, agency, body or bureau in

which he is employed or to which he is appointed

or elected no later than May 1 of each year that

he holds such a position and of the year aer he

leaves such a position. Any other public employee

or public ocial shall le a Statement of Finan-

cial Interests with the governing authority of the

(2) he publicly disclosed or caused to be dis-

closed that a complaint against a person had

been led with the Commission.

(b) Probable cause.–A person who signs a complaint

alleging a violation of this chapter has probable

cause for doing so if he reasonably believes in

the existence of the facts upon which the claim is

based and either:

(1) reasonably believes that under those facts the

complaint may be valid under this chapter; or

(2) believes to this eect in reliance upon the

advice of counsel, sought in good faith and

given aer full disclosure of all relevant facts

within his knowledge and information.

sion determines that a complainant has violated

the provisions set forth in subsection (a), the

Commission, upon receiving a written request

from the subject of the complaint, shall provide

the name and address of the complainant to said

subject. If the Commission determines that a

complainant has not violated the provisions of

subsection (a), the Commission shall notify the

subject accordingly. e subject shall have the

right to appeal the Commission’s determina-

tion, and the Commission shall schedule an

appeal hearing. e subject shall show cause why

the complainant violated the provisions of this

section. If the Commission grants the appeal,

the Commission shall immediately release the

complainant’s name and address to the subject. If

the Commission denies the appeal, it shall pres-

ent evidence why the complainant’s name and

address shall not be released.

(d) Damages.–When the essential elements of an

action brought pursuant to this section have been

established, the plainti is entitled to recover for

the following:

(1) e harm to his reputation by a defamatory

matter alleged as the basis of the proceeding.

(2) e expenses, including any reasonable at-

torney fees, that he has reasonably incurred

in proceedings before the Commission.

before a Commission proceeding pursuant to

section 1108 commits a felony and shall, upon

conviction, be sentenced to pay a ne of not more

than $5,000 or to imprisonment for not more

than ve years, or both.

(f) Civil penalty.–In addition to any other civil

remedy or criminal penalty provided for in this

chapter, the Commission may, aer notice has

been served in accordance with section 1107(5)

(relating to powers and duties of Commission)

and upon a majority vote of its members, levy

a civil penalty upon any person subject to this

chapter who fails to le a Statement of Financial

Interests in a timely manner or who les a de-

cient Statement of Financial Interests, at a rate of

not more than $25 for each day such statement

remains delinquent or decient. e maximum

penalty payable under this paragraph is $250.

(g) Reliance on solicitor’s opinion.–A public ocial

of a political subdivision who acts in good faith

reliance on a written, noncondential opinion of

the solicitor of the political subdivision or upon

an opinion of the solicitor of the political subdi-

vision, publicly stated at an open meeting of the

political subdivision and recorded in the ocial

minutes of the meeting, shall not be subject to

the penalties provided for in subsections (a) and

(b) nor for the treble damages provided for in

subsection (c). However, this subsection shall not

apply in situations where the solicitor’s opinion

has been rendered under duress or where the

parties seeking and rendering the solicitor’s

opinion have colluded to purposefully commit a

violation of this chapter.

§ 1110. Wrongful use of chapter

(a) Liability.–A person who signs a complaint alleg-

ing a violation of this chapter against another is

subject to liability for wrongful use of this chapter

if:

(1) the complaint was frivolous, as dened by

this chapter, or without probable cause and

made primarily for a purpose other than that

of reporting a violation of this chapter; or

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 aer he leaves such a

position. Persons who are full-time or part-time

solicitors for political subdivisions are required to

le under this section.

(b) Candidate.–

(1) Any candidate for a State-level public oce

shall le a Statement of Financial Interests for

the preceding calendar year with the Com-

mission on or before the last day for ling a

petition to appear on the ballot for election.

A copy of the Statement of Financial Inter-

ests shall also be appended to such petition.

(2) Any candidate for county-level or local oce

shall le a Statement of Financial Interests

for the preceding calendar year with the gov-

erning authority of the political subdivision

in which he is a candidate on or before the

last day for ling a petition to appear on the

ballot for election. A copy of the Statement

of Financial Interests shall also be appended

to such petition.

(3) No petition to appear on the ballot for elec-

tion shall be accepted by the respective State

or local election ocials unless the peti-

tion has appended thereto a Statement of

Financial Interests as set forth in paragraphs

(1) and (2). Failure to le the statement in

accordance with the provisions of this chap-

ter shall, in addition to any other penalties

provided, be a fatal defect to a petition to

appear on the ballot.

oce shall le a Statement of Financial Interests

for the preceding calendar year with the Com-

mission and with the ocial or body that is

vested with the power of conrmation at least

ten days before the ocial or body shall approve

or reject the nomination. Each nominee for a

county-level or local oce shall le a Statement

of Financial Interests for the preceding calendar

year with the governing authority of the political

subdivision in which he or she is a nominee and,

if dierent, with the ocial or body that is vested

with the power of conrmation at least ten days

before the ocial or body shall approve or reject

the nomination.

(d) Failure to le required statement.–No public

ocial shall be allowed to take the oath of oce

or enter or continue upon his duties, nor shall he

receive compensation from public funds, unless

he has led a Statement of Financial Interests as

required by this chapter.

(e) Public inspection and copying.–All statements

of nancial interests led pursuant to the provi-

sions of this chapter shall be made available for

public inspection and copying during regular

oce hours, and copying facilities shall be made

available at a charge not to exceed actual cost.

§ 1105. Statement of Financial Interests

(a) Form.–e Statement of Financial Interests

led pursuant to this chapter shall be on a form

prescribed by the Commission. All information

requested on the statement shall be provided to

the best of the knowledge, information and belief

of the person required to le and shall be signed

under oath or equivalent armation.

(b) Required information.–e statement shall

include the following information for the prior

calendar year with regard to the person required

to le the statement:

(1) Name, address and public position.

(2) Occupation or profession.

(3) Any direct or indirect interest in any real

estate which was sold or leased to the Com-

monwealth, any of its agencies or political

subdivisions or purchased or leased from the

Commonwealth, any of its agencies or politi-

cal subdivisions or which was the subject of

any condemnation proceedings by the Com-

monwealth, any of its agencies or political

subdivisions.

(4) e name and address of each creditor to

felony and shall, upon conviction, be sentenced

to pay a ne of not more than $10,000 or to im-

prisonment for not more than ve years, or both.

(b) Financial interests statement violation.–Any

person who violates the provisions of section

1103(d) through (j), 1104 (relating to State-

ment of Financial Interests required to be led)

or 1105(a) (relating to Statement of Financial

Interests) commits a misdemeanor and shall,

upon conviction, be sentenced to pay a ne of

not more than $1,000 or to imprisonment for not

more than one year, or both.

nancial gain from violating any provision of this

chapter, in addition to any other penalty provided

by law, shall pay a sum of money equal to three

times the amount of the nancial gain resulting

from such violation into the State Treasury or the

treasury of the political subdivision. Treble dam-

ages shall not be assessed against a person who

acted in good faith reliance on the advice of legal

counsel.

(d) Impeachment and disciplinary action.–e

penalties prescribed in this chapter do not limit

the power of either house of the Legislature to

discipline its own members or impeach a public

ocial and do not limit the power of agencies or

commissions to discipline ocials or employees.

(e) Other violations of chapter.–Any person who

violates the condentiality of a Commission

proceeding pursuant to section 1108 (relating

to investigations by Commission) commits a

misdemeanor and shall, upon conviction, be

sentenced to pay a ne of not more than $1,000

or to imprisonment for not more than one year,

or both. Any person who engages in retaliatory

activity proscribed by section 1108(j) commits

a misdemeanor and, in addition to any other

penalty provided by law, shall, upon convic-

tion, be sentenced to pay a ne of not more than

$1,000 or to imprisonment for not more than one

year, or both. Any person who willfully arms

or swears falsely in regard to any material matter

(3) for the purpose of seeking advice of legal

counsel;

(4) ling an appeal from a Commission order;

(5) communicating with the Commission or its

sta, in the course of a preliminary inquiry,

investigation, hearing or petition for recon-

sideration by the Commission;

(6) consulting with a law enforcement ocial or

agency for the purpose of initiating, partici-

pating in or responding to an investigation

or prosecution by the law enforcement of-

cial or agency;

(7) testifying under oath before a governmental

body or a similar body of the United States

of America;

(8) any information, records or proceedings

relating to a complaint, preliminary inquiry,

investigation, hearing or petition for reconsid-

eration which the person is the subject of; or

(9) such other exceptions as the Commission by

regulation may direct.

(l) Frivolous complaints and wrongful disclosure.–

If a public ocial or public employee has reason

to believe the complaint is frivolous as dened

by this chapter, or without probable cause and

made primarily for a purpose other than that of

reporting a violation of this chapter, or a person

publicly disclosed or caused to be disclosed that a

complaint against the public ocial or public em-

ployee has been led with the Commission, the

public ocial or public employee shall notify the

Commission and the Commission, through its

executive director, shall conduct an investigation.

(m) Limitation of time.–e Commission may

conduct an investigation within ve years aer

the alleged occurrence of any violation of this

chapter.

§ 1109. Penalties

(a) Restricted activities violation.–Any person who

violates the provisions of section 1103(a), (b) and

whom is owed in excess of $6,500 and the

interest rate thereon. However, loans or

credit extended between members of the im-

mediate family and mortgages securing real

property which is the principal or secondary

residence of the person ling shall not be

included.

(5) e name and address of any direct or

indirect source of income totaling in the

aggregate $1,300 or more. However, this

provision shall not be construed to require

the divulgence of condential information

protected by statute or existing professional

codes of ethics or common law privileges.

(6) e name and address of the source and

the amount of any gi or gis valued in the

aggregate at $250 or more and the circum-

stances of each gi. is paragraph shall not

apply to a gi or gis received from a spouse,

parent, parent by marriage, sibling, child,

grandchild, other family member or friend

when the circumstances make it clear that

the motivation for the action was a personal

or family relationship. However, for the

purposes of this paragraph, the term “friend”

shall not include a registered lobbyist or an

employee of a registered lobbyist.

(7) e name and address of the source and the

amount of any payment for or reimburse-

ment of actual expenses for transportation

and lodging or hospitality received in con-

nection with public oce or employment

where such actual expenses for transporta-

tion and lodging or hospitality exceed $650

in an aggregate amount per year. is para-

graph shall not apply to expenses reimbursed

by a governmental body or to expenses

reimbursed by an organization or association

of public ocials or employees of politi-

cal subdivisions which the public ocial or

employee serves in an ocial capacity.

(8) Any oce, directorship or employment of

any nature whatsoever in any business entity.

(9) Any nancial interest in any legal entity

engaged in business for prot.

(10) e identity of any nancial interest in a

business with which the reporting person

is or has been associated in the preceding

calendar year which has been transferred to

a member of the reporting person’s immedi-

ate family.

is required to be reported pursuant to subsec-

tion (b)(6) and (7), the Statement of Financial

Interests need not include specic amounts for

the items required to be listed.

(d) Cost-of-living adjustments.–On a biennial basis

the Commission shall review the dollar amounts

set forth in this section and may increase these

amounts to such rates as are deemed reasonable

for assuring appropriate disclosure. e Com-

mission shall publish any such adjusted threshold

amounts in the Pennsylvania Bulletin.

§ 1106. State Ethics Commission

(a) Continuation of Commission.–e State Ethics

Commission established under the act of Octo-

ber 4, 1978 (P.L. 883, No.170), referred to as the

Public Ocial and Employee Ethics Law, is con-

tinued and shall be composed of seven members.

e President pro tempore of the Senate, the

Minority Leader of the Senate, the Speaker of

the House and the Minority Leader of the House

shall each appoint one member. ree members

shall be appointed by the Governor without

conrmation. No more than two of the members

appointed by the Governor shall be of the same

political party. No appointee shall have served as

an ocer in a political party for one year prior to

his appointment.

(b) Term of service.–Members of the Commission

shall serve for terms of three years, except that

members shall continue to serve until their suc-

cessors are appointed and qualied.

be appointed to more than two full three-year

terms on the Commission.

and abstaining shall be listed in the order. e

determination of the Commission, in the form of

a nal order and ndings of fact, shall be a matter

of public record.

(h) Availability of nal Orders, les and records.–

Orders which become nal in accordance with

the provisions of this section shall be available

as public documents, but the les and records of

the Commission relating to the case shall remain

condential.

(i) Appeal.–Any person aggrieved by an opinion or

order which becomes nal in accordance with

the provisions of this chapter who has direct

interest in such opinion or order shall have the

right to appeal therefrom in accordance with law

and general rules.

(j) Retaliation prohibited.–No public ocial or

public employee shall discharge any ocial

or employee or change his ocial rank, grade

or compensation or deny him a promotion or

threaten to do so for ling a complaint with or

providing information to the Commission or tes-

tifying in any Commission proceeding. No mem-

ber of the Commission and no employee of the

Commission shall discharge any employee of the

Commission or change his ocial rank, grade or

compensation or threaten to do so for providing

any information about the internal operations of

the Commission, not required by law to be kept

secret, to any legislator or legislative sta member

or testifying in any legislative proceeding.

(k) Condentiality.–As a general rule, no person

shall disclose or acknowledge, to any other

person, any information relating to a complaint,

preliminary inquiry, investigation, hearing or

petition for reconsideration which is before the

Commission. However, a person may disclose

or acknowledge to another person matters held

condential in accordance with this subsection

when the matters pertain to any of the following:

(1) nal orders of the Commission as provided

in subsection (h);

(2) hearings conducted in public pursuant to

subsection (g);

either Philadelphia or Pittsburgh. Any response

to the ndings report must either admit or deny

by corresponding number and letter the perti-

nent facts set forth. e subject of the investiga-

tion shall have access to any evidence intended

to be used by the Commission at the hearing

and any exculpatory evidence developed by the

Commission in the course of its investigation.

Matters not specically denied in the response

shall be deemed admitted. e response must be

led within 30 days of the issuance of the nd-

ings report unless the time period is extended by

the Commission for good cause shown. Hearings

conducted upon request shall be instituted within

45 days aer the ling of the response.

(f) Final Order.–Within 30 days of the receipt by

the Commission of the hearing record, or, if no

hearing is to be held, within 30 days of the receipt

by the Commission of the response to the nd-

ings report, the Commission shall issue an order

which shall be nal. Upon receipt of a nal order,

the subject shall have the right to le a petition

for reconsideration in accordance with the regu-

lations of the Commission.

(g) Procedure for hearing.–Hearings conducted

pursuant to this section shall be closed to the

public unless the subject requests an open hear-

ing. Any person who appears before the Com-

mission shall have all of the due process rights,

privileges and responsibilities of a party or wit-

ness appearing before an administrative agency

of this Commonwealth. All witnesses summoned

for such hearings shall receive reimbursement

for reasonable expenses in accordance with 42

Pa.C.S. § 5903 (relating to compensation and

expenses of witnesses). At the conclusion of a

hearing concerning an alleged violation and in a

timely manner, the Commission shall deliberate

on the evidence and determine whether there

has been a violation of this chapter. At least four

members of the Commission present at a meet-

ing must nd a violation by clear and convinc-

ing proof. e names of the members nding

a violation and the names of those dissenting

(d) Prohibited activities.–No individual while a

member or employee of the Commission shall:

(1) hold or campaign for any other public oce;

(2) hold oce in any political party or political

committee;

(3) actively participate in or contribute to any

political campaign;

(4) directly or indirectly attempt to inuence

any decision by a governmental body, other

than a court of law or as a representative

of the Commission on a matter within the

jurisdiction of the Commission; or

(5) be employed by the Commonwealth or a

political subdivision in any other capacity,

whether or not for compensation.

(e) Vacancy.–A majority of the Commission by

resolution shall declare vacant the position on

the Commission of any member who takes part

in activities prohibited by subsection (d). An

individual appointed to ll a vacancy occurring

other than by the expiration of a term of oce

shall be appointed for the unexpired term of the

member he succeeds and is eligible for appoint-

ment to two full three-year terms thereaer. Any

vacancy occurring on the Commission shall be

lled within 30 days in the manner in which that

position was originally lled.

(f) Election of chairman and vice chairman.–e

Commission shall elect a chairman and a vice

chairman. e vice chairman shall act as chair-

man in the absence of the chairman or in the

event of a vacancy in that position.

(g) Quorum.–Four members of the Commission

shall constitute a quorum and except as provided

in section 1108(g) (relating to investigations

by Commission), the votes of a majority of the

members present are required for any action or

recommendation of the Commission. e chair-

man or any four members of the Commission

may call a meeting provided that advance written

notice is mailed to each member and to any per-

son who requests notice of such meetings.

(h) Compensation.–Members of the Commission

shall be compensated at a rate of $250 per day

and shall receive reimbursement for their actual

and necessary expenses while performing the

business of the Commission.

(i) Sta.–e Commission shall employ an execu-

tive director, a chief counsel and such other sta

as are necessary to carry out its duties pursuant

to this chapter. e executive director shall be

responsible for the administrative operations of

the Commission and shall perform such other

duties as may be delegated or assigned to him by

the Commission, except that the Commission

shall not delegate the making of regulations to

the executive director. e chief counsel shall be

the chief legal ocer of the Commission. e

Commission may obtain the services of experts

and consultants as necessary to carry out its du-

ties pursuant to this chapter. e State Treasurer

and the Attorney General shall make available to

the Commission such personnel, facilities and

other assistance as the Commission may request.

(j) Regulations.–e Commission shall develop

regulations that provide for a code of conduct to

govern the activities and ethical standards of its

members, which code shall subject the members

of the Commission to no less than is required for

public ocials or public employees under this

chapter.

§ 1107. Powers and duties of Commission

In addition to other powers and duties prescribed by

law, the Commission shall:

(1) Prescribe and publish rules and regulations

to carry out the provisions of this chapter.

(2) Prescribe forms for statements and reports

required to be led by this chapter and fur-

nish such forms to persons required to le

such statements and reports.

(3) Prepare and publish guidelines setting forth

recommended uniform methods of ac-

counting and reporting for use by persons

required to le statements and reports by

this chapter.

and proceedings relating to an investigation

condential until a nal determination is made,

except as otherwise provided in subsection (g).

No investigation may be commenced until the

person who is the subject of the investigation has

been notied and provided a general statement of

the alleged violation or violations of this chapter

and other applicable statutes with respect to such

investigation. Service of notice is complete upon

mailing which shall be by certied or registered

mail. e Commission shall notify the complain-

ant within 72 hours of the commencement of an

investigation, and, thereaer, the Commission

shall advise the complainant and the person who

is the subject of the investigation of the status

of the investigation at least every 90 days until

the investigation is terminated. e Commis-

sion shall, within 180 days of the initiation of an

investigation, either terminate the investigation

pursuant to subsection (d) or issue a ndings re-

port pursuant to subsection (e). Upon a showing

by the executive director of the need for exten-

sion of this period, the Commission may extend

an investigation for up to two 90-day periods,

provided that each 90-day extension shall be

approved by a majority vote of members present.

In no event shall a ndings report be issued later

than 360 days aer initiation of an investigation.

(d) Termination of investigation.–If an investiga-

tion conducted under this chapter indicates

that no violation has been committed, the

Commission shall immediately terminate the

investigation and send written notice of such

determination to the complainant and the person

who was the subject of the investigation.

(e) Findings report.–e Commission, upon the

completion of an investigation, shall issue a

ndings report to the subject of the investigation

setting forth the pertinent ndings of fact. e

subject shall have the right to respond to said

ndings and to request an evidentiary hearing

on said matter. e Commission shall grant any

request for a hearing. Said hearing shall be held

in Harrisburg or, at the request of the subject, in

tion of Boroughs, the Pennsylvania State

Association of Township Supervisors, the

Pennsylvania State Association of Township

Commissioners, the Pennsylvania School

Boards Association and the Pennsylvania

League of Cities.

(19) Hold at least two public hearings each year,

of which at least one shall be held in Har-

risburg and at least one shall be held in a

location other than Harrisburg, to seek input

from persons and organizations who repre-

sent any individual subject to the provisions

of this chapter and from other interested

parties.

§ 1108. Investigations by Commission

(a) Preliminary inquiry.–Upon a complaint signed

under penalty of perjury by any person or upon

its own motion, the Commission, through its

executive director, shall conduct a preliminary

inquiry into any alleged violation of this chapter.

e Commission shall keep information, records

and proceedings relating to a preliminary inquiry

condential. e Commission shall, however,

have the authority to refer the case to law en-

forcement ocials during a preliminary inquiry

or anytime thereaer without providing notice to

the subject of the inquiry. e Commission shall

complete its preliminary inquiry within 60 days

of its initiation.

(b) Termination of preliminary inquiry.–If a

preliminary inquiry fails to establish reason to

believe that this chapter has been violated, the

Commission shall terminate the inquiry and so

notify the complainant and the person who had

been the subject of the inquiry. If the Commis-

sion determines that a complaint is frivolous, it

shall so state.

inquiry establishes reason to believe that this

chapter has been violated, the Commission may,

through its executive director, initiate an investi-

gation to determine if there has been a violation.

e Commission shall keep information, records

(4) Accept and le any information voluntarily

supplied that exceeds the requirements of

this chapter.

(5) Inspect Statements of Financial Interests

which have been led in order to ascertain

whether any reporting person has failed to

le such a statement or has led a decient

statement. If, upon inspection, it is deter-

mined that a reporting person has failed to

le a Statement of Financial Interests or that

any statement which has been led fails to

conform with the requirements of section

1105 (relating to Statement of Financial

Interests), then the Commission shall in

writing notify the person. Such notice shall

state in detail the deciency and the penal-

ties for failure to le or for ling a decient

Statement of Financial Interests.

(6) Provide that statements and reports led

with the Commission be made available

for public inspection and copying during

regular oce hours and provide that copying

facilities be made available at a charge not

to exceed actual cost and advise other State

and local agencies of the provisions of this

paragraph.

(7) Compile and maintain an index of all reports

and statements led with the Commission

to facilitate public access to such reports

and statements and instruct other State and

local agencies which receive and le nancial

interest statements in the maintenance of

systems which facilitate public access to such

statements.

(8) Prepare and publish annual summaries

of statements and reports led with the

Commission.

(9) Preserve statements and reports led with

the Commission for a period of ve years

from date of receipt and advise other State

and local agencies which receive and store

nancial interest statements to preserve such

statements for a period of ve years from

date of receipt.

(10) Issue to any person upon such person’s

request or to the appointing authority or

employer of that person upon the request of

such appointing authority or employer an

opinion with respect to such person’s duties

under this chapter. e Commission shall,

within 14 days, either issue the opinion or

advise the person who made the request

whether an opinion will be issued. No

person who acts in good faith on an opinion

issued to him by the Commission shall be

subject to criminal or civil penalties for so

acting, provided that the material facts are as

stated in the opinion request. e Commis-

sion’s opinions shall be public records and

may from time to time be published. e

person requesting the opinion may, however,

require that the opinion shall contain such

deletions and changes as shall be neces-

sary to protect the identity of the persons

involved.

(11) Provide written advice to any person or the

appointing authority or employer of such

person, upon their request with respect to

such person’s duties under this chapter. Such

advice shall be provided within 21 working

days of the request, provided that the time

may be extended for good cause. It shall

be a complete defense in any enforcement

proceeding initiated by the Commission, and

evidence of good faith conduct in any other

civil or criminal proceeding, if the requester,

at least 21 working days prior to the alleged

violation, requested written advice from the

Commission in good faith, disclosed truth-

fully all the material facts and committed the

acts complained of either in reliance on the

advice or because of the failure of the Com-

mission to provide advice within 21 days of

the request or such later extended time. e

person requesting the advice may, however,

require that the advice shall contain such de-

letions and changes as shall be necessary to

protect the identity of the persons involved.

(12) Initiate an inquiry, pursuant to section

1108(a) (relating to investigations by Com-

mission), where a complaint has not been

led but where there is a reasonable belief

that a conict may exist.

(13) Issue ndings, reports and orders relating to

investigations initiated pursuant to section

1108, which set forth the alleged violation,

ndings of fact and conclusions of law. An

order may include recommendations to law

enforcement ocials. Any order resulting

from a nding that a public ocial or public

employee has obtained a nancial gain in

violation of this chapter may require the

restitution plus interest of that gain to the

appropriate governmental body. e Com-

mission or the Oce of Attorney General

shall have standing to apply to the Common-

wealth Court to seek enforcement of an order

requiring such restitution. is restitution

requirement shall be in addition to any other

penalties provided for in this chapter.

(14) Hold hearings, take testimony, issue subpoe-

nas and compel the attendance of witnesses.

(15) Make recommendations to law enforcement

ocials either for criminal prosecution or

dismissal of charges arising out of violations

of this chapter.

(16) Prepare and publish special reports, edu-

cational materials, and technical studies to

further the purposes of this chapter.

(17) Prepare and publish, prior to June 1 of each

year, an annual report summarizing the

activities of the Commission.

(18) Transmit, free of charge, copies of each

order, advice and opinion which has become

a matter of public record quarterly to the

law library of each county, one public library

in each county, the State Library, the State

Senate Library, each authority appointing

Commission members under this chapter,

the Pennsylvania Association of County

Commissioners, the Pennsylvania Associa-

tion of Boroughs, the Pennsylvania State

Association of Township Supervisors, the

Pennsylvania State Association of Township

Commissioners, the Pennsylvania School

Boards Association and the Pennsylvania

League of Cities.

(19) Hold at least two public hearings each year,

of which at least one shall be held in Har-

risburg and at least one shall be held in a

location other than Harrisburg, to seek input

from persons and organizations who repre-

sent any individual subject to the provisions

of this chapter and from other interested

parties.

§ 1108. Investigations by Commission

(a) Preliminary inquiry.–Upon a complaint signed

under penalty of perjury by any person or upon

its own motion, the Commission, through its

executive director, shall conduct a preliminary

inquiry into any alleged violation of this chapter.

e Commission shall keep information, records

and proceedings relating to a preliminary inquiry

condential. e Commission shall, however,

have the authority to refer the case to law en-

forcement ocials during a preliminary inquiry

or anytime thereaer without providing notice to

the subject of the inquiry. e Commission shall

complete its preliminary inquiry within 60 days

of its initiation.

(b) Termination of preliminary inquiry.–If a

preliminary inquiry fails to establish reason to

believe that this chapter has been violated, the

Commission shall terminate the inquiry and so

notify the complainant and the person who had

been the subject of the inquiry. If the Commis-

sion determines that a complaint is frivolous, it

shall so state.

inquiry establishes reason to believe that this

chapter has been violated, the Commission may,

through its executive director, initiate an investi-

gation to determine if there has been a violation.

e Commission shall keep information, records

(4) Accept and le any information voluntarily

supplied that exceeds the requirements of

this chapter.

(5) Inspect Statements of Financial Interests

which have been led in order to ascertain

whether any reporting person has failed to

le such a statement or has led a decient

statement. If, upon inspection, it is deter-

mined that a reporting person has failed to

le a Statement of Financial Interests or that

any statement which has been led fails to

conform with the requirements of section

1105 (relating to Statement of Financial

Interests), then the Commission shall in

writing notify the person. Such notice shall

state in detail the deciency and the penal-

ties for failure to le or for ling a decient

Statement of Financial Interests.

(6) Provide that statements and reports led

with the Commission be made available

for public inspection and copying during

regular oce hours and provide that copying

facilities be made available at a charge not

to exceed actual cost and advise other State

and local agencies of the provisions of this

paragraph.

(7) Compile and maintain an index of all reports

and statements led with the Commission

to facilitate public access to such reports

and statements and instruct other State and

local agencies which receive and le nancial

interest statements in the maintenance of

systems which facilitate public access to such

statements.

(8) Prepare and publish annual summaries

of statements and reports led with the

Commission.

(9) Preserve statements and reports led with

the Commission for a period of ve years

from date of receipt and advise other State

and local agencies which receive and store

nancial interest statements to preserve such

statements for a period of ve years from

date of receipt.

(h) Compensation.–Members of the Commission

shall be compensated at a rate of $250 per day

and shall receive reimbursement for their actual

and necessary expenses while performing the

business of the Commission.

(i) Sta.–e Commission shall employ an execu-

tive director, a chief counsel and such other sta

as are necessary to carry out its duties pursuant

to this chapter. e executive director shall be

responsible for the administrative operations of

the Commission and shall perform such other

duties as may be delegated or assigned to him by

the Commission, except that the Commission

shall not delegate the making of regulations to

the executive director. e chief counsel shall be

the chief legal ocer of the Commission. e

Commission may obtain the services of experts

and consultants as necessary to carry out its du-

ties pursuant to this chapter. e State Treasurer

and the Attorney General shall make available to

the Commission such personnel, facilities and

other assistance as the Commission may request.

(j) Regulations.–e Commission shall develop

regulations that provide for a code of conduct to

govern the activities and ethical standards of its

members, which code shall subject the members

of the Commission to no less than is required for

public ocials or public employees under this

chapter.

§ 1107. Powers and duties of Commission

In addition to other powers and duties prescribed by

law, the Commission shall:

(1) Prescribe and publish rules and regulations

to carry out the provisions of this chapter.

(2) Prescribe forms for statements and reports

required to be led by this chapter and fur-

nish such forms to persons required to le

such statements and reports.

(3) Prepare and publish guidelines setting forth

recommended uniform methods of ac-

counting and reporting for use by persons

required to le statements and reports by

this chapter.

and proceedings relating to an investigation

condential until a nal determination is made,

except as otherwise provided in subsection (g).

No investigation may be commenced until the

person who is the subject of the investigation has

been notied and provided a general statement of

the alleged violation or violations of this chapter

and other applicable statutes with respect to such

investigation. Service of notice is complete upon

mailing which shall be by certied or registered

mail. e Commission shall notify the complain-

ant within 72 hours of the commencement of an

investigation, and, thereaer, the Commission

shall advise the complainant and the person who

is the subject of the investigation of the status

of the investigation at least every 90 days until

the investigation is terminated. e Commis-

sion shall, within 180 days of the initiation of an

investigation, either terminate the investigation

pursuant to subsection (d) or issue a ndings re-

port pursuant to subsection (e). Upon a showing

by the executive director of the need for exten-

sion of this period, the Commission may extend

an investigation for up to two 90-day periods,

provided that each 90-day extension shall be

approved by a majority vote of members present.

In no event shall a ndings report be issued later

than 360 days aer initiation of an investigation.

(d) Termination of investigation.–If an investiga-

tion conducted under this chapter indicates

that no violation has been committed, the

Commission shall immediately terminate the

investigation and send written notice of such

determination to the complainant and the person

who was the subject of the investigation.

(e) Findings report.–e Commission, upon the

completion of an investigation, shall issue a

ndings report to the subject of the investigation

setting forth the pertinent ndings of fact. e

subject shall have the right to respond to said

ndings and to request an evidentiary hearing

on said matter. e Commission shall grant any

request for a hearing. Said hearing shall be held

in Harrisburg or, at the request of the subject, in

either Philadelphia or Pittsburgh. Any response

to the ndings report must either admit or deny

by corresponding number and letter the perti-

nent facts set forth. e subject of the investiga-

tion shall have access to any evidence intended

to be used by the Commission at the hearing

and any exculpatory evidence developed by the

Commission in the course of its investigation.

Matters not specically denied in the response

shall be deemed admitted. e response must be

led within 30 days of the issuance of the nd-

ings report unless the time period is extended by

the Commission for good cause shown. Hearings

conducted upon request shall be instituted within

45 days aer the ling of the response.

(f) Final Order.–Within 30 days of the receipt by

the Commission of the hearing record, or, if no

hearing is to be held, within 30 days of the receipt

by the Commission of the response to the nd-

ings report, the Commission shall issue an order

which shall be nal. Upon receipt of a nal order,

the subject shall have the right to le a petition

for reconsideration in accordance with the regu-

lations of the Commission.

(g) Procedure for hearing.–Hearings conducted

pursuant to this section shall be closed to the

public unless the subject requests an open hear-

ing. Any person who appears before the Com-

mission shall have all of the due process rights,

privileges and responsibilities of a party or wit-

ness appearing before an administrative agency

of this Commonwealth. All witnesses summoned

for such hearings shall receive reimbursement

for reasonable expenses in accordance with 42

Pa.C.S. § 5903 (relating to compensation and

expenses of witnesses). At the conclusion of a

hearing concerning an alleged violation and in a

timely manner, the Commission shall deliberate

on the evidence and determine whether there

has been a violation of this chapter. At least four

members of the Commission present at a meet-

ing must nd a violation by clear and convinc-

ing proof. e names of the members nding

a violation and the names of those dissenting

(d) Prohibited activities.–No individual while a

member or employee of the Commission shall:

(1) hold or campaign for any other public oce;

(2) hold oce in any political party or political

committee;

(3) actively participate in or contribute to any

political campaign;

(4) directly or indirectly attempt to inuence

any decision by a governmental body, other

than a court of law or as a representative

of the Commission on a matter within the

jurisdiction of the Commission; or

(5) be employed by the Commonwealth or a

political subdivision in any other capacity,

whether or not for compensation.

(e) Vacancy.–A majority of the Commission by

resolution shall declare vacant the position on

the Commission of any member who takes part

in activities prohibited by subsection (d). An

individual appointed to ll a vacancy occurring

other than by the expiration of a term of oce

shall be appointed for the unexpired term of the

member he succeeds and is eligible for appoint-

ment to two full three-year terms thereaer. Any

vacancy occurring on the Commission shall be

lled within 30 days in the manner in which that

position was originally lled.

(f) Election of chairman and vice chairman.–e

Commission shall elect a chairman and a vice

chairman. e vice chairman shall act as chair-

man in the absence of the chairman or in the

event of a vacancy in that position.

(g) Quorum.–Four members of the Commission

shall constitute a quorum and except as provided

in section 1108(g) (relating to investigations

by Commission), the votes of a majority of the

members present are required for any action or

recommendation of the Commission. e chair-

man or any four members of the Commission

may call a meeting provided that advance written

notice is mailed to each member and to any per-

son who requests notice of such meetings.

engaged in business for prot.

(10) e identity of any nancial interest in a

business with which the reporting person

is or has been associated in the preceding

calendar year which has been transferred to

a member of the reporting person’s immedi-

ate family.

is required to be reported pursuant to subsec-

tion (b)(6) and (7), the Statement of Financial

Interests need not include specic amounts for

the items required to be listed.

(d) Cost-of-living adjustments.–On a biennial basis

the Commission shall review the dollar amounts

set forth in this section and may increase these

amounts to such rates as are deemed reasonable

for assuring appropriate disclosure. e Com-

mission shall publish any such adjusted threshold

amounts in the Pennsylvania Bulletin.

§ 1106. State Ethics Commission

(a) Continuation of Commission.–e State Ethics

Commission established under the act of Octo-

ber 4, 1978 (P.L. 883, No.170), referred to as the

Public Ocial and Employee Ethics Law, is con-

tinued and shall be composed of seven members.

e President pro tempore of the Senate, the

Minority Leader of the Senate, the Speaker of

the House and the Minority Leader of the House

shall each appoint one member. ree members

shall be appointed by the Governor without

conrmation. No more than two of the members

appointed by the Governor shall be of the same

political party. No appointee shall have served as

an ocer in a political party for one year prior to

his appointment.

(b) Term of service.–Members of the Commission

shall serve for terms of three years, except that

members shall continue to serve until their suc-

cessors are appointed and qualied.

be appointed to more than two full three-year

terms on the Commission.

and abstaining shall be listed in the order. e

determination of the Commission, in the form of

a nal order and ndings of fact, shall be a matter

of public record.

(h)

Availability of nal Orders, les and records.–

Orders which become nal in accordance with

the provisions of this section shall be available

as public documents, but the les and records of

the Commission relating to the case shall remain

condential.

(i)

Appeal.–Any person aggrieved by an opinion or

order which becomes nal in accordance with

the provisions of this chapter who has direct

interest in such opinion or order shall have the

right to appeal therefrom in accordance with law

and general rules.

(j)

Retaliation prohibited.–No public ocial or

public employee shall discharge any ocial

or employee or change his ocial rank, grade

or compensation or deny him a promotion or

threaten to do so for ling a complaint with or

providing information to the Commission or tes-

tifying in any Commission proceeding. No mem-

ber of the Commission and no employee of the

Commission shall discharge any employee of the

Commission or change his ocial rank, grade or

compensation or threaten to do so for providing

any information about the internal operations of

the Commission, not required by law to be kept

secret, to any legislator or legislative sta member

or testifying in any legislative proceeding.

(k)

Condentiality.–As a general rule, no person

shall disclose or acknowledge, to any other

person, any information relating to a complaint,

preliminary inquiry, investigation, hearing or

petition for reconsideration which is before the

Commission. However, a person may disclose

or acknowledge to another person matters held

condential in accordance with this subsection

when the matters pertain to any of the following:

(1) nal orders of the Commission as provided

in subsection (h);

(2) hearings conducted in public pursuant to

subsection (g);

(3) for the purpose of seeking advice of legal

counsel;

(4) ling an appeal from a Commission order;

(5) communicating with the Commission or its

sta, in the course of a preliminary inquiry,

investigation, hearing or petition for recon-

sideration by the Commission;

(6) consulting with a law enforcement ocial or

agency for the purpose of initiating, partici-

pating in or responding to an investigation

or prosecution by the law enforcement of-

cial or agency;

(7) testifying under oath before a governmental

body or a similar body of the United States

of America;

(8) any information, records or proceedings

relating to a complaint, preliminary inquiry,

investigation, hearing or petition for reconsid-

eration which the person is the subject of; or

(9) such other exceptions as the Commission by

regulation may direct.

(l) Frivolous complaints and wrongful disclosure.–

If a public ocial or public employee has reason

to believe the complaint is frivolous as dened

by this chapter, or without probable cause and

made primarily for a purpose other than that of

reporting a violation of this chapter, or a person

publicly disclosed or caused to be disclosed that a

complaint against the public ocial or public em-

ployee has been led with the Commission, the

public ocial or public employee shall notify the

Commission and the Commission, through its

executive director, shall conduct an investigation.

(m) Limitation of time.–e Commission may

conduct an investigation within ve years aer

the alleged occurrence of any violation of this

chapter.

§ 1109. Penalties

(a) Restricted activities violation.–Any person who

violates the provisions of section 1103(a), (b) and

whom is owed in excess of $6,500 and the

interest rate thereon. However, loans or

credit extended between members of the im-

mediate family and mortgages securing real

property which is the principal or secondary

residence of the person ling shall not be

included.

(5) e name and address of any direct or

indirect source of income totaling in the

aggregate $1,300 or more. However, this

provision shall not be construed to require

the divulgence of condential information

protected by statute or existing professional

codes of ethics or common law privileges.

(6) e name and address of the source and

the amount of any gi or gis valued in the

aggregate at $250 or more and the circum-

stances of each gi. is paragraph shall not

apply to a gi or gis received from a spouse,

parent, parent by marriage, sibling, child,

grandchild, other family member or friend

when the circumstances make it clear that

the motivation for the action was a personal

or family relationship. However, for the

purposes of this paragraph, the term “friend”

shall not include a registered lobbyist or an

employee of a registered lobbyist.

(7) e name and address of the source and the

amount of any payment for or reimburse-

ment of actual expenses for transportation

and lodging or hospitality received in con-

nection with public oce or employment

where such actual expenses for transporta-

tion and lodging or hospitality exceed $650

in an aggregate amount per year. is para-

graph shall not apply to expenses reimbursed

by a governmental body or to expenses

reimbursed by an organization or association

of public ocials or employees of politi-

cal subdivisions which the public ocial or

employee serves in an ocial capacity.

(8) Any oce, directorship or employment of

any nature whatsoever in any business entity.

(9) Any nancial interest in any legal entity

year with the governing authority of the political

subdivision in which he or she is a nominee and,

if dierent, with the ocial or body that is vested

with the power of conrmation at least ten days

before the ocial or body shall approve or reject

the nomination.

(d) Failure to le required statement.–No public

ocial shall be allowed to take the oath of oce

or enter or continue upon his duties, nor shall he

receive compensation from public funds, unless

he has led a Statement of Financial Interests as

required by this chapter.

(e) Public inspection and copying.–All statements

of nancial interests led pursuant to the provi-

sions of this chapter shall be made available for

public inspection and copying during regular

oce hours, and copying facilities shall be made

available at a charge not to exceed actual cost.

§ 1105. Statement of Financial Interests

(a) Form.–e Statement of Financial Interests

led pursuant to this chapter shall be on a form

prescribed by the Commission. All information

requested on the statement shall be provided to

the best of the knowledge, information and belief

of the person required to le and shall be signed

under oath or equivalent armation.

(b) Required information.–e statement shall

include the following information for the prior

calendar year with regard to the person required

to le the statement:

(1) Name, address and public position.

(2) Occupation or profession.

(3) Any direct or indirect interest in any real

estate which was sold or leased to the Com-

monwealth, any of its agencies or political

subdivisions or purchased or leased from the

Commonwealth, any of its agencies or politi-

cal subdivisions or which was the subject of

any condemnation proceedings by the Com-

monwealth, any of its agencies or political

subdivisions.

(4) e name and address of each creditor to

felony and shall, upon conviction, be sentenced

to pay a ne of not more than $10,000 or to im-

prisonment for not more than ve years, or both.

(b) Financial interests statement violation.–Any

person who violates the provisions of section

1103(d) through (j), 1104 (relating to State-

ment of Financial Interests required to be led)

or 1105(a) (relating to Statement of Financial

Interests) commits a misdemeanor and shall,

upon conviction, be sentenced to pay a ne of

not more than $1,000 or to imprisonment for not

more than one year, or both.

nancial gain from violating any provision of this

chapter, in addition to any other penalty provided

by law, shall pay a sum of money equal to three

times the amount of the nancial gain resulting

from such violation into the State Treasury or the

treasury of the political subdivision. Treble dam-

ages shall not be assessed against a person who

acted in good faith reliance on the advice of legal

counsel.

(d) Impeachment and disciplinary action.–e

penalties prescribed in this chapter do not limit

the power of either house of the Legislature to

discipline its own members or impeach a public

ocial and do not limit the power of agencies or

commissions to discipline ocials or employees.

(e) Other violations of chapter.–Any person who

violates the condentiality of a Commission

proceeding pursuant to section 1108 (relating

to investigations by Commission) commits a

misdemeanor and shall, upon conviction, be

sentenced to pay a ne of not more than $1,000

or to imprisonment for not more than one year,

or both. Any person who engages in retaliatory

activity proscribed by section 1108(j) commits

a misdemeanor and, in addition to any other

penalty provided by law, shall, upon convic-

tion, be sentenced to pay a ne of not more than

$1,000 or to imprisonment for not more than one

year, or both. Any person who willfully arms

or swears falsely in regard to any material matter

before a Commission proceeding pursuant to

section 1108 commits a felony and shall, upon

conviction, be sentenced to pay a ne of not more

than $5,000 or to imprisonment for not more

than ve years, or both.

(f) Civil penalty.–In addition to any other civil

remedy or criminal penalty provided for in this

chapter, the Commission may, aer notice has

been served in accordance with section 1107(5)

(relating to powers and duties of Commission)

and upon a majority vote of its members, levy

a civil penalty upon any person subject to this

chapter who fails to le a Statement of Financial

Interests in a timely manner or who les a de-

cient Statement of Financial Interests, at a rate of

not more than $25 for each day such statement

remains delinquent or decient. e maximum

penalty payable under this paragraph is $250.

(g) Reliance on solicitor’s opinion.–A public ocial

of a political subdivision who acts in good faith

reliance on a written, noncondential opinion of

the solicitor of the political subdivision or upon

an opinion of the solicitor of the political subdi-

vision, publicly stated at an open meeting of the

political subdivision and recorded in the ocial

minutes of the meeting, shall not be subject to

the penalties provided for in subsections (a) and

(b) nor for the treble damages provided for in

subsection (c). However, this subsection shall not

apply in situations where the solicitor’s opinion

has been rendered under duress or where the

parties seeking and rendering the solicitor’s

opinion have colluded to purposefully commit a

violation of this chapter.

§ 1110. Wrongful use of chapter

(a) Liability.–A person who signs a complaint alleg-

ing a violation of this chapter against another is

subject to liability for wrongful use of this chapter

if:

(1) the complaint was frivolous, as dened by

this chapter, or without probable cause and

made primarily for a purpose other than that

of reporting a violation of this chapter; or

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 aer he leaves such a

position. Persons who are full-time or part-time

solicitors for political subdivisions are required to

le under this section.

(b) Candidate.–

(1) Any candidate for a State-level public oce

shall le a Statement of Financial Interests for

the preceding calendar year with the Com-

mission on or before the last day for ling a

petition to appear on the ballot for election.

A copy of the Statement of Financial Inter-

ests shall also be appended to such petition.

(2) Any candidate for county-level or local oce

shall le a Statement of Financial Interests

for the preceding calendar year with the gov-

erning authority of the political subdivision

in which he is a candidate on or before the

last day for ling a petition to appear on the

ballot for election. A copy of the Statement

of Financial Interests shall also be appended

to such petition.

(3) No petition to appear on the ballot for elec-

tion shall be accepted by the respective State

or local election ocials unless the peti-

tion has appended thereto a Statement of

Financial Interests as set forth in paragraphs

(1) and (2). Failure to le the statement in

accordance with the provisions of this chap-

ter shall, in addition to any other penalties

provided, be a fatal defect to a petition to

appear on the ballot.

oce shall le a Statement of Financial Interests

for the preceding calendar year with the Com-

mission and with the ocial or body that is

vested with the power of conrmation at least

ten days before the ocial or body shall approve

or reject the nomination. Each nominee for a

county-level or local oce shall le a Statement

of Financial Interests for the preceding calendar

or ordinance, the following procedure shall be

employed. Any public ocial or public employee

who in the discharge of his ocial duties would

be required to vote on a matter that would result

in a conict of interest shall abstain from voting

and, prior to the vote being taken, publicly an-

nounce and disclose the nature of his interest as

a public record in a written memorandum led

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 provi-

sions 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 here-

in. 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 conict 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.

§ 1104. Statement of Financial Interests required to

be led

(a) Public ocial or public employee.–Each public

ocial of the Commonwealth shall le a State-

ment of Financial Interests for the preceding

calendar year with the Commission no later than

May 1 of each year that he holds such a position

and of the year aer he leaves such a position.

Each public employee and public ocial of the

Commonwealth shall le a Statement of Finan-

cial Interests for the preceding calendar year

with the department, agency, body or bureau in

which he is employed or to which he is appointed

or elected no later than May 1 of each year that

he holds such a position and of the year aer he

leaves such a position. Any other public employee

or public ocial shall le a Statement of Finan-

cial Interests with the governing authority of the

(2) he publicly disclosed or caused to be dis-

closed that a complaint against a person had

been led with the Commission.

(b)

Probable cause.–A person who signs a complaint

alleging a violation of this chapter has probable

cause for doing so if he reasonably believes in

the existence of the facts upon which the claim is

based and either:

(1) reasonably believes that under those facts the

complaint may be valid under this chapter; or

(2) believes to this eect in reliance upon the

advice of counsel, sought in good faith and

given aer full disclosure of all relevant facts

within his knowledge and information.

(c)

Commission procedures.–When the Commis-

sion determines that a complainant has violated

the provisions set forth in subsection (a), the

Commission, upon receiving a written request

from the subject of the complaint, shall provide

the name and address of the complainant to said

subject. If the Commission determines that a

complainant has not violated the provisions of

subsection (a), the Commission shall notify the

subject accordingly. e subject shall have the

right to appeal the Commission’s determina-

tion, and the Commission shall schedule an

appeal hearing. e subject shall show cause why

the complainant violated the provisions of this

section. If the Commission grants the appeal,

the Commission shall immediately release the

complainant’s name and address to the subject. If

the Commission denies the appeal, it shall pres-

ent evidence why the complainant’s name and

address shall not be released.

(d)

Damages.–When the essential elements of an

action brought pursuant to this section have been

established, the plainti is entitled to recover for

the following:

(1) e harm to his reputation by a defamatory

matter alleged as the basis of the proceeding.

(2) e expenses, including any reasonable at-

torney fees, that he has reasonably incurred

in proceedings before the Commission.

(3) Any specic pecuniary loss that has resulted

from the proceedings.

(4) Any emotional distress that has been caused

by the proceedings.

(5) Any punitive damages according to law in

appropriate cases.

§ 1111. Supplemental provisions

Any governmental body may adopt requirements

to supplement this chapter, provided that no such

requirements shall in any way be less restrictive than

the chapter.

§ 1112. Conict of law

Except as otherwise provided in Chapter 13 (relat-

ing to lobby regulation and disclosure), if the provi-

sions of this chapter conict with any other statute,

ordinance, regulation or rule, the provisions of this

chapter shall control.

§ 1113. Severability

If any provision of this chapter or the application

thereof to any person or circumstance is held invalid,

the validity of the remainder of this chapter and the

application of such provisions to other persons and

circumstances shall not be aected thereby.

FREQUENTLY ASKED QUESTIONS

Powers and Duties:

Q: Can the State Ethics Commission le criminal

charges and/or can it remove a public ocial/

public employee from oce?

A: Although violations of the Ethics Act may be

charged as a criminal violation of law, only the

District Attorney or Attorney General may le

criminal violations of the Ethics Act. e Com-

mission is empowered to nd administrative

violations of the Ethics Act, order restitution and

treble penalties, and can recommend or refer

any matter for prosecution by law enforcement.

e Ethics Act does not provide authority for the

Commission to remove an individual from their

oce or employment—even aer a nding of a

violation of the Ethics Act.

and public process, including prior public notice

and subsequent public disclosure of all propos-

als considered and contracts awarded. In such a

case, the public ocial or public employee shall

not have any supervisory or overall responsibil-

ity 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) Former ocial or employee.–No former public

ocial 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 aer

he leaves that body.

(h) Misuse of statement of nancial interest.–No

person shall use for any commercial purpose

information copied from statements of nancial

interests required by this chapter or from lists

compiled from such statements.

(i) Former executive-level employee.–No former

executive-level State employee may for a period

of two years from the time that he terminates em-

ployment with this Commonwealth be employed

by, receive compensation from, assist or act in a

representative capacity for a business or corpora-

tion that he actively participated in recruiting to

this Commonwealth or that he actively partici-

pated in inducing to open a new plant, facility or

branch in this Commonwealth or that he actively

participated in inducing to expand an existent

plant or facility within this Commonwealth,

provided that the above prohibition shall be in-

voked only when the recruitment or inducement

is accomplished by a grant or loan of money or

a promise of a grant or loan of money from the

Commonwealth to the business or corporation

recruited or induced to expand.

(j) Voting conict.–Where voting conicts are not

otherwise addressed by the Constitution of Penn-

sylvania or by any law, rule, regulation, order

(d) Honorarium.–No public ocial or public em-

ployee shall accept an honorarium.

(e) Contingent and severance payments.–

(1) No person shall solicit or accept a severance

payment or anything of monetary value con-

tingent upon the assumption or acceptance

of public oce or employment.

(2) is 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 notied by a member of

a transition team, a search committee

or a person with appointive power that

he is under consideration for public

oce or makes application for public

employment.

(ii) Receipt of a salary, fees, severance pay-

ment 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 as-

sumption or acceptance of public oce

or employment.

(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 ocial action of the prospective

public ocial or employee would be inu-

enced thereby.

(f) Contract.–No public ocial 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 ocial 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

ocial or public employee is associated, unless

the contract has been awarded through an open

Q: Does the Commission investigate violations of the

Sunshine Act?

A: No. e Commission does not have jurisdiction

over the Sunshine Act. Questions and concerns

about violations of the Sunshine Act (65 Pa.C.S.

§§ 701–716) should be directed to the county

district attorney.

Q: Does the State Ethics Commission have jurisdic-

tion over judicial ocers or judicial employees?

A: No. e Supreme Court of Pennsylvania has

exclusive jurisdiction over judicial ocers and

judicial employees. See also L.J.S. v. State Ethics

Commission, 744 A.2d 798 (Pa. Cmwlth. 2000);

Billotte, Opinion 00-005.

Statement of Financial Interests (SFI):

Q: Can I le my Statement of Financial Interests (SFI)

online instead of lling out a paper form?

A: Yes. Your Statement of Financial Interests can

be led online at the State Ethics Commission’s

Website as follows: http://www.ethics.pa.gov. All

Filers will need to submit a paper version and/or

a copy of their electronically led form to all re-

quired ling locations if it is other than the State

Ethics Commission.

Q: Which sections of the Statement of Financial Inter-

ests (SFI) are most oen incomplete, requiring the

form to be returned to the ler for correction?

A: ere are two sections that are frequently le

blank. Block 5 (Governmental Entity) and

Block 7 (Year). Block 5 refers to the name of

the Entity where the ler currently serves or, if a

candidate, intends to serve as a Public Ocial/

Public Employee. e most frequent Government

Entities names usually include the following:

department, agency, authority, borough, board,

commission, county, school district, township,

etc. Block 7 (year) is the calendar year for which

the ler is ling the form. For example, if the

form is being completed in the calendar year

2018, block 7 should read “2017” and all infor-

mation in blocks 8 through 15 should represent

nancial interests for calendar year 2017.

Q: What creditors are required to be reported in Block

9 (Creditors) of the Statement of Financial Interests

(SFI)?

A: is block contains the name and address of any

creditor and the interest rate of any debt over

$6,500.00 regardless of whether such debt is held

solely by you or jointly by you and any other

individual (including your spouse) where each

obligor is fully responsible for the obligation. A

joint obligation with other persons, for which the

ler is responsible only for a proportional share

that is less than the reporting threshold, is not

required to be reported. Car loans, school loans,

credit cards, personal loans and lines of credit

must be listed on the form if the balance owed

was in excess of $6,500.00 at any time during the

calendar year. Do not report a mortgage or eq-

uity loan on your home (or secondary home) or

loans/credit between you and your spouse, child,

parent or sibling. If you do not have ANY report-

able creditor, then check the box next to “NONE”.

Q: What Direct or Indirect Sources of Income must be

reported in Block 10 of the Statement of Financial

Interests (SFI)?

A: List the name and address of each source of

$1,300.00 or more of gross income regardless of

whether such income is received solely by you or

jointly by you and another individual, such as a

spouse. “Income” includes any money or thing

of value received or to be received as a claim

on future services or in recognition of services

rendered in the past, whether in the form of a

payment, fee, salary, expense, allowance, forbear-

ance, forgiveness, interest, dividend, royalty,

rent, capital gain, reward, severance payment,

proceeds from the sale of a nancial interest in a

corporation, professional corporation, partner-

ship or other entity resulting from termination/

withdrawal therefrom upon assumption of public

oce or employment or any other form of rec-

ompense or combination thereof. e term refers

to gross income; it includes prize winnings and

tax-exempt income but does not include gis,

governmentally mandated payments or benets,

“Represent.” To act on behalf of any other person in

any activity which includes, but is not limited to, the

following: personal appearances, negotiations, lobby-

ing and submitting bid or contract proposals which

are signed by or contain the name of a former public

ocial or public employee.

“Solicitor.” A person elected or appointed to the of-

ce of solicitor for the political subdivision.

“Source.” Any person who is a provider of an item

reportable under section 1105 (relating to Statement

of Financial Interests).

“State consultant.” A person who, as an independent

contractor, performs professional, scientic, technical

or advisory service for an agency of this Common-

wealth, and who receives a fee, honorarium or similar

compensation for such services. A State consultant is

not an executive-level employee.

§ 1103. Restricted activities

(a) Conict of interest.–No public ocial or public

employee shall engage in conduct that constitutes

a conict of interest.

(b) Seeking improper inuence.–No person shall

oer or give to a public ocial, public employee or

nominee or candidate for public oce or a mem-

ber of his immediate family or a business with

which he is associated, anything of monetary

value, including a gi, loan, political contribution,

reward or promise of future employment based

on the oeror’s or donor’s understanding that the

vote, ocial action or judgment of the public of-

cial or public employee or nominee or candidate

for public oce would be inuenced thereby.

cial, public employee or nominee or candidate

for public oce shall solicit or accept anything of

monetary value, including a gi, loan, political

contribution, reward or promise of future employ-

ment, based on any understanding of that public

ocial, public employee or nominee that the vote,

ocial action or judgment of the public ocial

or public employee or nominee or candidate for

public oce would be inuenced thereby.

“Person.” A business, governmental body, individual,

corporation, union, association, rm, partnership,

committee, club or other organization or group of

persons.

“Political contribution.” Any advance, conveyance,

deposit, distribution, transfer of funds, loan, pay-

ment, pledge, purchase of a ticket to a testimonial or

similar fund-raising aair, or subscription of money

or anything of value, except volunteer services,

in connection with a political campaign, and any

contract, agreement, promise or other obligations,

whether or not legally enforceable, to make a political

contribution.

“Political subdivision.” Any county, city, borough,

incorporated town, township, school district, voca-

tional school, county institution district, and

any authority, entity or body organized by the

aforementioned.

“Public employee.” Any individual employed by the

Commonwealth or a political subdivision who is re-

sponsible for taking or recommending ocial action

of a nonministerial nature with regard to:

(1) contracting or procurement;

(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 ocial action has an

economic impact of greater than a de minimis

nature on the interests of any person.

e term shall not include individuals who are

employed by this Commonwealth or any political

subdivision thereof in teaching as distinguished from

administrative duties.

“Public ocial.” Any person elected by the public

or elected or appointed by a governmental body or

an appointed ocial 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.

retirement, pension or annuity payments funded

totally by contributions of the public ocial or

employee, or miscellaneous, incidental income of

minor dependent children. Some examples fol-

low: 1) if you receive monthly pension payments

of $1,300.00 or more, where the employer has

contributed in whole or in part to your pension,

or if you own a 401K account that has generated

dividends, distributions or capital gains totaling

in the aggregate of $1,300.00 or more, you must

list it here; 2) if you sell a property and you have

capital gains from that property, and each source

is $1,300.00 or more, you must list it here; and

3) if, for example, you are a doctor or lawyer and

you receive income from multiple individual

clients in an amount of greater than $1,300.00,

you should list the name and address of your rm

or oce, not the individual clients.

An inheritance received from a family member is

not considered “income” for purposes of nan-

cial disclosure under the Ethics Act unless the

inheritance would be expressly designated as a

payment for, or in recognition of, services.

An inheritance received from a family member

would ordinarily be considered a gi that would

not have to be disclosed on the Statement of Fi-

nancial Interests as per Section 1105(b)(6) of the

Ethics Act.

If you do not have ANY reportable source of

income, then check the box next to “NONE.”

Q: What must be reported in Block 13 (Oce, Di-

rectorship or Employment in any business) of the

Statement of Financial Interests (SFI) form?

A: is block focuses solely on your status as an of-

cer, director or employee, regardless of income.

List the name and address of the business entity

for any oce that you hold (for example, Presi-

dent, Vice President, Secretary, Treasurer), any

directorship that you hold (through service on a

governing board such as a board of directors), and

any employment that you have in any capacity

whatsoever, as to any business entity. For example,

if you are employed by a business, you should list

the name of the business and list your position as

“employee.” Additionally, if you serve as a member

of a nonprot board, such as a community group

or organization, even though you may receive

no compensation for this position, you would

be considered an oce holder, and would report

your position here.

Q: Regarding the Statement of Financial Interests

(SFI) Form ling for Candidates running for oce,

who, when and where should they le?

A: Candidates for Statewide oces, which include

State Senate, State House, Supreme Court, Supe-

rior Court, Common Pleas Court, Trac Court,

Municipal Court and Commonwealth Court: e

original copy of the SFI form must be led with

the State Ethics Commission, and a copy must be

appended to the nomination petition when led

with the State Bureau of Elections. is must be

completed on or before the last day for ling a

petition to appear on the Ballot for Election.

For Constables/Deputy Constables: e original

copy must be led with the State Ethics Com-

mission, and a copy must be appended to the

nomination petition when led with the County

Board of Elections. is must be completed on or

before the last day for ling a petition to appear

on the Ballot for Election.

For Countywide, City, Borough, Township or

Municipality candidates (home rule charter):

e original copy must be led with the Clerk/

Secretary in the Municipality in which you are a

candidate, and a copy must be appended to the

nomination petition when led with the County

Board of Elections. is must be completed on or

before the last day for ling a petition to appear

on the Ballot for Election.

For Magisterial District Judges candidates:

e original copy must be led with the County

in which the Magisterial District is located, and

a copy must be appended to the nomination

petition when led with the County Board of

Elections. is must be completed on or before

the last day for ling a petition to appear on the

Ballot for Election.

“Income.” Any money or thing of value received

or to be received as a claim on future services or in

recognition of services rendered in the past, whether

in the form of a payment, fee, salary, expense, allow-

ance, forbearance, forgiveness, interest, dividend,

royalty, rent, capital gain, reward, severance payment,

proceeds from the sale of a nancial interest in a

corporation, professional corporation, partnership

or other entity resulting from termination or with-

drawal therefrom upon assumption of public oce or

employment or any other form of recompense or any

combination thereof. e term refers to gross income

and includes prize winnings and tax-exempt income.

e term does not include gis, governmentally

mandated payments or benets, retirement, pension

or annuity payments funded totally by contributions

of the public ocial or employee, or miscellaneous,

incidental income of minor dependent children.

“Indirect interest in real estate.” Any business entity

the assets of which are 80% or more in real property.

“Ministerial action.” An action that a person per-

forms in a prescribed manner in obedience to the

mandate of legal authority, without regard to or the

exercise of the person’s own judgment as to the desir-

ability of the action being taken.

“Nominee.” Any person whose name has been

submitted to a public ocial or governmental body

vested with the power to nally conrm or reject pro-

posed appointments to public oce or employment.

“Nonministerial actions.” An action in which the

person exercises his own judgment as to the desirabil-

ity of the action taken.

“Opinion.” A directive of the State Ethics Commis-

sion issued pursuant to section 1107(10) (relating to

powers and duties of Commission) setting forth a

public ocial’s or public employee’s duties under this

chapter.

“O rd er.” A directive of the State Ethics Commission

issued pursuant to section 1107(13) (relating to pow-

ers and duties of Commission) at the conclusion of an

investigation which contains ndings of fact, conclu-

sions of law and penalties.

to a private corporation or business or any employee

who by virtue of his job function could inuence the

outcome of such a decision.

“Financial interest.” Any nancial interest in a legal

entity engaged in business for prot which comprises

more than 5% of the equity of the business or more

than 5% of the assets of the economic interest in

indebtedness.

“Findings report.” An initial report containing

ndings of fact as determined by the State Ethics

Commission’s investigation but not containing any

conclusions of law or any determination of whether

there has been a violation of law.

“Frivolous complaint.” A complaint led in a grossly

negligent manner without basis in law or fact.

“G i .” As dened in section 13A03 (relating to

denitions).

“Governmental body.” Any department, authority,

commission, committee, council, board, bureau, divi-

sion, service, oce, ocer, administration, legislative

body or other establishment in the executive, legisla-

tive or judicial branch of a state, a nation or a politi-

cal subdivision thereof or any agency performing a

governmental function.

“Governmental body with which a public ocial

or public employee is or has been associated.” e

governmental body within State government or a

political subdivision by which the public ocial or

employee is or has been employed or to which the

public ocial or employee is or has been appointed

or elected and subdivisions and oces within that

governmental body.

“Honorarium.” Payment made in recognition of

published works, appearances, speeches and presen-

tations and which is not intended as consideration

for the value of such services which are nonpublic

occupational or professional in nature. e term does

not include tokens presented or provided which are of

de minimis economic impact.

“Hospitality.” As dened in section 13A03 (relating

to denitions).

“Immediate family.” A parent, spouse, child, brother

or sister.

For School Director candidates: e original

copy must be led in the School District where

you are a candidate, and a copy must be ap-

pended to your nomination petition when led

with the County Board of Elections. is must

be completed on or before the last day for ling a

petition to appear on the Ballot for Election.

For Announced Write-ins, Unannounced

Write-in Winners of Nominations, and Unan-

nounced Write-in Winners of Elections: For

state oce, le with the State Ethics Commission.

For county or local oce, le with the governing

authority of the political subdivision. No addi-

tional copy is required to be led. is must be

completed within 30 days of ocial certication

of having been nominated or elected unless such

person declines the nomination or oce within

that time frame.

Q: Must a school district employee with duties that

include recommending equipment purchases le

Statements of Financial Interests (SFIs) pursuant

to the Ethics Act, or is the ling requirement only

limited to school directors, superintendents and

solicitors?

A: Yes. Although school directors, superintendents

and solicitors certainly are subject to the ling

requirement—as would be assistant superin-

tendents, school business managers, and prin-

cipals—the ling requirement is not limited to

only these positions.

Because status as a public employee is deter-

mined based upon duties and authority rather

than job titles, and because positions and duties

may vary greatly from one school district to

another, it is not feasible to create one listing of

all school district positions subject to the ling

requirement. Rather, the duties and authority of

each position must be considered to determine

status as a public employee.

An employee with duties including recommend-

ing equipment purchases would typically fall

within the denition of “public employee” and

would be subject to the requirements for ling

Statements of Financial Interests.

Q: Is a judge who is a candidate for election to a judi-

cial seat required to le the Statement of Financial

Interests (SFI) form as a candidate under Section

1104(b) of the Ethics Act?

A: Yes. Members of the judiciary who are candidates

in a judicial election are required to le State-

ments of Financial Interests in conformance with

Section 1104(b) of the Ethics Act.

Conicts of Interest:

Q: What are the restrictions regarding contracting for

Public Employees and Public Ocials?

A: e restrictions for contracting are set forth in

Section 1103(f) of the Ethics Act which pro-

hibits a public ocial/public employee or his/

her spouse, child, or any business the ocial/

employee, spouse or child is associated with,

from entering into a contract (or subcontract)

valued at $500 or more with the governmental

body of the public ocial/employee unless the

contract has been awarded through an open and

public process. An open and public process is not

necessarily competitive bidding, but at a mini-

mum includes prior public notice and subsequent

public disclosure of all proposals considered and

contracts awarded.

Q: What does the 1-year “Revolving Door” provision

of the Ethics Act prohibit?

A: Section 1103(g) of the Ethics Act (Revolving

Door) prohibits a former public ocial/public

employee from representing a person (including

themselves) for compensation before the ocial/

employee’s former governmental body for one

year aer the ocial/employee leaves service.

e terms “person” and “represent” are broadly

dened and would include a former employee

returning as an independent contractor. Caution

should be taken when one considers leaving pub-

lic service and engaging in any business ventures

with a former governmental entity.

Q: Are there any exceptions allowing a public ocial

with a conict of interest under the Ethics Act to

vote despite the conict?

e term shall include individuals nominated or

elected as write-in candidates unless they resign such

nomination or elected oce within 30 days of having

been nominated or elected.

“Commission.” e State Ethics Commission.

“Condential information.” Information not

obtainable from reviewing a public document or

from making inquiry to a publicly available source of

information.

“Conict” or “conict of interest.” Use by a public

ocial or public employee of the authority of his of-

ce or employment or any condential information

received through his holding public oce or employ-

ment for the private pecuniary benet of himself, a

member of his immediate family or a business with

which he or a member of his immediate family is as-

sociated. e term does not include an action having

a de minimis economic impact or which aects 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 ocial or pub-

lic employee, a member of his immediate family or a

business with which he or a member of his immediate

family is associated.

“Contract.” An agreement or arrangement for the

acquisition, use or disposal by the Commonwealth or

a political subdivision of consulting or other services

or of supplies, materials, equipment, land or other

personal or real property. e term shall not mean

an agreement or arrangement between the State or

political subdivision as one party and a public ocial

or public employee as the other party, concerning his

expense, reimbursement, salary, wage, retirement or

other benet, tenure or other matters in consideration

of his current public employment with the Common-

wealth or a political subdivision.

“De minimis economic impact.” An economic con-

sequence which has an insignicant eect.

“Executive-level State employee.” e Governor,

Lieutenant Governor, cabinet members, deputy

secretaries, the Governor’s oce sta, any State

employee with discretionary powers which may aect

the outcome of a State agency’s decision in relation

the State Ethics Commission issued under section

1107(11) (relating to powers and duties of Commis-

sion) and based exclusively on prior Commission

opinions, this chapter, regulations promulgated

pursuant to this chapter and court opinions which

interpret this chapter.

“Aggregate.” e total of all gis received from a

single source as provided in section 1105(b)(6) (relat-

ing to Statement of Financial Interests).

“Authority of oce or employment.” e actual

power provided by law, the exercise of which is neces-

sary to the performance of duties and responsibilities

unique to a particular public oce or position of

public employment.

“Business.” Any corporation, partnership, sole

proprietorship, rm, enterprise, franchise, associa-

tion, organization, self-employed individual, holding

company, joint stock company, receivership, trust or

any legal entity organized for prot.

“Business with which he is associated.” Any busi-

ness in which the person or a member of the person’s

immediate family is a director, ocer, owner, employ-

ee or has a nancial interest.

“Candidate.” Any individual who seeks nomination

or election to public oce by vote of the electorate,

other than a judge of elections, inspector of elections

or ocial 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 oce if he has:

(1) received a contribution or made an expenditure

or given his consent for any other person or

committee to receive a contribution or make an

expenditure for the purpose of inuencing his

nomination or election to such oce, whether or

not the individual has announced the specic of-

ce for which he will seek nomination or election

at the time the contribution is received or the

expenditure is made; or

(2) taken the action necessary under the laws of this

Commonwealth to qualify himself for nomina-

tion or election to such oce.

ere are two voting conict exceptions in Sec-

tion 1103(j) of the Ethics Act. e exception for

breaking a tie vote despite a conict of interest

is available exclusively to members of three-

member governing bodies who rst abstain and

disclose their conicts as required by Section

1103(j) of the Ethics Act. See, Pavlovic, Opinion

02-005. erefore, the Section 1103(j) exception

for breaking a tie vote despite a conict of interest

would not be applicable for a board containing

more than three members. e other voting con-

ict exception is not limited to a three-member

governing body but requires that the following

conditions be met: (1) the board must be unable

to take any action on the matter before it because

the number of members required to abstain from

voting under the provisions of the Ethics Act

makes the majority or other legally required vote

of approval unattainable; and (2) prior to voting,

such members with conicts under the Ethics

Act must disclose their conicts as required by

Section 1103(j). When both of these conditions

are met, such that the exception is applicable,

the exception allows for voting only—it does not

permit other forms of participation, such as dis-

cussing the matter that is the subject of the vote.

Klutzaritz, Order 1078; Pavlovic, supra.

What is a conict of interest under the Ethics Act?

Under the Ethics Act, a conict of interest exists

when a person uses the authority of their public

oce/employment or condential information

received through their public oce/employment,

which is used for the private pecuniary benet of

the public ocial/public employee himself, any

member of his immediate family, or a business

with which he or a member of his immediate

family is associated. 65 Pa.C.S. §§ 1102, 1103(a).

e term “business with which he is associated”

is dened as “Any business in which the person

or a member of the person’s immediate family is

a director, ocer, owner, and employee or has a

nancial interest.” 65 Pa.C.S. § 1102.

Ethics Act:

Q: How do I le an Ethics complaint or a Lobbying

complaint with the Commission?

A: Complaint forms are available at the Pennsylva-

nia State Ethics Commission website: http://www.

ethics.pa.gov. Upon access to the Website, click

on the link entitled “Forms.” ere is a separate

PDF form and instructions for an Ethics com-

plaint versus a Lobbying complaint. Paper forms

are also available upon request from the State

Ethics Commission. e complaint should state

the name, job or oce held by the subject of the

complaint, and a description of the facts which

are alleged to constitute a violation of either the

Ethics Act or the Lobbying Disclosure Law. Com-

plaints must be sworn before a notary public.

Q: If a public ocial/public employee violates the

Ethics Act, can he “undo” the violation through

remedial measures?

A: e Commission has held that “remedial mea-

sures,” such as to rescind a prior vote, DO NOT

“undo” or negate a violation if such has occurred,

but may be considered as mitigating circum-

stances when the Commission considers the

imposition of an appropriate penalty or referral

for criminal prosecution.

Q: Who may request an Advice/Opinion from the

State Ethics Commission?

A: Under the Ethics Act, anyone who is subject to

the Ethics Act may request an advisory about his

or her own obligations. An advisory may also

be requested by the authorized representative of

such person or by the appointing authority or

employer of such person.

Under the Lobbying Disclosure Law, a lobby-

ist, lobbying rm, principal, the Pennsylvania

Department of State, a State employee, or the

Disciplinary Board of the Supreme Court of

Pennsylvania may request an advisory regarding

compliance with the Lobbying Disclosure Law.

An advisory may also be requested by the autho-

rized representative of the aforesaid individuals

or entities.

by law is a violation of that trust. In order to

strengthen the faith and condence of the people

of this Commonwealth in their government, the

Legislature further declares that the people have

a right to be assured that the nancial interests of

holders of or nominees or candidates for pub-

lic oce do not conict with the public trust.

Because public condence in government can

best be sustained by assuring the people of the

impartiality and honesty of public ocials, this

chapter shall be liberally construed to promote

complete nancial disclosure as specied in this

chapter. Furthermore, it is recognized that clear

guidelines are needed in order to guide public

ocials and employees in their actions. us,

the General Assembly by this chapter intends to

dene as clearly as possible those areas which

represent conict with the public trust.

(b) Recognition.–It is recognized that many public

ocials, including most local ocials and mem-

bers of the General Assembly, are citizen-ocials

who bring to their public oce the knowledge

and concerns of ordinary citizens and taxpayers.

ey should not be discouraged from maintain-

ing their contacts with their community through

their occupations and professions. us, in order

to foster maximum compliance with its terms,

this chapter shall be administered in a manner

that emphasizes guidance to public ocials and

public employees regarding the ethical standards

established by this chapter.

Assembly that this chapter be administered by an

independent commission composed of members

who are cognizant of the responsibilities and

burdens of public ocials and employees and

who have demonstrated an interest in promoting

public condence in government.

§ 1102. Denitions

e following words and phrases when used in this

chapter shall have, unless the context clearly indicates

otherwise, the meanings given to them in this section:

“Ad v i c e.” Any directive of the chief counsel of

Also, in 2016, pursuant to Act 114 of 2016, the

Commission was assigned additional responsibilities

of publishing a list of all employment positions within

the State Horse Racing Commission with duties that

would subject those individuals to “revolving door/

post-termination” restrictions, as well as making de-

terminations whether individuals would be subject to

the “revolving door/post-termination” restrictions.

rough the interpretation and enforcement of the

Ethics Act and its responsibilities under the Gaming

Act, the Medical Marijuana Act, Act 114 of 2016 and

the Lobbying Disclosure Law, the Ethics Commission

strives to strengthen the faith and condence of the

citizens of the Commonwealth in their government.

PENNSYLVANIA PUBLIC OFFICIAL

AND EMPLOYEE ETHICS ACT

65 Pa.C.S. §1101 et seq.

Section

1101. Short title of chapter.

1101.1. Purpose.

1102. Denitions.

1103. Restricted activities.

1104. Statement of Financial Interests required to

be led.

1105. Statement of Financial Interests.

1106. State Ethics Commission.

1107. Powers and duties of Commission.

1108. Investigations by Commission.

1109. Penalties.

1110. Wrongful use of chapter.

1111. Supplemental provisions.

1112. Conict of law.

1113. Severability.

§ 1101. Short title of chapter

is chapter shall be known and may be cited as the

Public Ocial and Employee Ethics Act.

§ 1101.1. Purpose

(a) Declarations.–e Legislature hereby declares

that public oce is a public trust and that any

eort to realize personal nancial gain through

public oce other than compensation provided

Q: How does one request an Advice/Opinion from the

Commission?

A: All requests must be in writing. Requests should

be addressed as follows: State Ethics Commis-

sion, Attention: Legal Division, Finance Build-

ing, 613 North Street, Room 309, Harrisburg,

PA 17120-0400. At a minimum, the following

information should be provided:

• Name, address and telephone number of the

subject of the request and if dierent, the

name, address and telephone number of the

person initiating the request.

• Where applicable, the name of the govern-

mental body with which the subject serves

and the name or title of such person’s public

oce or position.

• If the requester is the appointing authority,

employer or authorized representative of

the subject of the request, the nature of such

relationship.

• Where applicable, the nature of duties of the

subject’s oce or job. Include an organiza-

tion chart, bylaws of the organization, if

available, and a job description.

• List the material facts and circumstances

surrounding the request.

Q: How is the request for an Advice/Opinion pro-

cessed by the Commission, and will the Advice or

Opinion be made public?

A: e Commission will advise within 14 days

whether an Advice or Opinion may be issued.

An Advice is issued by the Commission’s Chief

Counsel where Commission precedent, court

cases, the Ethics Act, the Lobbying Disclosure

Law, and/or Regulations provide the basis upon

which to render such Advice. An Advice can

usually be issued to a person within 21 working

days of the Commission’s receipt of the request.

In some cases, however, the time may be ex-

tended. An Advice may be appealed to the full

Commission.

If an Opinion will be issued by the Commission

from holding under the Gaming Act.

Medical Marijuana Act:

Q: What are the Commission’s duties and responsibili-

ties under the Medical Marijuana Act?

A: Pursuant to Section 2101.1 of the Medical Mari-

juana Act, the Commission now has responsibili-

ties for: (1) issuing determinations as to whether

particular persons would be subject to restric-

tions regarding holding a nancial interest in, or

being employed by, a medical marijuana organi-

zation or a holding company, aliate, interme-

diary or subsidiary thereof; and (2) biennially

publishing a listing of all State, county, municipal

and other government positions meeting the ap-

plicable denitions of the terms “public ocial”

or “executive-level public employee,” which are

two of the categories of persons subject to the

aforesaid restrictions.

Act 114 of 2016:

Q: What are the Commission’s duties and responsibili-

ties under Act 114 of 2016?

A: Pursuant to Act 114 of 2016, pertaining to

employees of the State Horse Racing Commis-

sion, the Commission has responsibilities for:

(1) biennially publishing a list of all employment

positions withing the State Horse Racing Com-

mission with duties that would subject the indi-

viduals in those positions to the “revolving door/

post-termination” restrictions at (3 Pa.C.S. §

9311(b)(6)(xiv); and (2) making a determination,

upon request, as to whether a particular indi-

vidual/person would be subject to the “revolving

door/post-termination” restriction at 3 Pa.C.S. §

9311(b)(6)(xiv).

KEY WORD INDEX

Compensation

Failure to le required statement

Ethics Act, Section 1104(d)

Former executive-level employee

Ethics Act, Section 1103(i)

Former ocial or employee

Ethics Act, Section 1103(g)

Prohibited Activities Ethics Act, Section 1106(d(5)

Public Ocials Ethics Act, Section 1101.1(a)

Commissioners Ethics Act, Section 1106(h)

members, the requestor will be advised of the

date, time, and place of the Commission meet-

ing, at which the Opinion will be considered. e

requestor may attend this meeting and make a

presentation.

Q: What is the eect of an Advice/Opinion once is-

sued by the Commission?

A: No person who acts in good faith on an Opinion

that was issued to him by the Commission will

be the subject of either criminal or civil penalties

for acting in conformity with the language of the

Opinion, provided that he truthfully disclosed all

material facts in the Opinion requested.

An Advice issued by the Commission’s Chief

Counsel is a complete defense in any enforce-

ment proceeding initiated by the Commission

and if followed, is considered evidence of good

faith conduct in any other civil or criminal

proceeding.

Lobbying Disclosure Law:

Q: What are the Commission’s duties and responsibili-

ties under the Lobbying Disclosure Law?

A: e Commission is authorized to issue advisory

opinions, as well as to conduct investigations and

enforcement actions in relation to violations of

the Lobbying Disclosure Law.

Gaming Act:

Q: What are the Commission’s duties and responsibili-

ties under the Gaming Act?

A: Pursuant to the Gaming Act, the Commission

is responsible for: (1) making determinations as

to whether certain individuals employed by the

Gaming Control Board or independent contrac-

tors of the Board would be subject to certain

“revolving-door” provisions within the Gaming

Act; (2) biennially publishing a listing of all state,

county, municipal and other government posi-

tions meeting the denitions of the terms “public

ocial” or “executive-level public employees” set

forth in the Gaming Act; and (3) determining

whether deadlines should be extended concern-

ing enumerated individuals’ requirement to

divest themselves of nancial interests prohibited

INTRODUCTION

e Pennsylvania State Ethics Commission’s core

mission and guiding principle is that public oce is

a public trust and that any eort to realize personal

nancial gain through one’s public oce other than

compensation provided by law is a violation of that

trust. e Pennsylvania Public Ocial and Employee

Ethics Act, Act 170 of 1978, became eective on Janu-

ary 1, 1979, and in subsequent years was amended

and reenacted in 1989, codied in 1998, and amended

in 2006. roughout its history, the Ethics Commis-

sion has remained ever vigilant and steadfast in its

mission of ensuring the public’s condence in state

and local government.

e Ethics Commission is an independent state

agency charged with the responsibility of enforc-

ing the Ethics Act. e Ethics Act applies to elected

and appointed public ocials and public employees.

Candidates and nominees for public oce are also

subject to certain provisions of the Ethics Act. e

Ethics Commission’s responsibilities under the Ethics

Act include rendering advisory opinions regarding

the Ethics Act, enforcing the Ethics Act as it relates

to the ling of Statement of Financial Interests forms,

investigating alleged violations of the Ethics Act, and

issuing decisions in relation to such investigations.

Pursuant to the Lobbying Disclosure Law, 65

Pa.C.S. § 13A01 et seq., the Commission has duties

involving enforcement of the reporting requirements

of the law, investigations of Lobbying Law violations,

and the issuance of advisory opinions regarding the

Lobbying Disclosure Law.

e Ethics Commission holds additional respon-

sibilities pursuant to the Pennsylvania Race Horse

Development and Gaming Act, 4 Pa.C.S. § 1101 et

seq, and Act 16 of 2016, known also as the Medi-

cal Marijuana Act. Under both, the Commission is

charged with generating a public listing of all state,

county, municipal, and other government positions

meeting the denitions of the terms “public ocial”

or “executive-level public employee” as set forth in the

Act(s), as well as issuing “Determinations” specic to

the Gaming Act and Medical Marijuana Act.

Retaliation Ethics Act, Section 1108(j)

Witnesses Ethics Act, Section 1108(g)

Condentiality Ethics Act, Section 1108(k)

Violations of Chapter Ethics Act, Section 1108(e)

Conict of Interest

Denition Ethics Act, Section 1102

Restricted Activities Ethics Act, Section 1103(a)

Voting Ethics Act, Section 1103(j)

Contracting Ethics Act, Section 1103(f)

Denition Ethics Act, Section 1102

Gis

Prohibitions

Acceptance Ethics Act, Section 1103(c)

Inuence Ethics Act, Section 1103(b)

Reporting resholds Ethics Act, Section 1105(6)

Honorariums

Denition Ethics Act, Section 1102

Restricted Activities Ethics Act, Section 1103(d)

Immediate Family

Denition

Ethics Act, Section 1102

Seeking Improper Inuence

Ethics Act, Section 1103(b)

Statement of Financial Interests Disclosure

Investigations

Full

Preliminary

Ethics Act, Section 1105(4)(10)

Ethics Act, Section 1108(c)

Ethics Act, Section 1108(a)

Penalties

Restricted Activities Ethics Act, Section 1109(a)

Statement of Financial Interests

Ethics Act, Section 1109(b)

Revolving Door Ethics Act, Section 1103(g)

Severance Payments Ethics Act, Section 1103(e)

Solicitors

Denition Ethics Act, Section 1102

Statement of Financial Interests Filing Requirement

Ethics Act, Section 1104(a)

Reliance on Solicitor’s Opinion

Ethics Act, Section 1109(g)

Statement of Financial Interests

Failure to File Ethics Act, Section 1104(d)

Filing Requirement for Public Ocial or Public

Employee Ethics Act, Section 1104(a)

Filing Requirement for State-Level Public Oce

Candidate Ethics Act, Section 1104(b)

Filing Requirement for State-Level Public Oce

Nominee Ethics Act, Section 1104(c)

Required Information Ethics Act, Section 1105(b)

Reporting Amounts Ethics Act, Section 1105(d)

Statute of Limitations Ethics Act, Section 1108(m)

ree-Member Board Ethics Act, Section 1103(j)

Voting Conicts Ethics Act, Section 1103(j)

Wrongful Acts

Frivolous Complaint Ethics Act, Section 1108(l)

Retaliation Ethics Act, Section 1108(j)

TABLE OF CONTENTS

Introduction .................................. 1

Ethics Act ..................................... 2

Frequently Asked Questions

Powers and Duties

.......................... 30

Statement of Financial Interests .............. 31

Conicts of Interest ......................... 36

Ethics Act ................................. 38

Lobbying Disclosure Law .................... 40

Gaming Act ............................... 40

Medical Marijuana Act ...................... 41

Act 114 of 2016 ............................ 41

Key Word Index .............................. 41

PENNSYLVANIA

PUBLIC OFFICIAL

AND EMPLOYEE

ETHICS ACT

STATE ETHICS COMMISSION

Finance Building

613 North Street, Room 309

Harrisburg, PA 17120-0400

(717) 783-1610

Toll Free – 800-932-0936

Fax – 717-787-0806

http://www.ethics.pa.gov

email: ra-ethicswebm[email protected]v

Rev. 06/18