act-1998-0-93•Pennsylvania Act 1998-93 — PUBLIC OFFICERS (65 PA.C.S.) - AMEND
Pennsylvania Act 1998-93 — PUBLIC OFFICERS (65 PA.C.S.) - AMEND
act-1998-0-931998 Pa. Act 93Law
Act text part 1
PUBLIC OFFICERS (65 PA.C.S.) - AMEND
Act of Oct. 15, 1998, P.L. 729, No. 93 Cl. 65
Session of 1998
No. 1998-93
SB 254
AN ACT
Amending Title 65 (Public Officers) of the Pennsylvania
Consolidated Statutes, providing for public confidence in
government by consolidating and revising existing laws
relating to open meetings, ethical standards and financial
disclosure and lobbying regulation and disclosure; and
continuing the existence of the State Ethics Commission.
The General Assembly of the Commonwealth of Pennsylvania
hereby enacts as follows:
Section 1. Title 65 of the Pennsylvania Consolidated
Statutes is amended by adding a part to read:
PART II
ACCOUNTABILITY
Chapter
7. Open Meetings
11. Ethics Standards and Financial Disclosure
13. Lobby Regulation and Disclosure
CHAPTER 7
OPEN MEETINGS
Sec.
701. Short title of chapter.
702. Legislative findings and declaration.
703. Definitions.
704. Open meetings.
705. Recording of votes.
706. Minutes of meetings, public records and recording of
meetings.
707. Exceptions to open meetings.
708. Executive sessions.
709. Public notice.
710. Rules and regulations for conduct of meetings.
710.1. Public participation.
711. Use of equipment during meetings.
712. General Assembly meetings covered.
713. Business transacted at unauthorized meeting void.
714. Penalty.
714.1. Attorney fees.
715. Jurisdiction and venue of judicial proceedings.
716. Confidentiality.
§ 701. Short title of chapter.
This chapter shall be known and may be cited as the Sunshine
Act.
§ 702. Legislative findings and declaration.
(a) Findings.--The General Assembly finds that the right of
the public to be present at all meetings of agencies and to
witness the deliberation, policy formulation and decisionmaking
of agencies is vital to the enhancement and proper functioning
of the democratic process and that secrecy in public affairs
undermines the faith of the public in government and the
public's effectiveness in fulfilling its role in a democratic
society.
(b) Declarations.--The General Assembly hereby declares it
to be the public policy of this Commonwealth to insure the right
of its citizens to have notice of and the right to attend all
meetings of agencies at which any agency business is discussed
or acted upon as provided in this chapter.
§ 703. Definitions.
The following words and phrases when used in this chapter
shall have the meanings given to them in this section unless the
context clearly indicates otherwise:
"Administrative action." The execution of policies relating
to persons or things as previously authorized or required by
official action of the agency adopted at an open meeting of the
agency. The term does not, however, include the deliberation of
agency business.
"Agency." The body, and all committees thereof authorized by
the body to take official action or render advice on matters of
agency business, of all the following: the General Assembly, the
executive branch of the government of this Commonwealth,
including the Governor's Cabinet when meeting on official
policymaking business, any board, council, authority or
commission of the Commonwealth or of any political subdivision
of the Commonwealth or any State, municipal, township or school
authority, school board, school governing body, commission, the
boards of trustees of all State-aided colleges and universities,
the councils of trustees of all State-owned colleges and
universities, the boards of trustees of all State-related
universities and all community colleges or similar organizations
created by or pursuant to a statute which declares in substance
that the organization performs or has for its purpose the
performance of an essential governmental function and through
the joint action of its members exercises governmental authority
and takes official action. The term does not include a caucus or
a meeting of an ethics committee created under rules of the
Senate or House of Representatives.
"Agency business." The framing, preparation, making or
enactment of laws, policy or regulations, the creation of
liability by contract or otherwise or the adjudication of
rights, duties and responsibilities, but not including
administrative action.
"Caucus." A gathering of members of a political party or
coalition which is held for purposes of planning political
strategy and holding discussions designed to prepare the members
for taking official action in the General Assembly.
"Conference." Any training program or seminar, or any
session arranged by State or Federal agencies for local
agencies, organized and conducted for the sole purpose of
providing information to agency members on matters directly
related to their official responsibilities.
"Deliberation." The discussion of agency business held for
the purpose of making a decision.
"Emergency meeting." A meeting called for the purpose of
dealing with a real or potential emergency involving a clear and
present danger to life or property.
"Executive session." A meeting from which the public is
excluded, although the agency may admit those persons necessary
to carry out the purpose of the meeting.
"Litigation." Any pending, proposed or current action or
matter subject to appeal before a court of law or administrative
adjudicative body, the decision of which may be appealed to a
court of law.
"Meeting." Any prearranged gathering of an agency which is
attended or participated in by a quorum of the members of an
agency held for the purpose of deliberating agency business or
taking official action.
"Official action."
(1) Recommendations made by an agency pursuant to
statute, ordinance or executive order.
(2) The establishment of policy by an agency.
(3) The decisions on agency business made by an agency.
(4) The vote taken by any agency on any motion,
proposal, resolution, rule, regulation, ordinance, report or
order.
"Political subdivision." Any county, city, borough,
incorporated town, township, school district, intermediate unit,
vocational school district or county institution district.
"Public notice."
(1) For a meeting:
(i) Publication of notice of the place, date and
time of a meeting in a newspaper of general circulation,
as defined by 45 Pa.C.S. § 101 (relating to definitions),
which is published and circulated in the political
subdivision where the meeting will be held, or in a
newspaper of general circulation which has a bona fide
paid circulation in the political subdivision equal to or
greater than any newspaper published in the political
subdivision.
(ii) Posting a notice of the place, date and time of
a meeting prominently at the principal office of the
agency holding the meeting or at the public building in
which the meeting is to be held.
(iii) Giving notice to parties under section 709(c)
(relating to public notice).
(2) For a recessed or reconvened meeting:
(i) Posting a notice of the place, date and time of
the meeting prominently at the principal office of the
agency holding the meeting or at the public building in
which the meeting is to be held.
(ii) Giving notice to parties under section 709(c).
"Special meeting." A meeting scheduled by an agency after
the agency's regular schedule of meetings has been established.
§ 704. Open meetings.
Official action and deliberations by a quorum of the members
of an agency shall take place at a meeting open to the public
unless closed under section 707 (relating to exceptions to open
meetings), 708 (relating to executive sessions) or 712 (relating
to General Assembly meetings covered).
§ 705. Recording of votes.
In all meetings of agencies, the vote of each member who
actually votes on any resolution, rule, order, regulation,
ordinance or the setting of official policy must be publicly
cast and, in the case of roll call votes, recorded.
§ 706. Minutes of meetings, public records and recording of
meetings.
Written minutes shall be kept of all open meetings of
agencies. The minutes shall include:
(1) The date, time and place of the meeting.
(2) The names of members present.
(3) The substance of all official actions and a record
by individual member of the roll call votes taken.
(4) The names of all citizens who appeared officially
and the subject of their testimony.
§ 707. Exceptions to open meetings.
(a) Executive session.--An agency may hold an executive
session under section 708 (relating to executive sessions).
(b) Conference.--An agency is authorized to participate in a
conference which need not be open to the public. Deliberation of
agency business may not occur at a conference.
(c) Certain working sessions.--Boards of auditors may
conduct working sessions not open to the public for the purpose
of examining, analyzing, discussing and deliberating the various
accounts and records with respect to which such boards are
responsible, so long as official action of a board with respect
to such records and accounts is taken at a meeting open to the
public and subject to the provisions of this chapter.
§ 708. Executive sessions.
(a) Purpose.--An agency may hold an executive session for
one or more of the following reasons:
(1) To discuss any matter involving the employment,
appointment, termination of employment, terms and conditions
of employment, evaluation of performance, promotion or
disciplining of any specific prospective public officer or
employee or current public officer or employee employed or
appointed by the agency, or former public officer or
employee, provided, however, that the individual employees or
appointees whose rights could be adversely affected may
request, in writing, that the matter or matters be discussed
at an open meeting. The agency's decision to discuss such
matters in executive session shall not serve to adversely
affect the due process rights granted by law, including those
granted by Title 2 (relating to administrative law and
procedure). The provisions of this paragraph shall not apply
to any meeting involving the appointment or selection of any
person to fill a vacancy in any elected office.
(2) To hold information, strategy and negotiation
sessions related to the negotiation or arbitration of a
collective bargaining agreement or, in the absence of a
collective bargaining unit, related to labor relations and
arbitration.
(3) To consider the purchase or lease of real property
up to the time an option to purchase or lease the real
property is obtained or up to the time an agreement to
purchase or lease such property is obtained if the agreement
is obtained directly without an option.
(4) To consult with its attorney or other professional
advisor regarding information or strategy in connection with
litigation or with issues on which identifiable complaints
are expected to be filed.
(5) To review and discuss agency business which, if
conducted in public, would violate a lawful privilege or lead
to the disclosure of information or confidentiality protected
by law, including matters related to the initiation and
conduct of investigations of possible or certain violations
of the law and quasi-judicial deliberations.
(6) For duly constituted committees of a board or
council of trustees of a State-owned, State-aided or State-
related college or university or community college or of the
Board of Governors of the State System of Higher Education to
discuss matters of academic admission or standings.
(b) Procedure.--The executive session may be held during an
open meeting or at the conclusion of an open meeting or may be
announced for a future time. The reason for holding the
executive session must be announced at the open meeting
occurring immediately prior or subsequent to the executive
session. If the executive session is not announced for a future
specific time, members of the agency shall be notified 24 hours
in advance of the time of the convening of the meeting
specifying the date, time, location and purpose of the executive
session.
(c) Limitation.--Official action on discussions held
pursuant to subsection (a) shall be taken at an open meeting.
Nothing in this section or section 707 (relating to exceptions
to open meetings) shall be construed to require that any meeting
be closed to the public, nor shall any executive session be used
as a subterfuge to defeat the purposes of section 704 (relating
to open meetings).
§ 709. Public notice.
(a) Meetings.--An agency shall give public notice of its
first regular meeting of each calendar or fiscal year not less
than three days in advance of the meeting and shall give public
notice of the schedule of its remaining regular meetings. An
agency shall give public notice of each special meeting or each
rescheduled regular or special meeting at least 24 hours in
advance of the time of the convening of the meeting specified in
the notice. Public notice is not required in the case of an
emergency meeting or a conference. Professional licensing boards
within the Bureau of Professional and Occupational Affairs of
the Department of State of the Commonwealth shall include in the
public notice each matter involving a proposal to revoke,
suspend or restrict a license.
(b) Notice.--With respect to any provision of this chapter
that requires public notice to be given by a certain date, the
agency, to satisfy its legal obligation, must give the notice in
time to allow it to be published or circulated within the
political subdivision where the principal office of the agency
is located or the meeting will occur before the date of the
specified meeting.
(c) Copies.--In addition to the public notice required by
this section, the agency holding a meeting shall supply, upon
request, copies of the public notice thereof to any newspaper of
general circulation in the political subdivision in which the
meeting will be held, to any radio or television station which
regularly broadcasts into the political subdivision and to any
interested parties if the newspaper, station or party provides
the agency with a stamped, self-addressed envelope prior to the
meeting.
(d) Meetings of General Assembly in Capitol Complex.--
Notwithstanding any provision of this section to the contrary,
in case of sessions of the General Assembly, all meetings of
legislative committees held within the Capitol Complex where
bills are considered, including conference committees, all
legislative hearings held within the Capitol Complex where
testimony is taken and all meetings of legislative commissions
held within the Capitol Complex, the requirement for public
notice thereof shall be complied with if, not later than the
preceding day:
(1) The supervisor of the newsroom of the State Capitol
Building in Harrisburg is supplied for distribution to the
members of the Pennsylvania Legislative Correspondents
Association with a minimum of 30 copies of the notice of the
date, time and place of each session, meeting or hearing.
(2) There is a posting of the copy of the notice at
public places within the Main Capitol Building designated by
the Secretary of the Senate and the Chief Clerk of the House
of Representatives.
(e) Announcement.--Notwithstanding any provision of this
chapter to the contrary, committees may be called into session
in accordance with the provisions of the Rules of the Senate or
the House of Representatives and an announcement by the
presiding officer of the Senate or the House of Representatives.
The announcement shall be made in open session of the Senate or
the House of Representatives.
§ 710. Rules and regulations for conduct of meetings.
Nothing in this chapter shall prohibit the agency from
adopting by official action the rules and regulations necessary
for the conduct of its meetings and the maintenance of order.
The rules and regulations shall not be made to violate the
intent of this chapter.
§ 710.1. Public participation.
(a) General rule.--Except as provided in subsection (d), the
board or council of a political subdivision or of an authority
created by a political subdivision shall provide a reasonable
opportunity at each advertised regular meeting and advertised
special meeting for residents of the political subdivision or of
the authority created by a political subdivision or for
taxpayers of the political subdivision or of the authority
created by a political subdivision or for both to comment on
matters of concern, official action or deliberation which are or
may be before the board or council prior to taking official
action. The board or council has the option to accept all public
comment at the beginning of the meeting. If the board or council
determines that there is not sufficient time at a meeting for
residents of the political subdivision or of the authority
created by a political subdivision or for taxpayers of the
political subdivision or of the authority created by a political
subdivision or for both to comment, the board or council may
defer the comment period to the next regular meeting or to a
special meeting occurring in advance of the next regular
meeting.
(b) Limitation on judicial relief.--If a board or council of
a political subdivision or an authority created by a political
subdivision has complied with the provisions of subsection (a),
the judicial relief under section 713 (relating to business
transacted at unauthorized meeting void) shall not be available
on a specific action solely on the basis of lack of comment on
that action.
(c) Objection.--Any person has the right to raise an
objection at any time to a perceived violation of this chapter
at any meeting of a board or council of a political subdivision
or an authority created by a political subdivision.
(d) Exception.--The board or council of a political
subdivision or of an authority created by a political
subdivision which had, before January 1, 1993, established a
practice or policy of holding special meetings solely for the
purpose of public comment in advance of advertised regular
meetings shall be exempt from the provisions of subsection (a).
§ 711. Use of equipment during meetings.
(a) Recording devices.--Except as provided in subsection
(b), a person attending a meeting of an agency shall have the
right to use recording devices to record all the proceedings.
Nothing in this section shall prohibit the agency from adopting
and enforcing reasonable rules for their use under section 710
(relating to rules and regulations for conduct of meetings).
(b) Rules of the Senate and House of Representatives.--The
Senate and House of Representatives may adopt rules governing
the recording or broadcast of their sessions and meetings and
hearings of committees.
§ 712. General Assembly meetings covered.
Notwithstanding any other provision, for the purpose of this
chapter, meetings of the General Assembly which are covered are
as follows: all meetings of committees where bills are
considered, all hearings where testimony is taken and all
sessions of the Senate and the House of Representatives. Not
included in the intent of this chapter are caucuses or meetings
of any ethics committee created pursuant to the Rules of the
Senate or the House of Representatives.
§ 713. Business transacted at unauthorized meeting void.
A legal challenge under this chapter shall be filed within 30
days from the date of a meeting which is open, or within 30 days
from the discovery of any action that occurred at a meeting
which was not open at which this chapter was violated, provided
that, in the case of a meeting which was not open, no legal
challenge may be commenced more than one year from the date of
said meeting. The court may enjoin any challenged action until a
judicial determination of the legality of the meeting at which
the action was adopted is reached. Should the court determine
that the meeting did not meet the requirements of this chapter,
it may in its discretion find that any or all official action
taken at the meeting shall be invalid. Should the court
determine that the meeting met the requirements of this chapter,
all official action taken at the meeting shall be fully
effective.
§ 714. Penalty.
Any member of any agency who participates in a meeting with
the intent and purpose by that member of violating this chapter
commits a summary offense and shall, upon conviction, be
sentenced to pay a fine not exceeding $100 plus costs of
prosecution.
§ 714.1. Attorney fees.
If the court determines that an agency willfully or with
wanton disregard violated a provision of this chapter, in whole
or in part, the court shall award the prevailing party
reasonable attorney fees and costs of litigation or an
appropriate portion of the fees and costs. If the court finds
that the legal challenge was of a frivolous nature or was
brought with no substantial justification, the court shall award
the prevailing party reasonable attorney fees and costs of
litigation or an appropriate portion of the fees and costs.
§ 715. Jurisdiction and venue of judicial proceedings.
The Commonwealth Court shall have original jurisdiction of
actions involving State agencies and the courts of common pleas
shall have original jurisdiction of actions involving other
agencies to render declaratory judgments or to enforce this
chapter by injunction or other remedy deemed appropriate by the
court. The action may be brought by any person where the agency
whose act is complained of is located or where the act
complained of occurred.
§ 716. Confidentiality.
All acts and parts of acts are repealed insofar as they are
inconsistent with this chapter, excepting those statutes which
specifically provide for the confidentiality of information.
Those deliberations or official actions which, if conducted in
public, would violate a lawful privilege or lead to the
disclosure of information or confidentiality protected by law,
including matter related to the investigation of possible or
certain violations of the law and quasi-judicial deliberations,
shall not fall within the scope of this chapter.
CHAPTER 11
ETHICS STANDARDS AND FINANCIAL DISCLOSURE
Sec.
1101. Short title of chapter.
1101.1. Purpose.
1102. Definitions.
1103. Restricted activities.
1104. Statement of financial interests required to be filed.
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. Conflict of law.
1113. Severability.
§ 1101. Short title of chapter.
This chapter shall be known and may be cited as the Public
Official and Employee Ethics Act.
§ 1101.1. Purpose.
(a) Declarations.--The Legislature hereby declares that
public office is a public trust and that any effort to realize
personal financial gain through public office other than
compensation provided by law is a violation of that trust. In
order to strengthen the faith and confidence of the people of
this Commonwealth in their government, the Legislature further
declares that the people have a right to be assured that the
financial interests of holders of or nominees or candidates for
public office do not conflict with the public trust. Because
public confidence in government can best be sustained by
assuring the people of the impartiality and honesty of public
officials, this chapter shall be liberally construed to promote
complete financial disclosure as specified in this chapter.
Furthermore, it is recognized that clear guidelines are needed
in order to guide public officials and employees in their
actions. Thus, the General Assembly by this chapter intends to
define as clearly as possible those areas which represent
conflict with the public trust.
(b) Recognition.--It is recognized that many public
officials, including most local officials and members of the
General Assembly, are citizen-officials who bring to their
public office the knowledge and concerns of ordinary citizens
and taxpayers. They should not be discouraged from maintaining
their contacts with their community through their occupations
and professions. Thus, in order to foster maximum compliance
with its terms, this chapter shall be administered in a manner
that emphasizes guidance to public officials and public
employees regarding the ethical standards established by this
chapter.
(c) Legislative intent.--It is the intent of the General
Assembly that this chapter be administered by an independent
commission composed of members who are cognizant of the
responsibilities and burdens of public officials and employees
and who have demonstrated an interest in promoting public
confidence in government.
§ 1102. Definitions.
The 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:
"Advice." Any directive of the chief counsel of the State
Ethics Commission issued under section 1107(11) (relating to
powers and duties of commission) and based exclusively on prior
commission opinions, this chapter, regulations promulgated
pursuant to this chapter and court opinions which interpret this
chapter.
"Aggregate." The total of all gifts received from a single
source as provided in section 1105(b)(6) (relating to statement
of financial interests).
"Authority of office or employment." The actual power
provided by law, the exercise of which is necessary to the
performance of duties and responsibilities unique to a
particular public office or position of public employment.
"Business." Any corporation, partnership, sole
proprietorship, firm, enterprise, franchise, association,
organization, self-employed individual, holding company, joint
stock company, receivership, trust or any legal entity organized
for profit.
"Business with which he is associated." Any business in
which the person or a member of the person's immediate family is
a director, officer, owner, employee or has a financial
interest.
"Candidate." Any individual who seeks nomination or election
to public office by vote of the electorate, other than a judge
of elections, inspector of elections or official of a political
party, whether or not such individual is nominated or elected.
An individual shall be deemed to be seeking nomination or
election to such office if he has:
(1) received a contribution or made an expenditure or
given his consent for any other person or committee to
receive a contribution or make an expenditure for the purpose
of influencing his nomination or election to such office,
whether or not the individual has announced the specific
office for which he will seek nomination or election at the
time the contribution is received or the expenditure is made;
or
(2) taken the action necessary under the laws of this
Commonwealth to qualify himself for nomination or election to
such office.
The term shall include individuals nominated or elected as
write-in candidates unless they resign such nomination or
elected office within 30 days of having been nominated or
elected.
"Commission." The State Ethics Commission.
"Confidential information." Information not obtainable from
reviewing a public document or from making inquiry to a publicly
available source of information.
"Conflict" or "conflict of interest." Use by a public
official or public employee of the authority of his office or
employment or any confidential information received through his
holding public office or employment for the private pecuniary
benefit of himself, a member of his immediate family or a
business with which he or a member of his immediate family is
associated. The term does not include an action having a de
minimis economic impact or which affects to the same degree a
class consisting of the general public or a subclass consisting
of an industry, occupation or other group which includes the
public official or public employee, a member of his immediate
family or a business with which he or a member of his immediate
family is associated.
"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. The term
shall not mean an agreement or arrangement between the State or
political subdivision as one party and a public official or
public employee as the other party, concerning his expense,
reimbursement, salary, wage, retirement or other benefit, tenure
or other matters in consideration of his current public
employment with the Commonwealth or a political subdivision.
"De minimis economic impact." An economic consequence which
has an insignificant effect.
"Executive-level State employee." The Governor, Lieutenant
Governor, cabinet members, deputy secretaries, the Governor's
office staff, any State employee with discretionary powers which
may affect 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 influence the outcome of such a
decision.
"Financial interest." Any financial interest in a legal
entity engaged in business for profit 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 findings 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 filed in a grossly
negligent manner without basis in law or fact.
"Gift." Anything which is received without consideration of
equal or greater value. The term shall not include a political
contribution otherwise reported as required by law or a
commercially reasonable loan made in the ordinary course of
business.
"Governmental body." Any department, authority, commission,
committee, council, board, bureau, division, service, office,
officer, administration, legislative body or other establishment
in the executive, legislative or judicial branch of a state, a
nation or a political subdivision thereof or any agency
performing a governmental function.
"Governmental body with which a public official or public
employee is or has been associated." The governmental body
within State government or a political subdivision by which the
public official or employee is or has been employed or to which
the public official or employee is or has been appointed or
elected and subdivisions and offices within that governmental
body.
"Honorarium." Payment made in recognition of published
works, appearances, speeches and presentations and which is not
intended as consideration for the value of such services which
are nonpublic occupational or professional in nature. The term
does not include tokens presented or provided which are of de
minimis economic impact.
"Immediate family." A parent, spouse, child, brother or
sister.
"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, allowance, forbearance, forgiveness,
interest, dividend, royalty, rent, capital gain, reward,
severance payment, proceeds from the sale of a financial
interest in a corporation, professional corporation, partnership
or other entity resulting from termination or withdrawal
therefrom upon assumption of public office or employment or any
other form of recompense or any combination thereof. The term
refers to gross income and includes prize winnings and tax-
exempt income. The term does not include gifts, governmentally
mandated payments or benefits, retirement, pension or annuity
payments funded totally by contributions of the public official
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 performs 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 desirability of the action being taken.
"Nominee." Any person whose name has been submitted to a
public official or governmental body vested with the power to
finally confirm or reject proposed appointments to public office
or employment.
"Nonministerial actions." An action in which the person
exercises his own judgment as to the desirability of the action
taken.
"Opinion." A directive of the State Ethics Commission issued
pursuant to section 1107(10) (relating to powers and duties of
commission) setting forth a public official's or public
employee's duties under this chapter.
"Order." A directive of the State Ethics Commission issued
pursuant to section 1107(13) (relating to powers and duties of
commission) at the conclusion of an investigation which contains
findings of fact, conclusions of law and penalties.
"Person." A business, governmental body, individual,
corporation, union, association, firm, partnership, committee,
club or other organization or group of persons.
"Political contribution." Any advance, conveyance, deposit,
distribution, transfer of funds, loan, payment, pledge, purchase
of a ticket to a testimonial or similar fund-raising affair, 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, vocational 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 responsible for
taking or recommending official 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 official action has an
economic impact of greater than a de minimis nature on the
interests of any person.
The term shall not include individuals who are employed by this
Commonwealth or any political subdivision thereof in teaching as
distinguished from administrative duties.
"Public official." Any person elected by the public or
elected or appointed by a governmental body or an appointed
official in the executive, legislative or judicial branch of
this Commonwealth or any political subdivision thereof, provided
that it shall not include members of advisory boards that have
no authority to expend public funds other than reimbursement for
personal expense or to otherwise exercise the power of the State
or any political subdivision thereof.
"Represent." To act on behalf of any other person in any
activity which includes, but is not limited to, the following:
personal appearances, negotiations, lobbying and submitting bid
or contract proposals which are signed by or contain the name of
a former public official or public employee.
"Solicitor." A person elected or appointed to the office 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, scientific, technical or
advisory service for an agency of this Commonwealth, 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) Conflict of interest.--No public official or public
employee shall engage in conduct that constitutes a conflict of
interest.
(b) Seeking improper influence.--No person shall offer or
give to a public official, public employee or nominee or
candidate for public office or a member of his immediate family
or a business with which he is associated, anything of monetary
value, including a gift, loan, political contribution, reward or
promise of future employment based on the offeror's or donor's
understanding that the vote, official action or judgment of the
public official or public employee or nominee or candidate for
public office would be influenced thereby.
(c) Accepting improper influence.--No public official,
public employee or nominee or candidate for public office shall
solicit or accept anything of monetary value, including a gift,
loan, political contribution, reward or promise of future
employment, based on any understanding of that public official,
public employee or nominee that the vote, official action or
judgment of the public official or public employee or nominee or
candidate for public office would be influenced thereby.
(d) Honorarium.--No public official or public employee shall
accept an honorarium.
(e) Contingent and severance payments.--
(1) No person shall solicit or accept a severance
payment or anything of monetary value contingent upon the
assumption or acceptance of public office or employment.
(2) This subsection shall not prohibit:
(i) Payments received pursuant to an employment
agreement in existence prior to the time a person becomes
a candidate or is notified by a member of a transition
team, a search committee or a person with appointive
power that he is under consideration for public office or
makes application for public employment.
(ii) Receipt of a salary, fees, severance payment or
proceeds resulting from the sale of a person's interest
in a corporation, professional corporation, partnership
or other entity resulting from termination or withdrawal
therefrom upon the assumption or acceptance of public
office or employment.
(3) Payments made or received pursuant to paragraph
(2)(i) and (ii) shall not be based on the agreement, written
or otherwise, that the vote or official action of the
prospective public official or employee would be influenced
thereby.
(f) Contract.--No public official or public employee or his
spouse or child or any business in which the person or his
spouse or child is associated shall enter into any contract
valued at $500 or more with the governmental body with which the
public official or public employee is associated or any
subcontract valued at $500 or more with any person who has been
awarded a contract with the governmental body with which the
public official or public employee is associated, unless the
contract has been awarded through an open and public process,
including prior public notice and subsequent public disclosure
of all proposals considered and contracts awarded. In such a
case, the public official or public employee shall not have any
supervisory or overall responsibility for the implementation or
administration of the contract. Any contract or subcontract made
in violation of this subsection shall be voidable by a court of
competent jurisdiction if the suit is commenced within 90 days
of the making of the contract or subcontract.
(g) Former official or employee.--No former public official
or public employee shall represent a person, with promised or
actual compensation, on any matter before the governmental body
with which he has been associated for one year after he leaves
that body.
(h) Misuse of statement of financial interest.--No person
shall use for any commercial purpose information copied from
statements of financial 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 employment with this Commonwealth be employed
by, receive compensation from, assist or act in a representative
capacity for a business or corporation that he actively
participated in recruiting to this Commonwealth or that he
actively participated 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
invoked 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 conflict.--Where voting conflicts are not
otherwise addressed by the Constitution of Pennsylvania or by
any law, rule, regulation, order or ordinance, the following
procedure shall be employed. Any public official or public
employee who in the discharge of his official duties would be
required to vote on a matter that would result in a conflict of
interest shall abstain from voting and, prior to the vote being
taken, publicly announce and disclose the nature of his interest
as a public record in a written memorandum filed with the person
responsible for recording the minutes of the meeting at which
the vote is taken, provided that whenever a governing body would
be unable to take any action on a matter before it because the
number of members of the body required to abstain from voting
under the provisions of this section makes the majority or other
legally required vote of approval unattainable, then such
members shall be permitted to vote if disclosures are made as
otherwise provided herein. In the case of a three-member
governing body of a political subdivision, where one member has
abstained from voting as a result of a conflict of interest and
the remaining two members of the governing body have cast
opposing votes, the member who has abstained shall be permitted
to vote to break the tie vote if disclosure is made as otherwise
provided herein.
§ 1104. Statement of financial interests required to be filed.
(a) Public official or public employee.--Each public
official of the Commonwealth shall file a statement 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 after he leaves such a position. Each public
employee and public official of the Commonwealth shall file a
statement of financial 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
after he leaves such a position. Any other public employee or
public official shall file a statement of financial interests
with the governing authority of the political subdivision by
which he is employed or within which he is appointed or elected
no later than May 1 of each year that he holds such a position
and of the year after he leaves such a position. Persons who are
full-time or part-time solicitors for political subdivisions are
required to file under this section.
(b) Candidate.--
(1) Any candidate for a State-level public office shall
file a statement of financial interests for the preceding
calendar year with the commission on or before the last day
for filing a petition to appear on the ballot for election. A
copy of the statement of financial interests shall also be
appended to such petition.
(2) Any candidate for county-level or local office shall
file a statement of financial interests for the preceding
calendar year with the governing authority of the political
subdivision in which he is a candidate on or before the last
day for filing a petition to appear on the ballot for
election. A copy of the statement of financial interests
shall also be appended to such petition.
(3) No petition to appear on the ballot for election
shall be accepted by the respective State or local election
officials unless the petition has appended thereto a
statement of financial interests as set forth in paragraphs
(1) and (2). Failure to file the statement in accordance with
the provisions of this chapter shall, in addition to any
other penalties provided, be a fatal defect to a petition to
appear on the ballot.
(c) Nominee.--Each State-level nominee for public office
shall file a statement of financial interests for the preceding
calendar year with the commission and with the official or body
that is vested with the power of confirmation at least ten days
before the official or body shall approve or reject the
nomination. Each nominee for a county-level or local office
shall file a statement of financial interests for the preceding
calendar year with the governing authority of the political
subdivision in which he or she is a nominee and, if different,
with the official or body that is vested with the power of
confirmation at least ten days before the official or body shall
approve or reject the nomination.
(d) Failure to file required statement.--No public official
shall be allowed to take the oath of office or enter or continue
upon his duties, nor shall he receive compensation from public
funds, unless he has filed a statement of financial interests as
required by this chapter.
(e) Public inspection and copying.--All statements of
financial interests filed pursuant to the provisions of this
chapter shall be made available for public inspection and
copying during regular office hours, and copying facilities
shall be made available at a charge not to exceed actual cost.
§ 1105. Statement of financial interests.
(a) Form.--The statement of financial interests filed
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 file and shall be signed under oath or
equivalent affirmation.
(b) Required information.--The statement shall include the
following information for the prior calendar year with regard to
the person required to file 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 Commonwealth, any of its
agencies or political subdivisions, or purchased or leased
from the Commonwealth, any of its agencies or political
subdivisions, or which was the subject of any condemnation
proceedings by the Commonwealth, any of its agencies or
political subdivisions.
(4) The name and address of each creditor to whom is
owed in excess of $6,500 and the interest rate thereon.
However, loans or credit extended between members of the
immediate family and mortgages securing real property which
is the principal or secondary residence of the person filing
shall not be included.
(5) The 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 confidential information protected by statute
or existing professional codes of ethics or common law
privileges.
(6) The name and address of the source and the amount of
any gift or gifts valued in the aggregate at $250 or more and
the circumstances of each gift. This paragraph shall not
apply to a gift or gifts 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) The name and address of the source and the amount of
any payment for or reimbursement of actual expenses for
transportation and lodging or hospitality received in
connection with public office or employment where such actual
expenses for transportation and lodging or hospitality exceed
$650 in the course of a single occurrence. This paragraph
shall not apply to expenses reimbursed by a governmental body
or to expenses reimbursed by an organization or association
of public officials or employees of political subdivisions
which the public official or employee serves in an official
capacity.
(8) Any office, directorship or employment of any nature
whatsoever in any business entity.
(9) Any financial interest in any legal entity engaged
in business for profit.
(10) The identity of any financial 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 immediate
family.
(c) Reporting amounts.--Except where an amount is required
to be reported pursuant to subsection (b)(6) and (7), the
statement of financial interests need not include specific
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. The
commission shall publish any such adjusted threshold amounts in
the Pennsylvania Bulletin.
§ 1106. State Ethics Commission.
(a) Continuation of commission.--The State Ethics Commission
established under the act of October 4, 1978 (P.L.883, No.170),
referred to as the Public Official and Employee Ethics Law, is
continued and shall be composed of seven members. The 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. Three members shall be appointed
by the Governor without confirmation. 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 officer 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 successors are appointed and qualified.
(c) Maximum number of terms.--No member shall be appointed
to more than two full three-year terms on the commission.
(d) Prohibited activities.--No individual while a member or
employee of the commission shall:
(1) hold or campaign for any other public office;
(2) hold office in any political party or political
committee;
(3) actively participate in or contribute to any
political campaign;
(4) directly or indirectly attempt to influence 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 fill a vacancy occurring other
than by the expiration of a term of office shall be appointed
for the unexpired term of the member he succeeds and is eligible
for appointment to two full three-year terms thereafter. Any
vacancy occurring on the commission shall be filled within 30
days in the manner in which that position was originally filled.
(f) Election of chairman and vice chairman.--The commission
shall elect a chairman and a vice chairman. The vice chairman
shall act as chairman 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. The chairman or any four members of the
commission may call a meeting provided that advance written
notice is mailed to each member and to any person 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) Staff.--The commission shall employ an executive
director, a chief counsel and such other staff as are necessary
to carry out its duties pursuant to this chapter. The 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. The chief counsel shall be the chief legal
officer of the commission. The commission may obtain the
services of experts and consultants as necessary to carry out
its duties pursuant to this chapter. The 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.--The 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
officials 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 filed by this chapter and furnish such forms to persons
required to file such statements and reports.
(3) Prepare and publish guidelines setting forth
recommended uniform methods of accounting and reporting for
use by persons required to file statements and reports by
this chapter.
(4) Accept and file any information voluntarily supplied
that exceeds the requirements of this chapter.
(5) Inspect statements of financial interests which have
been filed in order to ascertain whether any reporting person
has failed to file such a statement or has filed a deficient
statement. If, upon inspection, it is determined that a
reporting person has failed to file a statement of financial
interests or that any statement which has been filed 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 deficiency and the penalties for failure to file
or for filing a deficient statement of financial interests.
(6) Provide that statements and reports filed with the
commission be made available for public inspection and
copying during regular office 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 filed with the commission to facilitate public
access to such reports and statements and instruct other
State and local agencies which receive and file financial
interest statements in the maintenance of systems which
facilitate public access to such statements.
(8) Prepare and publish annual summaries of statements
and reports filed with the commission.
(9) Preserve statements and reports filed with the
commission for a period of five years from date of receipt
and advise other State and local agencies which receive and
store financial interest statements to preserve such
statements for a period of five 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. The 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. The commission's opinions shall be public records
and may from time to time be published. The person requesting
the opinion may, however, require that the opinion shall
contain such deletions and changes as shall be necessary 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 truthfully all the material facts and
committed the acts complained of either in reliance on the
advice or because of the failure of the commission to provide
advice within 21 days of the request or such later extended
time. The person requesting the advice may, however, require
that the advice shall contain such deletions 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 commission), where a complaint
has not been filed but where there is a reasonable belief
that a conflict may exist.
(13) Issue findings, reports and orders relating to
investigations initiated pursuant to section 1108, which set
forth the alleged violation, findings of fact and conclusions
of law. An order may include recommendations to law
enforcement officials. Any order resulting from a finding
that a public official or public employee has obtained a
financial gain in violation of this chapter may require the
restitution plus interest of that gain to the appropriate
governmental body. The commission or the Office of Attorney
General shall have standing to apply to the Commonwealth
Court to seek enforcement of an order requiring such
restitution. This restitution requirement shall be in
addition to any other penalties provided for in this chapter.
(14) Hold hearings, take testimony, issue subpoenas and
compel the attendance of witnesses.
(15) Make recommendations to law enforcement officials
either for criminal prosecution or dismissal of charges
arising out of violations of this chapter.
(16) Prepare and publish special reports, educational
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 Association 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 Harrisburg and at least
one shall be held in a location other than Harrisburg, to
seek input from persons and organizations who represent 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.
The commission shall keep information, records and proceedings
relating to a preliminary inquiry confidential. The commission
shall, however, have the authority to refer the case to law
enforcement officials during a preliminary inquiry or anytime
thereafter without providing notice to the subject of the
inquiry. The 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 commission determines that a
complaint is frivolous, it shall so state.
(c) Initiation of investigation.--If a preliminary inquiry
establishes reason to believe that this chapter has been
violated, the commission may, through its executive director,
initiate an investigation to determine if there has been a
violation. The commission shall keep information, records and
proceedings relating to an investigation confidential until a
final 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 notified
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 certified or registered mail. The
commission shall notify the complainant within 72 hours of the
commencement of an investigation, and, thereafter, 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. The commission shall, within 180 days of the
initiation of an investigation, either terminate the
investigation pursuant to subsection (d) or issue a findings
report pursuant to subsection (e). Upon a showing by the
executive director of the need for extension 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
findings report be issued later than 360 days after initiation
of an investigation.
(d) Termination of investigation.--If an investigation
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.--The commission, upon the completion of
an investigation, shall issue a findings report to the subject
of the investigation setting forth the pertinent findings of
fact. The subject shall have the right to respond to said
findings and to request an evidentiary hearing on said matter.
The 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 findings report must either admit or deny by corresponding
number and letter the pertinent facts set forth. The subject of
the investigation 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 specifically denied in the response
shall be deemed admitted. The response must be filed within 30
days of the issuance of the findings report unless the time
period is extended by the commission for good cause shown.
Hearings conducted upon request shall be instituted within 45
days after the filing 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 findings report, the commission shall issue an
order which shall be final. Upon receipt of a final order, the
subject shall have the right to file a petition for
reconsideration in accordance with the regulations 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 hearing. Any person who appears before the
commission shall have all of the due process rights, privileges
and responsibilities of a party or witness 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
meeting must find a violation by clear and convincing proof. The
names of the members finding a violation and the names of those
dissenting and abstaining shall be listed in the order. The
determination of the commission, in the form of a final order
and findings of fact, shall be a matter of public record.
(h) Availability of final orders, files and records.--Orders
which become final in accordance with the provisions of this
section shall be available as public documents, but the files
and records of the commission relating to the case shall remain
confidential.
(i) Appeal.--Any person aggrieved by an opinion or order
which becomes final 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 official or public
employee shall discharge any official or employee or change his
official rank, grade or compensation or deny him a promotion or
threaten to do so for filing a complaint with or providing
information to the commission or testifying in any commission
proceeding. No member of the commission and no employee of the
commission shall discharge any employee of the commission or
change his official 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 staff member or
testifying in any legislative proceeding.
(k) Confidentiality.--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 confidential in accordance with this
subsection when the matters pertain to any of the following:
(1) final 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) filing an appeal from a commission order;
(5) communicating with the commission or its staff, in
the course of a preliminary inquiry, investigation, hearing
or petition for reconsideration by the commission;
(6) consulting with a law enforcement official or agency
for the purpose of initiating, participating in or responding
to an investigation or prosecution by the law enforcement
official 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 reconsideration 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 official or public employee has reason to believe the
complaint is frivolous as defined 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 official or public employee has been filed with the
commission, the public official or public employee shall notify
the commission and the commission, through its executive
director, shall conduct an investigation.
(m) Limitation of time.--The commission may conduct an
investigation within five years after 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 (c)
(relating to restricted activities) commits a felony and shall,
upon conviction, be sentenced to pay a fine of not more than
$10,000 or to imprisonment for not more than five years, or
both.
(b) Financial interests statement violation.--Any person who
violates the provisions of section 1103(d) through (j), 1104
(relating to statement of financial interests required to be
filed) or 1105(a) (relating to statement of financial interests)
commits a misdemeanor and shall, upon conviction, be sentenced
to pay a fine of not more than $1,000 or to imprisonment for not
more than one year, or both.
(c) Treble damages.--Any person who obtains financial 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 financial gain resulting from such
violation into the State Treasury or the treasury of the
political subdivision. Treble damages shall not be assessed
against a person who acted in good faith reliance on the advice
of legal counsel.
(d) Impeachment and disciplinary action.--The 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 official and do not limit the power of agencies
or commissions to discipline officials or employees.
(e) Other violations of chapter.--Any person who violates
the confidentiality 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
fine 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 conviction, be sentenced to pay a fine of not more than
$1,000 or to imprisonment for not more than one year, or both.
Any person who willfully affirms 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 fine of not more than $5,000 or to
imprisonment for not more than five years, or both.
(f) Civil penalty.--In addition to any other civil remedy or
criminal penalty provided for in this chapter, the commission
may, after 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 file a statement of
financial interests in a timely manner or who files a deficient
statement of financial interests, at a rate of not more than $25
for each day such statement remains delinquent or deficient. The
maximum penalty payable under this paragraph is $250.
(g) Reliance on solicitor's opinion.--A public official of a
political subdivision who acts in good faith reliance on a
written, nonconfidential opinion of the solicitor of the
political subdivision or upon an opinion of the solicitor of the
political subdivision, publicly stated at an open meeting of the
political subdivision and recorded in the official 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 alleging a
violation of this chapter against another is subject to
liability for wrongful use of this chapter if:
(1) the complaint was frivolous, as defined by this
chapter, or without probable cause and made primarily for a
purpose other than that of reporting a violation of this
chapter; or
(2) he publicly disclosed or caused to be disclosed that
a complaint against a person had been filed 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 effect in reliance upon the advice
of counsel, sought in good faith and given after full
disclosure of all relevant facts within his knowledge and
information.
(c) Commission procedures.--When the commission 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. The subject shall have the right to appeal the
commission's determination, and the commission shall schedule an
appeal hearing. The 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 present 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
plaintiff is entitled to recover for the following:
(1) The harm to his reputation by a defamatory matter
alleged as the basis of the proceeding.
(2) The expenses, including any reasonable attorney
fees, that he has reasonably incurred in proceedings before
the commission.
(3) Any specific 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. Conflict of law.
Except as otherwise provided in Chapter 13 (relating to lobby
regulation and disclosure), if the provisions of this chapter
conflict 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
affected thereby.
CHAPTER 13
LOBBY REGULATION AND DISCLOSURE
Sec.
1301. Short title of chapter.
1302. Statement of intent and jurisdiction.
1303. Definitions.
1304. Registration.
1305. Reporting.
1306. Exemption from registration and reporting.
1307. Prohibited activities.
1308. Administration and enforcement.
1309. Penalties.
1310. Filing fees; fund established; regulations.
1311. Severability.
§ 1301. Short title of chapter.
This chapter shall be known and may be cited as the Lobbying
Disclosure Act.
§ 1302. Statement of intent and jurisdiction.
(a) Intent.--The Constitution of Pennsylvania recognizes the
principle that all free government is founded upon the authority
of the people. It further provides that the power to make law in
this Commonwealth is vested in the General Assembly and the
power to enforce law is vested in the Executive Department. The
ability of the people to exercise their fundamental authority
and to have confidence in the integrity of the process by which
laws are made and enforced in this Commonwealth demands that the
identity and the scope of activity of those employed to
influence the actions of the General Assembly and the Executive
Department be publicly and regularly disclosed.
(b) Jurisdiction.--The authority to regulate persons
employed to influence the actions of the General Assembly and
the Executive Department lies within the jurisdiction of those
branches of government. To insure that the intent of this
chapter is not evaded and that all such persons are regulated in
a fair and equitable manner, lobbyists and the practice of
lobbying shall be subject to this chapter, which shall prevail
over any other regulation of professional activity when that
activity constitutes lobbying. This chapter is not intended to
govern professional activities which do not include lobbying and
which are properly the subject of regulation by the judicial
branch of government or by any government agency. Membership in
a regulated profession shall not excuse a lobbyist from
compliance with the provisions of this chapter.
§ 1303. Definitions.
The following words and phrases when used in this chapter
shall have the meanings given to them in this section unless the
context clearly indicates otherwise:
"Administrative action." Any of the following:
(1) An agency's:
(i) proposal, consideration, promulgation or
rescission of a regulation;
(ii) development or modification of a guideline or a
statement of policy; or
(iii) approval or rejection of a regulation.
(2) The review, revision, approval or disapproval of a
regulation under the act of June 25, 1982 (P.L.633, No.181),
known as the Regulatory Review Act.
(3) The Governor's approval or veto of legislation.
(4) The nomination or appointment of an individual as an
officer or employee of the Commonwealth.
(5) The proposal, consideration, promulgation or
rescission of an executive order.
"Affiliated political action committee." A political action
committee as defined in section 1621(l) of the act of June 3,
1937 (P.L.1333, No.320), known as the Pennsylvania Election
Code, which has a chairman, a treasurer or another officer who
is a principal, an employee of a principal, a lobbyist or an
employee of a lobbyist, provided, if an employee of a registrant
serves as the officer of a political action committee in what is
clearly a personal capacity and the goals and mission of that
political action committee clearly have no relationship to the
goals and mission of the registrant, such political action
committee shall not be considered an affiliated political action
committee for the purposes of this definition.
"Agency." A State agency, board, commission, authority or
department.
"Commission." The State Ethics Commission.
"Compensation." Anything of value, including benefits,
received or to be received from a principal by one acting as a
lobbyist.
"Direct communication." An effort, whether written, oral or
by any other medium, made by a lobbyist or principal, directed
to a State official or employee, the purpose or foreseeable
effect of which is to influence legislative action or
administrative action.
"Economic consideration." Anything of value offered or
received.
"Fund." The Lobbying Disclosure Fund established in section
1310(b) (relating to filing fees; fund established;
regulations).
"Gift." As defined in section 1102 (relating to
definitions).
"Immediate family." An individual's spouse and individual's
child and an individual's parent, brother, sister or like
relative-in-law.
"Indirect communication." An effort, whether written, oral
or by any other medium, to encourage others, including the
general public, to take action, the purpose or foreseeable
effect of which is to directly influence legislative action or
administrative action. The term includes letter-writing
campaigns, mailings, telephone banks, print and electronic media
advertising, billboards, publications and educational campaigns
on public issues. The term does not include regularly published
periodic newsletters primarily designed for and distributed to
members of a bona fide association or charitable or fraternal
nonprofit corporation.
"Legislation." Bills, resolutions, amendments and
nominations pending or proposed in either the Senate or the
House of Representatives. The term includes any other matter
which may become the subject of action by either chamber of the
General Assembly.
"Legislative action." An action taken by a State official or
employee involving the preparation, research, drafting,
introduction, consideration, modification, amendment, approval,
passage, enactment, tabling, postponement, defeat or rejection
of legislation; legislative motions; overriding or sustaining a
veto by the Governor; or confirmation of appointments by the
Governor or of appointments to public boards or commissions by a
member of the General Assembly.
"Lobbying." An effort to influence legislative action or
administrative action. The term includes:
(1) providing any gift, entertainment, meal,
transportation or lodging to a State official or employee for
the purpose of advancing the interest of the lobbyist or
principal; and
(2) direct or indirect communication.
"Lobbyist." Any individual, firm, association, corporation,
partnership, business trust or business entity that engages in
lobbying on behalf of a principal for economic consideration.
The term includes an attorney who engages in lobbying.
"Principal." Any individual, firm, association, corporation,
partnership, business trust or business entity:
(1) on whose behalf a lobbyist influences or attempts to
influence an administrative action or a legislative action;
or
(2) that engages in lobbying on the principal's own
behalf.
"Registrant." A registered lobbyist or a registered
principal.
"Regulation." Any rule, regulation or order in the nature of
a rule or regulation, including formal and informal opinions of
the Attorney General, of general application and future effect,
promulgated by an agency under statutory authority in the
administration of a statute administered by or relating to the
agency, or prescribing the practice or procedure before the
agency.
"State official or employee." An individual elected or
appointed to a position in State government or employed by State
government, whether compensated or uncompensated, who is
involved in legislative action or administrative action.
§ 1304. Registration.
(a) General rule.--Unless excluded under section 1306
(relating to exemption from registration and reporting), a
lobbyist or a principal must register with the commission within
ten days of acting in any capacity as a lobbyist or principal.
Registration shall be biennial and be coincident with the terms
of the members of the House of Representatives.
(b) Principals.--
(1) A principal required to register shall file the
following information with the commission:
(i) Name.
(ii) Permanent address.
(iii) Daytime telephone number.
(iv) Name and nature of business.
(v) Name, registration number and acronyms of
affiliated political action committees.
(vi) Name and permanent business address of each
individual who will for economic consideration engage in
lobbying on the principal's behalf.
(2) If an organization or association is a principal,
the number of dues-paying members in the past calendar year
shall also be disclosed.
(c) Lobbyist.--
(1) A lobbyist who is required to register shall file
the following information with the commission:
(i) Name.
(ii) Permanent business address.
(iii) Daytime telephone number.
(iv) A recent picture of the lobbyist.
(v) Name, permanent business address and daytime
telephone number of the principal the lobbyist
represents.
(vi) Name, registration number and acronyms of
affiliated political action committees.
(2) Each lobbyist shall file a separate registration
statement for each principal he or she represents.
(d) Amendments.--
(1) When there is a change of information required for
the registration statement under subsection (b)(1) or (c), an
amended statement shall be filed with the commission within
14 days after the change occurs.
(2) When there is a change in information required for
the registration statement under subsection (b)(2), an
amended statement shall be filed with the commission within
14 days of the end of the year in which the change occurs.
(e) Termination.--A lobbyist or a principal may terminate
registration by filing notice with the commission. Within 30
days of filing the notice, the lobbyist or principal shall file
a termination report, which shall include all information
required by section 1305 (relating to reporting) through the
final day of lobbying activity. After a reasonable review of the
termination report but not later than 90 days after receipt of
the notice, the commission shall issue to the lobbyist or
principal a letter stating that the registrant has terminated
registration. The filing of notice or a termination report shall
not affect the commission's authority to conduct investigations
and hearings pursuant to section 1308(h) (relating to
administration and enforcement). No lobbying may occur after the
filing of notice unless the lobbying is pursuant to a separate
registration statement which is filed with the commission and
which, at the time of the lobbying, has not been terminated.
§ 1305. Reporting.
(a) General rule.--A lobbyist as required by subsection
(b)(6) or a registered principal shall, under oath or
affirmation, file quarterly expense reports with the commission.
(b) Content.--
(1) Reports must list the names of all lobbyists by whom
the lobbying is conducted and the general subject matter or
issue being lobbied.
(2) Expense reports must contain the following
categories:
(i) A single aggregate good faith estimate of the
total amount spent for personnel and office expenses
related to lobbying. This subparagraph includes salaries
and other forms of compensation, benefits, vehicle
allowances, bonuses and reimbursable expenses for those
involved in lobbying. If compensation is to be reported
by or for an individual or entity whose lobbying is
incidental to regular employment, it shall be sufficient
to report a good faith prorated estimate based on the
value of the time devoted to lobbying. Reportable
personnel costs include costs for lobbying staff,
research and monitoring staff, consultants, lawyers,
lobbyists, publications and public relations staff,
technical staff and clerical and administrative support
staff who engage in lobbying but are exempt from
reporting under section 1306(6) (relating to exemption
from registration and reporting). This subparagraph
includes costs for offices, equipment and supplies
utilized for lobbying.
(ii) A single aggregate good faith estimate of the
total amount spent for direct communication.
(iii) The total costs for gifts, entertainment,
meals, transportation, lodging and receptions, given to
or provided to State officials or employees or their
immediate families.
(iv) A single aggregate good faith estimate of the
total amount spent for indirect communication.
(3) In addition to reporting the totals required under
this subsection, the expense report must identify, by name,
position and each occurrence, a State official or employee
who receives from a principal or lobbyist anything of value
Act text part 2
which must be included in the statement under section
1105(b)(6) or (7) (relating to statement of financial
interests) as implemented by section 1105(d).
(i) For purposes of this chapter, the amount
referred to in section 1105(b)(7) shall be considered an
aggregate amount per year.
(ii) Written notice must be given to each public
official or employee of inclusion in the expense report
within seven days of the report's submission to the
commission. Notice under this subparagraph shall include
the information which will enable the public official or
employee to comply with section 1105(b)(6) and (7). For
purposes of this chapter and Chapter 11 (relating to
ethics standards and financial disclosure), section
1105(b)(6) and (7) shall constitute mutually exclusive
categories.
(iii) Regulations shall be promulgated under section
1310(c) (relating to filing fees; fund established;
regulations) to define mutually exclusive categories
under section 1105(b)(6) and (7) and to determine whether
a thing of value is subject to disclosure under section
1105(b)(6) or (7).
(4) A lobbyist must sign the reports submitted by each
principal represented to attest to the validity and accuracy
to the best of the lobbyist's knowledge. A lobbyist may
attach a statement to the report of any principal, describing
the limits of the lobbyist's knowledge concerning the
expenditures contained in the report.
(5) The expense report shall also include the name,
permanent business address and daytime telephone number of
any individual, firm, association, corporation, partnership,
business trust or business entity which contributed more than
10% of the total resources received by the principal during
the reporting period.
(6) A lobbyist shall submit a separate report if, during
the reporting period, the lobbyist engaged in lobbying which
was not contained in the reports filed by the principal or
principals represented by the lobbyist. A separate lobbyist
report shall contain the identity of the principal for whom
such lobbying was performed and shall contain all information
required under paragraphs (2) and (3).
(7) A registered principal or registered lobbyist that
attempts to influence an agency's preparing, bidding,
entering into or approving a contract shall ensure that the
related expenses are included under paragraph (2).
(c) Records retention.--A registrant shall retain all
documents reasonably necessary to substantiate the reports to be
made under this section for four years from the date of filing
the subject report. Upon request by the Office of the Attorney
General or the commission, these materials shall be made
available for inspection within a reasonable period of time.
(d) Thresholds for reporting.--An expense report shall be
filed when total expenses for lobbying exceed $500 for a
registered principal or a registered lobbyist in a reporting
period. In a reporting period in which total expenses are $500
or less, a statement to that effect shall be filed.
(e) Voluntary disclosure.--Nothing in this section shall
prevent a principal or lobbyist from disclosing expenses in
greater detail than required.
§ 1306. Exemption from registration and reporting.
The following individuals and activities shall be exempt from
registration under section 1304 (relating to registration) and
reporting under section 1305 (relating to reporting):
(1) An individual who limits lobbying activities to
preparing testimony and testifying before a committee of the
legislature or participating in an administrative proceeding
of an agency.
(2) An individual who is an employee of an entity
engaged in the business of publishing, broadcasting or
televising while engaged in the gathering and dissemination
of news and comment thereon to the general public in the
ordinary course of business.
(3) Any of the following:
(i) An individual who does not receive compensation,
other than traveling expenses, for lobbying.
(ii) An individual whose compensation for lobbying,
from all principals represented, does not exceed $2,500
in the aggregate during any reporting period.
(iii) An individual who engages in lobbying on
behalf of the individual's employer and where lobbying
activity represents less than the equivalent of $2,500 of
the employee's time during any reporting period, based on
an hourly proration of the employee's compensation.
(iv) A principal whose total expenses for lobbying
purposes do not exceed $2,500 during any reporting
period.
(4) Any of the following:
(i) An elected State officer acting in an official
capacity.
(ii) A State executive officer appointed by the
Governor acting in an official capacity.
(iii) An elected or appointed official or employee
of a political subdivision acting in an official
capacity.
(iv) An employee of the Commonwealth or independent
agency of the Commonwealth acting in an official
capacity.
(5) An individual representing a bona fide church of
which the individual is a member and the purpose of the
lobbying is solely for the purpose of protecting the
constitutional right to the free exercise of religion.
(6) An employee, who is not a registered lobbyist, of a
corporation which:
(i) is registered as a principal under section 1304;
(ii) has one or more registered lobbyists; and
(iii) includes in its reports under section 1305 all
of the employee's expenses related to lobbying.
§ 1307. Prohibited activities.
(a) Contingent compensation.--
(1) No one may compensate or incur an obligation to
compensate any lobbyist, principal or individual to engage in
lobbying for compensation contingent in whole or in part upon
any of the following:
(i) Passage or defeat, or approval or veto, of
legislation.
(ii) Occurrence or nonoccurrence of an
administrative action.
(2) No lobbyist, principal or individual may engage or
agree to engage in lobbying for compensation contingent in
whole or in part upon any of the following:
(i) Passage or defeat, or approval or veto, of
legislation.
(ii) Occurrence or nonoccurrence of an
administrative action.
(b) Political committees.--A lobbyist may not serve as a
treasurer or another officer for a candidate's political
committee or a candidate's political action committee.
(c) Fee restrictions.--A lobbyist may not charge a fee or
receive compensation or economic consideration based upon an
understanding, either written or oral, that any part of the fee,
compensation or economic consideration will be converted into a
contribution to a candidate for public office or a political
committee.
(d) Falsification.--No lobbyist or principal may, for the
purpose of influencing legislative action or administrative
action, transmit, utter or publish to any State official or
employee any communication, knowing that such communication or
any signature on the communication is false, forged, counterfeit
or fictitious.
§ 1308. Administration and enforcement.
(a) Criminal enforcement.--If the commission believes an
intentional violation of this chapter has been committed, it
shall refer all relevant documents and other information to the
Office of Attorney General.
(b) Attorney General.--In addition to the authority
conferred upon the Attorney General under the act of October 15,
1980 (P.L.950, No.164), known as the Commonwealth Attorneys Act,
the Attorney General has the authority to investigate and
prosecute a violation of this chapter.
(c) Advice and opinions.--The commission shall provide
advice and opinions in accordance with procedures set forth in
section 1107 (relating to powers and duties of commission) to a
lobbyist, principal or State official or employee who has a
question regarding compliance with this chapter. A principal, a
lobbyist or an individual who acts in good faith based on the
written advice or opinion of the commission shall not be held
liable for a violation of this chapter.
(d) Public inspection and copying.--The commission shall
make completed registration statements, expense reports,
termination notices and termination reports, which have been
filed with the commission, available for public inspection and
provide copies of these documents at a price which shall not
exceed the actual cost of copying. Documents that are maintained
and reproducible in an electronic format shall be provided in
that format upon request.
(e) Annual reporting.--The commission shall prepare and
publish an annual report on lobbying activities in this
Commonwealth. The commission shall also annually publish a
listing of principals, identifying affiliated political action
committees and lobbyists and a listing of lobbyists, identifying
affiliated political action committees and principals.
(f) Retention of records.--Completed registration
statements, expense reports, termination notices and termination
reports shall remain on file with the commission for a four-year
period.
(g) Audits.--The commission shall initiate, by lottery,
random annual audits of the registration statements and
disclosure reports in sufficient number to ensure compliance
with this chapter. The audit report and findings shall be
confidential; however, the commission shall include the relevant
portion of an audit as part of its findings of fact in a
commission order which results from an investigation arising out
of an audit.
(h) Investigation and hearings.--The commission, through its
executive director, may initiate an investigation and hold a
hearing, concerning negligent conduct by a lobbyist or
principal, in accordance with sections 1107 and 1108 (relating
to investigations by commission).
(i) Directory.--On or before May 1 of each odd-numbered
year, the commission shall produce and distribute a directory of
all registered lobbyists, including photographs. Copies of this
directory shall be made available to the public at a price not
to exceed the actual cost of production. All revenue received by
the commission from the sales of this directory shall be
deposited into the fund.
(j) Computer file.--The Legislative Data Processing
Committee shall maintain updated registration statements,
expense reports, termination notices and termination reports.
(k) Cost-of-living adjustment.--On a biennial basis
commencing in January 2002, the commission shall review the
threshold for reporting under section 1305(d) (relating to
reporting) and the threshold for exemption under section
1306(3)(ii) through (iv) (relating to exemption from
registration and reporting) and may increase these amounts to
rates deemed reasonable for assuring appropriate disclosure. The
commission shall publish any such adjusted threshold amounts in
the Pennsylvania Bulletin by June 1, 2002, and every two years
thereafter, as necessary.
§ 1309. Penalties.
(a) Notice of noncompliance.--The commission shall issue a
notice of noncompliance to any lobbyist, principal or individual
that has failed to register or report as required by this
chapter. The notice shall state the nature of the alleged
noncompliance and the civil and criminal penalties for failure
to register, failure to file or filing a report containing a
false statement. The notice shall also advise of the right to a
hearing before the commission and the time and manner in which
to request a hearing.
(b) Hearing.--If a hearing is requested, the commission
shall determine at the hearing whether the recipient of the
notice is required to register or report under this chapter,
whether the failure to register or report was negligent and, if
the failure was negligent, the amount of the civil penalty to be
imposed. If the commission finds that the failure to register or
report was intentional, it shall refer the matter to the
Attorney General for investigation and prosecution. Hearings
under this subsection shall be conducted by the commission in
accordance with sections 1107(14) (relating to powers and duties
of commission) and 1108(e) (relating to investigations by
commission).
(c) Negligent failure to register or report.--Negligent
failure to register or report as required by this chapter is
punishable by a civil penalty not exceeding $50 for each late
day. After a hearing under subsection (b), in the case of
negligent failure to register or report, the commission may,
upon the majority vote of its members, levy a civil penalty as
provided for in this subsection. The total amount of the civil
penalty levied shall not be limited by any other provision of
law. The commission shall have standing to apply to Commonwealth
Court to seek enforcement of an order imposing a civil penalty
under this section.
(d) Failure to comply after notice.--After notice of
noncompliance and after a hearing, if one is requested, a
lobbyist or principal who fails to comply with the requirements
of this chapter may be prohibited from lobbying for up to five
years. The prohibition shall be imposed as provided by
subsection (e)(4).
(e) Intentional violations.--
(1) Any lobbyist, principal or individual that
intentionally fails to register or report as required by this
chapter commits a misdemeanor of the second degree.
(2) A registrant that files a report under this chapter
with knowledge that the report contains a false statement
commits a misdemeanor of the second degree.
(3) Except as set forth in paragraph (1) or (2), any
lobbyist, principal or individual that intentionally violates
this chapter commits a misdemeanor of the third degree.
(4) In addition to the criminal penalties imposed by
this subsection, the commission may prohibit a lobbyist or
principal from lobbying for up to five years for doing an act
which constitutes an offense under this subsection. No
criminal prosecution or conviction shall be required for the
imposition of the prohibition authorized by this paragraph.
The prohibition under this paragraph shall not be imposed
unless the defendant has been afforded the opportunity for a
hearing, which shall be conducted by the commission in
accordance with sections 1107(14) and 1108(e).
§ 1310. Filing fees; fund established; regulations.
(a) Filing fees.--A principal or lobbyist required to be
registered under this chapter shall pay a biennial filing fee of
$100 to the commission.
(b) Fund established.--All money received from filing fees
under subsection (a) shall be deposited in a restricted receipts
account to be known as the Lobbying Disclosure Fund. The money
deposited in the fund is hereby appropriated to the commission
as a continuing appropriation for the exclusive purpose of
carrying out the provisions of this chapter.
(c) Regulations.--A committee comprised of the Secretary of
the Senate, the Chief Clerk of the House of Representatives, the
chairman of the State Ethics Commission, the Attorney General,
the Secretary of the Commonwealth, the Auditor General and the
General Counsel, or their designees, shall have continuing
authority to promulgate regulations necessary to carry out this
chapter. The chairman of the commission shall be designated as
the chairman of the committee. The initial proposed regulations
shall be submitted within 180 days of the effective date of this
section to the Independent Regulatory Review Commission under
section 5 of the act of June 25, 1982 (P.L.633, No.181), known
as the Regulatory Review Act. Any meeting at which the committee
plans to approve proposed regulations shall be held in
accordance with Chapter 7 (relating to open meetings). The
committee shall also prepare and publish a manual setting forth
guidelines for accounting and reporting. The regulations and
manual shall be drafted to accommodate the use of computerized
recordkeeping, electronic filing of the reports provided for
under this chapter and retention of registration statements and
reports provided for under this chapter by electronic means. The
Department of State shall provide sufficient staff and other
administrative support to assist the committee.
§ 1311. Severability.
(a) General rule.--Except as provided in subsection (b):
(1) The provisions of this chapter are severable.
(2) If any provision of this chapter or its application
to any person or circumstance is held invalid, the invalidity
shall not affect other provisions or applications of this
chapter which can be given effect without the invalid
provision or application.
(b) Practice of law.--If any provision of this chapter or
its application to any person or circumstance is held invalid on
the basis of improper regulation of the practice of law, the
remaining provisions or applications of this chapter are void.
Section 2. (a) Except as otherwise specifically provided in
this act, it is the intention of this act to continue existing
law.
(b) All litigation, hearings, investigations and other
proceedings whatsoever under any statute repealed by this act
shall continue and remain in full force and effect and may be
completed under the provisions of this act. All orders,
regulations or rules made under any statute repealed by this act
and in full force and effect upon the effective date of such
repeal shall remain in full force and effect until revoked,
vacated or modified under the provisions of this act. All
existing contracts and obligations entered into under any
statute repealed by this act shall remain in full force and
effect.
(c) The members of the State Ethics Commission shall
continue in office until their terms of office expire in
accordance with 65 Pa.C.S. Ch. 11 and shall exercise the powers
and perform the duties prescribed in Chapter 11.
(d) The appropriations to the State Ethics Commission
established under the act of October 4, 1978 (P.L.883, No.170),
referred to as the Public Official and Employee Ethics Law,
shall continue and remain in full force and effect for use by
the State Ethics Commission continued under 65 Pa.C.S. Ch. 11.
Section 3. The sum of $165,000 is hereby appropriated to the
State Ethics Commission for the fiscal year July 1, 1998, to
June 30, 1999, to carry out the provisions of 65 Pa.C.S. Ch. 13.
Section 4. (a) The provisions of 65 Pa.C.S. § 714.1 shall
be applicable to all legal challenges filed under 65 Pa.C.S. Ch.
7 on or after the effective date of that chapter.
(b) The provision for attorney fees in section 13 of the act
of July 3, 1986 (P.L.388, No.84), known as the Sunshine Act,
shall continue to apply to all legal challenges filed under that
act before the effective date of 65 Pa.C.S. Ch. 7.
(c) The provisions of 65 Pa.C.S. §§ 1103(d) and (e) and
1105(b)(6) and (7) shall not apply to any matter that occurred
before June 26, 1989.
Section 5. Except where specifically revised by this act,
Chapters 7, 11 and 13 shall be a codification of existing law.
Section 6. (a) The following acts and parts of acts are
repealed:
(1) Act of September 30, 1961 (P.L.1778, No.712), known as
the Lobbying Registration and Regulation Act.
(2) Sections 1 through 9 and 10.1 through 14 of the act of
October 4, 1978 (P.L.883, No.170), referred to as the Public
Official and Employee Ethics Law.
(3) Act of July 3, 1986 (P.L.388, No.84), known as the
Sunshine Act.
(b) The following repeals deal with the State Ethics
Commission:
(1) Section 8 of the act of June 26, 1989 (P.L.26,
No.9), entitled "An act reenacting and amending the act of
October 4, 1978 (P.L.883, No.170), entitled 'An act relating
to conflicts of interest involving certain public officials
serving in State or State agencies and local political
subdivision positions and prohibiting certain public
employees from engaging in certain conflict of interest
activities requiring certain disclosures and providing
penalties,' adding definitions; further providing for the
membership, powers and duties of the State Ethics Commission
and for persons who must file statements of financial
interests; reestablishing the State Ethics Commission; and
making an appropriation," is repealed.
(2) All other provisions of law are repealed insofar as
they limit the existence of the State Ethics Commission.
(c) All other acts and parts of acts are repealed insofar as
they are inconsistent with this act.
Section 7. This act is intended to provide for public
confidence in government by consolidating and revising existing
laws relating to open meetings, ethical standards and financial
disclosure and lobbying regulation and disclosure.
Section 8. This act shall take effect as follows:
(1) Except as set forth in paragraphs (2) and (3), the
addition of 65 Pa.C.S. Ch. 13 shall take effect August 1,
1999.
(2) The addition of 65 Pa.C.S. §§ 1305(b)(3)(iii) and
1310(c) shall take effect immediately.
(3) The addition of 65 Pa.C.S. § 1305(b)(3)(i) and (ii)
shall take effect on the earlier of:
(i) the effective date of the regulations
promulgated under 65 Pa.C.S. § 1305(b)(3)(iii); or
(ii) August 1, 1999.
(4) Section 3 of this act shall take effect immediately.
(5) Section 6(a)(1) of this act shall take effect August
1, 1999.
(6) This section shall take effect immediately.
(7) The remainder of this act shall take effect in 60
days.
APPROVED--The 15th day of October, A. D. 1998.
THOMAS J. RIDGE
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