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| THE GENERAL ASSEMBLY OF PENNSYLVANIA |
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| SENATE BILL |
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| INTRODUCED BY ERICKSON, YUDICHAK, FONTANA, FOLMER, BRUBAKER, WASHINGTON, EICHELBERGER, PIPPY, RAFFERTY, WAUGH, BROWNE, ALLOWAY, BAKER, VOGEL AND DINNIMAN, FEBRUARY 25, 2011 |
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| REFERRED TO STATE GOVERNMENT, FEBRUARY 25, 2011 |
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| AN ACT |
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1 | Amending Title 65 (Public Officers) of the Pennsylvania |
2 | Consolidated Statutes, further providing for short title of |
3 | chapter, for purpose and for definitions; providing for |
4 | establishment and operation of nominating committee, for |
5 | Pennsylvania Public Integrity Commission, for limitations on |
6 | activities by commissioners and employees, for powers and |
7 | duties of commission, for authority, qualification, training |
8 | and identification of investigative employees designated as |
9 | law enforcement officers, for photo identification, for |
10 | immunity of witnesses and for enforcement of subpoenas; |
11 | further providing for restricted activities, for statement of |
12 | financial interests required to be filed, for investigations |
13 | by commission and for penalties; providing for costs |
14 | restitutions and forfeiture; further providing for wrongful |
15 | use of chapter; providing for disclosure of executive session |
16 | testimony and investigative records, for privileged |
17 | statements and reports, for commission disclosure of economic |
18 | interests and for applicable statutes; and making repeals. |
19 | The General Assembly of the Commonwealth of Pennsylvania |
20 | hereby enacts as follows: |
21 | Section 1. Sections 1101 and 1101.1 of Title 65 of the |
22 | Pennsylvania Consolidated Statutes are amended to read: |
23 | § 1101. Short title of chapter. |
24 | This chapter shall be known and may be cited as the [Public |
25 | Official and Employee Ethics] Pennsylvania Public Integrity |
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1 | Commission Act. |
2 | § 1101.1. Purpose. |
3 | (a) [Declarations.--The Legislature hereby declares that |
4 | public office is a public trust and that any effort to realize |
5 | personal financial gain through public office other than |
6 | compensation provided by law is a violation of that trust. In |
7 | order to strengthen the faith and confidence of the people of |
8 | this Commonwealth in their government, the Legislature further |
9 | declares that the people have a right to be assured that the |
10 | financial interests of holders of or nominees or candidates for |
11 | public office do not conflict with the public trust. Because |
12 | public confidence in government can best be sustained by |
13 | assuring the people of the impartiality and honesty of public |
14 | officials, this chapter shall be liberally construed to promote |
15 | complete financial disclosure as specified in this chapter. |
16 | Furthermore, it is recognized that clear guidelines are needed |
17 | in order to guide public officials and employees in their |
18 | actions. Thus, the General Assembly by this chapter intends to |
19 | define as clearly as possible those areas which represent |
20 | conflict with the public trust.] Legislative intent.--It is the |
21 | intent of the General Assembly that this chapter promote the |
22 | following public policy purposes and objectives: |
23 | (1) Uncover and investigate public corruption within the |
24 | Commonwealth: |
25 | (i) at all levels of government, including State, |
26 | county and local; and |
27 | (ii) in all branches of government, including |
28 | legislative, executive and judicial. |
29 | (2) Establish a Pennsylvania Public Integrity Commission |
30 | which serves both a law enforcement role as a criminal |
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1 | justice agency concerning specific criminal violations and an |
2 | educational role for public officials, public employees, |
3 | district attorneys, other law enforcement entities, the |
4 | General Assembly and the public. |
5 | (3) Encourage the Pennsylvania Public Integrity |
6 | Commission to work cooperatively with the Attorney General, |
7 | the Pennsylvania State Police, district attorneys and other |
8 | law enforcement entities in conducting its mission. |
9 | (4) Promote administration of this chapter by the |
10 | Pennsylvania Public Integrity Commission in a manner which is |
11 | cognizant of the responsibilities and burdens of public |
12 | officials and employees who have demonstrated an interest in |
13 | promoting public confidence in government. |
14 | (b) [Recognition.--It is recognized that many public |
15 | officials, including most local officials and members of the |
16 | General Assembly, are citizen-officials who bring to their |
17 | public office the knowledge and concerns of ordinary citizens |
18 | and taxpayers. They should not be discouraged from maintaining |
19 | their contacts with their community through their occupations |
20 | and professions. Thus, in order to foster maximum compliance |
21 | with its terms, this chapter shall be administered in a manner |
22 | that emphasizes guidance to public officials and public |
23 | employees regarding the ethical standards established by this |
24 | chapter.] Declarations.--The Legislature hereby declares that |
25 | public office is a public trust and that any effort to realize |
26 | personal financial gain through public office other than |
27 | compensation provided by law is a violation of that trust. The |
28 | Legislature also declares the public would be best served by a |
29 | Statewide criminal justice agency which focuses on investigating |
30 | criminal incidents of public corruption. In order to strengthen |
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1 | the faith and confidence of the people of this Commonwealth in |
2 | their government, the Legislature further declares that the |
3 | people have a right to be assured that the financial interests |
4 | of holders of or nominees or candidates for public office do not |
5 | conflict with the public trust. Because public confidence in |
6 | government can best be sustained by assuring the people of the |
7 | impartiality and honesty of public officials, this chapter shall |
8 | be liberally construed to promote complete financial disclosure |
9 | as specified in this chapter. Furthermore, it is recognized that |
10 | clear guidelines are needed in order to guide public officials |
11 | and employees in their actions. Thus, the General Assembly by |
12 | this chapter intends to define as clearly as possible those |
13 | areas which represent conflict with the public trust. |
14 | (c) [Legislative intent.--It is the intent of the General |
15 | Assembly that this chapter be administered by an independent |
16 | commission composed of members who are cognizant of the |
17 | responsibilities and burdens of public officials and employees |
18 | and who have demonstrated an interest in promoting public |
19 | confidence in government.] (Reserved). |
20 | Section 2. The definitions of "advice," "business with which |
21 | he is associated," "candidate," "commission," "conflict" or |
22 | "conflict of interest," "contract," "findings report," "opinion" |
23 | and "order" in section 1102 of Title 65 are amended and the |
24 | section is amended by adding definitions to read: |
25 | § 1102. Definitions. |
26 | The following words and phrases when used in this chapter |
27 | shall have, unless the context clearly indicates otherwise, the |
28 | meanings given to them in this section: |
29 | "Advice." Any directive of the chief counsel of the [State |
30 | Ethics Commission] commission issued under section [1107(11)] |
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1 | 1102.4(15) (relating to powers and duties of commission) and |
2 | based exclusively on prior commission opinions, prior opinions |
3 | of the State Ethics Commission, this chapter, regulations |
4 | promulgated pursuant to this chapter and court opinions which |
5 | interpret this chapter. |
6 | * * * |
7 | "Business with which [he] a person is associated." Any |
8 | business in which the person or a member of the person's |
9 | immediate family is a director, officer, owner, employee or has |
10 | a financial interest. |
11 | "Candidate." Any individual who seeks nomination or election |
12 | to public office by vote of the electorate, other than a judge |
13 | of elections, inspector of elections or official of a political |
14 | party, whether or not such individual is nominated or elected. |
15 | An individual shall be deemed to be seeking nomination or |
16 | election to such office if [he] the individual has: |
17 | (1) received a contribution or made an expenditure or |
18 | given [his] consent for any other person or committee to |
19 | receive a contribution or make an expenditure for the purpose |
20 | of influencing [his] the nomination or election to such |
21 | office, whether or not the individual has announced the |
22 | specific office for which [he] the individual will seek |
23 | nomination or election at the time the contribution is |
24 | received or the expenditure is made; or |
25 | (2) taken the action necessary under the laws of this |
26 | Commonwealth to qualify [himself] the individual for |
27 | nomination or election to such office. |
28 | The term shall include individuals nominated or elected as |
29 | write-in candidates unless they resign such nomination or |
30 | elected office within 30 days of having been nominated or |
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1 | elected. |
2 | "Commission." The [State Ethics] Pennsylvania Public |
3 | Integrity Commission. |
4 | * * * |
5 | "Conflict" or "conflict of interest." Use by a public |
6 | official or public employee of the authority of [his] the |
7 | person's office or employment or any confidential information |
8 | received through [his] holding public office or employment for |
9 | the private pecuniary benefit of [himself, a member of his |
10 | immediate family] the person, an immediate family member or a |
11 | business with which [he] the person or a member of [his] the |
12 | person's immediate family is associated. The term does not |
13 | include an action having a de minimis economic impact or which |
14 | affects to the same degree a class consisting of the general |
15 | public or a subclass consisting of an industry, occupation or |
16 | other group which includes the public official or public |
17 | employee, a member of [his] the person's immediate family or a |
18 | business with which [he] the person or a member of [his] the |
19 | person's immediate family is associated. |
20 | "Contract." An agreement or arrangement for the acquisition, |
21 | use or disposal by the Commonwealth or a political subdivision |
22 | of consulting or other services or of supplies, materials, |
23 | equipment, land or other personal or real property. The term |
24 | shall not mean an agreement or arrangement between the State or |
25 | political subdivision as one party and a public official or |
26 | public employee as the other party, concerning [his] the public |
27 | official or public employee's expense, reimbursement, salary, |
28 | wage, retirement or other benefit, tenure or other matters in |
29 | consideration of [his] the public official or public employee's |
30 | current public employment with the Commonwealth or a political |
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1 | subdivision. |
2 | "Court." The Commonwealth Court. |
3 | * * * |
4 | "Findings report." An initial report containing findings of |
5 | fact as determined by the [State Ethics Commission's] |
6 | commission's investigation but not containing any conclusions of |
7 | law or any determination of whether there has been a violation |
8 | of law. |
9 | * * * |
10 | "Immunity order." An order issued under this chapter by the |
11 | court directing a witness to testify or produce other |
12 | information over a claim of privilege against self- |
13 | incrimination. |
14 | * * * |
15 | "Opinion." A directive of the [State Ethics Commission] |
16 | commission issued pursuant to section [1107(10)] 1102.4(14) |
17 | (relating to powers and duties of commission) setting forth a |
18 | public official's or public employee's duties under this |
19 | chapter. |
20 | "Order." A directive of the [State Ethics Commission] |
21 | commission issued pursuant to section [1107(13)] 1102.4(17) |
22 | (relating to powers and duties of commission) at the conclusion |
23 | of an investigation which contains findings of fact, conclusions |
24 | of law and penalties. |
25 | * * * |
26 | "Public corruption." The unlawful activity, under color of |
27 | or in connection with any public office or employment, of any |
28 | individual: |
29 | (1) employed by an agency as defined in the act of |
30 | February 14, 2008 (P.L.6, No.3), known as the Right-to-Know |
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1 | Law; or |
2 | (2) elected by the public, appointed by a governmental |
3 | body or an appointed official in an agency as defined in the |
4 | Right-to-Know Law. |
5 | * * * |
6 | Section 3. Title 65 is amended by adding sections to read: |
7 | § 1102.1. Establishment and operation of nominating committee. |
8 | (a) Establishment.--When a vacancy exists in the commission, |
9 | a nominating committee shall be established and selected as |
10 | provided in this section. |
11 | (b) List of current nominees.-–A nominating committee shall |
12 | compile a list of 15 current nominees to fill a vacancy in the |
13 | commission. A list of nominees shall not have more than six |
14 | members of the same political party. After the vacancy in the |
15 | commission for which the nominating committee was established |
16 | has been filled, the list of 15 current nominees shall be |
17 | discarded, and a subsequent vacancy shall not be filled from |
18 | that list. This section shall not preclude the inclusion of a |
19 | nominee in a subsequent list of nominees. |
20 | (c) Selection and composition.--The nominating committee |
21 | shall be selected as follows: |
22 | (1) The President pro tempore of the Senate shall |
23 | appoint three members of the nominating committee. One |
24 | appointee shall be a current or former district attorney. |
25 | Two appointees shall be current or former deans of a |
26 | Pennsylvania law school accredited by the American Bar |
27 | Association. |
28 | (2) The Minority Leader of the Senate shall appoint two |
29 | members of the nominating committee. One appointee shall be a |
30 | current or former dean of a Pennsylvania law school |
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1 | accredited by the American Bar Association. One appointee |
2 | shall be a member or employee of a nonprofit, nonpartisan |
3 | citizen's lobbying organization that has been in existence |
4 | for no fewer than 30 years. |
5 | (3) No more than three members of the nominating |
6 | committee shall be members of the same political party. |
7 | (d) Chairperson.--The members of the nominating committee |
8 | shall select a chairperson of the committee from among the |
9 | members. |
10 | (e) Term.--The members of the nominating committee shall |
11 | serve until the vacancy in the commission for which the |
12 | nominating committee was created has been filled. Nothing in |
13 | this section shall preclude the reappointment of a member of a |
14 | nominating committee to a subsequent nominating committee. |
15 | (f) Expenses.--The members of a nominating committee shall |
16 | serve without compensation but shall be entitled to reasonable |
17 | travel, hotel and other necessary expenses from the funds of the |
18 | commission as approved by the commission. The expenses shall not |
19 | exceed the applicable per diem rates established by the United |
20 | States General Services Administration. |
21 | (g) Support.--The commission shall provide administrative |
22 | assistance to a nominating committee. |
23 | (h) Vacancies.--Vacancies in a nominating committee before |
24 | the expiration of its term shall be filled for the remainder of |
25 | the term in the same manner as original appointments. |
26 | (i) Removal.--The appointing authority of a member of a |
27 | nominating committee may remove that member for good cause. |
28 | (j) Procedure.--The following shall apply to a nominating |
29 | committee procedure: |
30 | (1) A majority of the members of a nominating committee |
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1 | constitutes a quorum. A member of a nominating committee |
2 | shall participate at a meeting of the committee in person or |
3 | by teleconference or video conference for the purposes of |
4 | meeting a quorum. |
5 | (2) Voting shall be direct, including voting by |
6 | teleconference or video conference. Voting by proxy shall not |
7 | be permitted. |
8 | (k) Meetings.--A nominating committee shall meet as needed |
9 | at the call of the chairperson. |
10 | § 1102.2. Commission. |
11 | (a) Continuation of State Ethics Commission.--The commission |
12 | is a successor to and a continuation of the State Ethics |
13 | Commission established under the act of October 4, 1978 |
14 | (P.L.883, No.170), referred to as the Public Official and |
15 | Employee Ethics Law. The commission shall be an independent |
16 | administrative body consisting of seven members who shall be |
17 | known as commissioners. |
18 | (b) Continuation of commissioners of the State Ethics |
19 | Commission.--Upon the effective date of this section, the |
20 | current commissioners of the State Ethics Commission shall |
21 | continue to serve as administrators of this chapter with all of |
22 | the duties, powers, rights and responsibilities of commissioners |
23 | of the commission until no fewer than four commissioners are |
24 | appointed under subsection (c). |
25 | (c) Composition.--The commissioners shall be appointed by |
26 | the Governor, subject to the consent of two-thirds of the |
27 | members elected to the Senate, from the list of current nominees |
28 | prepared by a nominating committee under section 1102.1 |
29 | (relating to establishment and operation of nominating |
30 | committee). The commission shall not have more than three |
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1 | commissioners of the same political party. |
2 | (d) Term.--The original commissioners shall be appointed as |
3 | follows: |
4 | (1) Three shall be appointed for a term of one year. |
5 | (2) Three shall be appointed for a term of two years. |
6 | (3) One shall be appointed for a term of three years. |
7 | After the original commissioners are appointed, appointments |
8 | shall be for a term of three years. |
9 | (e) Vacancy and reappointment.--A vacancy shall be filled |
10 | for the remainder of the unexpired term in the same manner as an |
11 | original appointment. Upon the expiration of a term, a |
12 | commissioner shall continue to hold office until a successor has |
13 | been duly appointed, but not longer than six months after the |
14 | expiration of the commissioner's appointed term. A commissioner |
15 | may be reappointed to serve one three-year term if included on |
16 | the list of current nominees for that vacancy provided by a |
17 | nominating committee under section 1102.1. |
18 | (f) Chairperson.--The commissioners shall meet on an annual |
19 | basis to select a chairperson of the commission from among the |
20 | commissioners. |
21 | (g) Compensation and expenses.--A commissioner shall receive |
22 | $100-a-day compensation for every meeting of the commission at |
23 | which the commissioner participates in person and a quorum of |
24 | the commission is present. A commissioner shall be entitled to |
25 | reasonable travel, hotel and other necessary expenses as |
26 | approved by the commission, but the expenses shall not exceed |
27 | the applicable per diem rates established by the United States |
28 | General Services Administration. |
29 | (h) Removal.--Except as authorized under this subsection, a |
30 | commissioner shall not be removed from office during his term. A |
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1 | commissioner may be removed from office in the following |
2 | circumstances: |
3 | (1) Upon clear and convincing evidence of misfeasance or |
4 | malfeasance in office or neglect of duty by a commissioner, |
5 | the Governor may remove a commissioner prior to the |
6 | expiration of the term. The Governor shall provide the |
7 | commissioner who is removed with a statement of the reasons |
8 | for the removal. |
9 | (2) A commissioner who fails to attend, in person or by |
10 | teleconference or video conference, three consecutive |
11 | meetings shall forfeit the position on the commission unless |
12 | the chairperson, upon written request from the commissioner, |
13 | finds the commissioner should be excused for good cause. |
14 | A commissioner who is removed may petition the court for |
15 | reinstatement. The court shall hold an expedited hearing and |
16 | render a decision within 30 days after the hearing or as soon |
17 | thereafter as may be practicable. A decision of the court that |
18 | is adverse to a commissioner who is removed shall result in a |
19 | vacancy that shall be filled under this chapter. |
20 | (i) Procedure.--All of the following shall apply to |
21 | commission procedure: |
22 | (1) A majority of the commissioners constitutes a |
23 | quorum. A commissioner must participate at a meeting of the |
24 | commission in person or by teleconference or video conference |
25 | for the purpose of meeting a quorum. |
26 | (2) Voting must be direct, including voting by |
27 | teleconference or video conference. Voting by proxy shall not |
28 | be permitted. |
29 | (j) Meetings.--The commission shall meet no fewer than once |
30 | every two months and at additional times as necessary to conduct |
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1 | the business of the commission. |
2 | § 1102.3. Limitations on activities by commissioners and |
3 | employees. |
4 | (a) General rule.--No individual while a member or employee |
5 | of the commission shall: |
6 | (1) Hold another public office or be a candidate for |
7 | another public office. |
8 | (2) Hold office in a political party or political |
9 | committee. |
10 | (3) Actively participate in, contribute to or solicit |
11 | contributions for a political campaign, political party, |
12 | political committee or candidate. |
13 | (4) Publicly endorse a candidate. |
14 | (b) Exception.--Nothing in this section shall preclude a |
15 | member or employee of the commission from actively participating |
16 | in, contributing to or soliciting contributions for a candidate |
17 | for Federal office or elective office outside of this |
18 | Commonwealth. |
19 | § 1102.4. Powers and duties of commission. |
20 | In addition to other powers and duties prescribed by law, the |
21 | commission shall: |
22 | (1) Prescribe and publish rules and regulations to carry |
23 | out the provisions of this chapter, including regulations |
24 | controlling or defining the following: |
25 | (i) Calling of meetings. |
26 | (ii) Investigative responsibilities of commission |
27 | members and employees. |
28 | (iii) Written procedures to be utilized by the |
29 | commission's investigative management staff in planning |
30 | and supervising investigations and inquiries. |
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1 | (iv) Dissemination of materials, including |
2 | dissemination to the Governor and members or committees |
3 | of the General Assembly. |
4 | (v) Appropriate use of commission property, |
5 | including vehicles. |
6 | (vi) Maintenance of confidentiality of information. |
7 | (vii) Other procedures and acts necessary for the |
8 | proper functioning of the commission. |
9 | (2) As a criminal justice agency, inquire into public |
10 | corruption and the activities of persons engaged in and |
11 | associated with public corruption. The commission shall make |
12 | a written report of every completed public corruption |
13 | investigation which may include recommendation for |
14 | legislative or administrative action. Except for those |
15 | reports provided to another law enforcement agency, if a |
16 | public corruption report is critical of a named individual |
17 | not indicted for a criminal offense, the named individual |
18 | shall be allowed to submit a response to the allegations |
19 | contained in the report which shall be made part of the |
20 | report. |
21 | (3) Hold hearings, take testimony, issue subpoenas and |
22 | require the attendance and testimony of witnesses and the |
23 | production of documentary evidence relative to any |
24 | investigation which the commission may conduct in accordance |
25 | with the powers given it. The subpoenas shall be signed by |
26 | the chairperson, the chief counsel and one other commissioner |
27 | and shall be served by a person authorized to serve subpoenas |
28 | under the laws of this Commonwealth. |
29 | (4) Refer criminal violations to a district attorney, |
30 | the Attorney General of Pennsylvania, the Attorney General of |
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1 | the United States or a United States Attorney for |
2 | investigation or prosecution. |
3 | (5) During April of each calendar year, submit an annual |
4 | report on the status of public corruption in this |
5 | Commonwealth to a joint public hearing of the Judiciary |
6 | Committee of the Senate and the Judiciary Committee of the |
7 | House of Representatives. The commission shall submit other |
8 | public corruption reports and present the reports at public |
9 | hearings of the committees of the Senate and the House of |
10 | Representatives having oversight responsibilities or |
11 | appropriate legislative jurisdiction of the subject matter of |
12 | the reports. If a report is critical of a named individual |
13 | not indicted for a criminal offense, the named individual |
14 | shall be allowed to submit a response to the allegations |
15 | contained in the report which shall be made part of the |
16 | report. |
17 | (6) Prescribe forms for statements and reports required |
18 | to be filed by this chapter and furnish such forms to persons |
19 | required to file such statements and reports. |
20 | (7) Prepare and publish guidelines setting forth |
21 | recommended uniform methods of accounting and reporting for |
22 | use by persons required to file statements and reports by |
23 | this chapter. |
24 | (8) Accept and file any information voluntarily supplied |
25 | that exceeds the requirements of this chapter. |
26 | (9) Inspect statements of financial interests which have |
27 | been filed in order to ascertain whether any reporting person |
28 | has failed to file such a statement or has filed a deficient |
29 | statement. If, upon inspection, it is determined that a |
30 | reporting person has failed to file a statement of financial |
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1 | interests or that any statement which has been filed fails to |
2 | conform with the requirements of section 1105 (relating to |
3 | statement of financial interests), then the commission shall |
4 | in writing notify the person. Such notice shall state in |
5 | detail the deficiency and the penalties for failure to file |
6 | or for filing a deficient statement of financial interests. |
7 | (10) Provide that statements and reports filed with the |
8 | commission be made available for public inspection and |
9 | copying during regular office hours and provide that copying |
10 | facilities be made available at a charge not to exceed actual |
11 | cost and advise other State and local agencies of the |
12 | provisions of this paragraph. |
13 | (11) Compile and maintain an index of all reports and |
14 | statements filed with the commission to facilitate public |
15 | access to such reports and statements and instruct other |
16 | State and local agencies which receive and file financial |
17 | interest statements in the maintenance of systems which |
18 | facilitate public access to such statements. |
19 | (12) Prepare and publish annual summaries of statements |
20 | and reports filed with the commission. |
21 | (13) Preserve statements and reports filed with the |
22 | commission for a period of five years from date of receipt |
23 | and advise other State and local agencies which receive and |
24 | store financial interest statements to preserve such |
25 | statements for a period of five years from date of receipt. |
26 | (14) Issue to any person upon such person's request or |
27 | to the appointing authority or employer of that person upon |
28 | the request of such appointing authority or employer an |
29 | opinion with respect to such person's duties under this |
30 | chapter. The commission shall, within 14 days, either issue |
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1 | the opinion or advise the person who made the request whether |
2 | an opinion will be issued. A person who acts in good faith on |
3 | an opinion issued to that person by the commission shall not |
4 | be subject to criminal or civil penalties for so acting, |
5 | provided that the material facts are as stated in the opinion |
6 | request. The commission's opinions shall be public record and |
7 | may from time to time be published. The person requesting the |
8 | opinion may, however, require that the opinion shall contain |
9 | such deletions and changes as shall be necessary to protect |
10 | the identity of the persons involved. |
11 | (15) Provide written advice to any person or the |
12 | appointing authority or employer of such person upon the |
13 | person's request with respect to such person's duties under |
14 | this chapter. Such advice shall be provided within 21 working |
15 | days of the request, provided that the time may be extended |
16 | for good cause. It shall be a complete defense in any |
17 | enforcement proceeding initiated by the commission and |
18 | evidence of good faith conduct in any other civil or criminal |
19 | proceeding if the requester, at least 21 working days prior |
20 | to the alleged violation, requested written advice from the |
21 | commission in good faith, disclosed truthfully all the |
22 | material facts and committed the acts complained of either in |
23 | reliance on the advice or because of the failure of the |
24 | commission to provide advice within 21 days of the request or |
25 | such later extended time. The person requesting the advice |
26 | may, however, require that the advice shall contain such |
27 | deletions and changes as shall be necessary to protect the |
28 | identity of the persons involved. |
29 | (16) Initiate an inquiry under section 1108(a) (relating |
30 | to investigations of violations of this chapter by |
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1 | commission) where a complaint has not been filed but where |
2 | there is a reasonable belief that a conflict may exist. |
3 | (17) Issue findings, reports and orders relating to |
4 | investigations initiated pursuant to section 1108 which set |
5 | forth the alleged violation, findings of fact and conclusions |
6 | of law. An order may include a referral for prosecution. Any |
7 | order resulting from a finding that a public official or |
8 | public employee has obtained a financial gain in violation of |
9 | this chapter may require the restitution plus interest of |
10 | that gain to the appropriate governmental body. The |
11 | commission or the Office of Attorney General shall have |
12 | standing to apply to the court to seek enforcement of an |
13 | order requiring such restitution. This restitution |
14 | requirement shall be in addition to any other penalties |
15 | provided for in this chapter. |
16 | (18) Prepare and publish special reports, educational |
17 | materials and technical studies to further the purposes of |
18 | this chapter. |
19 | (19) Transmit, free of charge, copies of each order, |
20 | advice and opinion which have become a matter of public |
21 | record quarterly to the law library of each county, one |
22 | public library in each county, the State Library, the State |
23 | Senate Library, each authority appointing commission members |
24 | under this chapter, the Pennsylvania Association of County |
25 | Commissioners, the Pennsylvania Association of Boroughs, the |
26 | Pennsylvania State Association of Township Supervisors, the |
27 | Pennsylvania State Association of Township Commissioners, the |
28 | Pennsylvania School Boards Association and the Pennsylvania |
29 | League of Cities. |
30 | (20) Hold at least two public hearings each year, of |
|
1 | which at least one shall be held in Harrisburg and at least |
2 | one shall be held in a location other than Harrisburg, to |
3 | seek input from persons and organizations that represent any |
4 | individual subject to the provisions of this chapter and from |
5 | other interested parties. |
6 | (21) Call upon the department heads of State government |
7 | and State agencies through its chairperson for information |
8 | and assistance as needed to carry out the functions of the |
9 | commission. |
10 | (22) Account to the Governor, the Auditor General and |
11 | the General Assembly at the end of each fiscal year for |
12 | moneys received and disbursed. |
13 | (23) Appoint and fix the compensation of an executive |
14 | director and a chief counsel. The executive director shall be |
15 | responsible for the administrative operations of the |
16 | commission and shall perform other duties as may be delegated |
17 | or assigned by the commission, except that the commission |
18 | shall not delegate the making of regulations to the executive |
19 | director. The chief counsel shall be the chief legal officer |
20 | of the commission. The commission may obtain the services of |
21 | experts and consultants as necessary to carry out its duties |
22 | pursuant to this chapter. |
23 | (24) Appoint and fix the compensation of other employees |
24 | as the commission may find necessary for the proper |
25 | performance of the functions of the commission. The |
26 | commission shall designate which investigative employees of |
27 | the commission shall be law enforcement officers as provided |
28 | in section 1102.5 (relating to authority, qualification, |
29 | training and identification of investigative employees |
30 | designated as law enforcement officers). Other employees of |
|
1 | the commission shall be civilians. |
2 | (25) Pay expenses incurred by the executive director, |
3 | chief counsel or other employees on the presentation of |
4 | itemized vouchers and approval by the commission. |
5 | (26) Perform other acts necessary for the proper |
6 | functioning of the commission. |
7 | § 1102.5. Authority, qualification, training and identification |
8 | of investigative employees designated as law |
9 | enforcement officers. |
10 | (a) Authority.--An investigative employee of the commission |
11 | designated as a law enforcement officer shall have the law |
12 | enforcement power and authority, anywhere within this |
13 | Commonwealth, to enforce the following laws: |
14 | (1) This chapter. |
15 | (2) The act of July 10, 1968 (P.L.316, No.154), known as |
16 | the Legislative Code of Ethics. |
17 | (3) Crimes related to public office or public employment |
18 | as defined in section 2 of the act of July 8, 1978 (P.L.752, |
19 | No.140), known as the Public Employee Pension Forfeiture Act, |
20 | except Federal offenses. |
21 | (b) Qualifications.--An investigative employee shall be |
22 | qualified for appointment and designation as a law enforcement |
23 | officer if the employee: |
24 | (1) Has successfully completed a Federal or State law |
25 | enforcement training program determined by the Commissioner |
26 | of Pennsylvania State Police to be of sufficient scope and |
27 | duration to provide the participant with basic law |
28 | enforcement training. |
29 | (2) Has not been convicted of a felony or an offense |
30 | graded a serious misdemeanor, as defined by the act of |
|
1 | January 29, 2004 (P.L.4, No.2), known as the Confidence in |
2 | Law Enforcement Act. |
3 | (3) Has not been convicted of an offense in a |
4 | jurisdiction, state or country outside this Commonwealth in |
5 | accordance with the laws of that jurisdiction, state or |
6 | country and the offense is equivalent to an offense specified |
7 | in paragraph (2), regardless of its grading in that |
8 | jurisdiction, state or country. |
9 | (c) Continuing education.--With the assistance of the |
10 | Commissioner of Pennsylvania State Police, the commission shall |
11 | develop a program of ongoing law enforcement education for |
12 | investigative employees designated as law enforcement officers. |
13 | (d) Firearms.-- |
14 | (1) The commission shall develop regulations and |
15 | procedures for the use and possession of firearms by |
16 | investigative employees designated as law enforcement |
17 | officers, including the type of firearms permitted and the |
18 | circumstances under which an investigative employee would be |
19 | permitted to possess or use a firearm. |
20 | (2) No commission investigative employee may possess or |
21 | use a firearm in the course of the employee's commission |
22 | duties unless he holds a current valid certification in the |
23 | use and handling of firearms under one of the following: |
24 | (i) 53 Pa.C.S. Ch. 21 Subch. D (relating to |
25 | municipal police education and training). |
26 | (ii) The act of February 9, 1984 (P.L.3, No.2), |
27 | known as the Deputy Sheriffs' Education and Training Act. |
28 | (iii) Another firearms program determined by the |
29 | Commissioner of Pennsylvania State Police to be of |
30 | sufficient scope and duration as to provide the |
|
1 | participant with basic training in the use and handling |
2 | of firearms. |
3 | (e) Badge.--Every investigative employee of the commission |
4 | designated as a law enforcement officer shall possess a metallic |
5 | badge with the words "Public Integrity Commission Officer" |
6 | inscribed on it. |
7 | § 1102.6. Photo identification. |
8 | Regardless of whether or not they have been designated law |
9 | enforcement officers, individuals appointed as investigative |
10 | employees of the commission shall have photo identification |
11 | cards issued by the commission containing the following: |
12 | (1) A photo of the individual taken within the previous |
13 | 24 months. |
14 | (2) The name of the individual. |
15 | (3) The signature of the individual. |
16 | (4) The words "Public Integrity Commission." |
17 | (5) The date of issuance of the photo identification |
18 | card. |
19 | § 1102.7. Immunity of witnesses. |
20 | (a) General rule.--Notwithstanding 42 Pa.C.S. § 5947 |
21 | (relating to immunity of witnesses), immunity orders shall be |
22 | available under this section in proceedings before the |
23 | commission involving an investigation into public corruption. |
24 | (b) Request and issuance.--The commission may request an |
25 | immunity order from a judge of the court and that judge shall |
26 | issue the order when in the judgment of the commission the |
27 | following criteria are satisfied: |
28 | (1) The testimony or other information from a witness |
29 | may be necessary to the public interest. |
30 | (2) A witness has refused or is likely to refuse to |
|
1 | testify or provide other information on the basis of using |
2 | the privilege against self-incrimination. |
3 | (c) Order to testify.--Whenever a witness refuses to testify |
4 | or provide other information in a proceeding specified in |
5 | subsection (a) on the basis of the privilege against self- |
6 | incrimination and the person presiding at the proceeding |
7 | communicates to the witness an immunity order, the witness shall |
8 | not refuse to testify based on his privilege against self- |
9 | incrimination. |
10 | (d) Limitation on use.--No testimony or other information |
11 | compelled under an immunity order or information directly or |
12 | indirectly derived from the testimony or other information shall |
13 | be used against a witness in a criminal case except the |
14 | information may be used: |
15 | (1) in a prosecution under 18 Pa.C.S. § 4902 (relating |
16 | to perjury) or 4903 (relating to false swearing); |
17 | (2) in a contempt proceeding for failure to comply with |
18 | an immunity order; or |
19 | (3) as evidence in a proceeding where the witness is not |
20 | a criminal defendant where otherwise admissible. |
21 | (e) Civil contempt.--Persons failing to comply with an |
22 | immunity order may be adjudged in civil contempt and committed |
23 | to the county jail until complying with the order, provided that |
24 | the proceeding or the investigation or report involving a |
25 | proceeding where the refusal to comply with an immunity order |
26 | has been completed. Persons may purge themselves of contempt by |
27 | complying with the order before the commission notwithstanding |
28 | the completion of the investigation or report. |
29 | (f) Criminal contempt.--In addition to civil contempt as |
30 | provided in subsection (e), a person who fails to comply with an |
|
1 | immunity order shall be guilty of criminal contempt and upon |
2 | conviction be sentenced to pay a fine of not more than $5,000 or |
3 | to imprisonment for not more than one year, or both. |
4 | (g) Notice, consultation and opportunity to object.--Prior |
5 | to seeking an immunity order, the commission shall require its |
6 | chief counsel to consult with the district attorney of an |
7 | affected county, the Attorney General and the United States |
8 | Attorney of an affected district in order to prevent |
9 | interference with an ongoing investigation. The results of the |
10 | consultation shall be reported to the commission before an |
11 | immunity order is sought under this section. The commission |
12 | shall give notice to a district attorney of an affected county, |
13 | the Attorney General or the United States Attorney of an |
14 | affected district of a request for an immunity order to be |
15 | submitted to a judge of the court. The foregoing officers may |
16 | appear as a party and request a reasonable delay or denial of |
17 | the grant of immunity if an immediate grant would jeopardize an |
18 | investigation or prosecution. In a proceeding under this |
19 | section, the judge may delay or deny the request for immunity if |
20 | the judge determines, in the exercise of judicial discretion, |
21 | that an immunity order will jeopardize an actual or pending |
22 | investigation or prosecution. |
23 | § 1102.8. Enforcement of subpoenas. |
24 | (a) Application.--Upon the failure of a person subpoenaed |
25 | under section 1102.4(3) (relating to powers and duties of |
26 | commission) to obey the command of the subpoena or to be sworn |
27 | or affirmed or to testify, an application may be made to the |
28 | court for the enforcement of the subpoena. |
29 | (b) Contempt.--If a person who has been ordered by the court |
30 | to comply with a subpoena issued under section 1102.4(3) fails |
|
1 | to obey the command of the order, an application may be made to |
2 | the court for the person to be brought before the court |
3 | authorized to proceed against the person for civil contempt of |
4 | court. |
5 | Section 4. Sections 1103 and 1104 of Title 65 are amended to |
6 | read: |
7 | § 1103. Restricted activities. |
8 | (a) Conflict of interest.--No public official or public |
9 | employee shall engage in conduct that constitutes a conflict of |
10 | interest. |
11 | (b) Seeking improper influence.--No person shall offer or |
12 | give to a public official, public employee or nominee or |
13 | candidate for public office or a member of his or her immediate |
14 | family or a business with which [he] the public official, public |
15 | employee or nominee or candidate for public office is associated |
16 | anything of monetary value, including a gift, loan, political |
17 | contribution, reward or promise of future employment based on |
18 | the offeror's or donor's understanding that the vote, official |
19 | action or judgment of the public official or public employee or |
20 | nominee or candidate for public office would be influenced |
21 | thereby. |
22 | (c) Accepting improper influence.--No public official, |
23 | public employee or nominee or candidate for public office shall |
24 | solicit or accept anything of monetary value, including a gift, |
25 | loan, political contribution, reward or promise of future |
26 | employment, based on any understanding of that public official, |
27 | public employee or nominee that the vote, official action or |
28 | judgment of the public official or public employee or nominee or |
29 | candidate for public office would be influenced thereby. |
30 | (d) Honorarium.--No public official or public employee shall |
|
1 | accept an honorarium. |
2 | (e) Contingent and severance payments.-- |
3 | (1) No person shall solicit or accept a severance |
4 | payment or anything of monetary value contingent upon the |
5 | assumption or acceptance of public office or employment. |
6 | (2) This subsection shall not prohibit: |
7 | (i) Payments received pursuant to an employment |
8 | agreement in existence prior to the time a person becomes |
9 | a candidate or is notified by a member of a transition |
10 | team, a search committee or a person with appointive |
11 | power that [he] the person is under consideration for |
12 | public office or makes application for public employment. |
13 | (ii) Receipt of a salary, fees, severance payment or |
14 | proceeds resulting from the sale of a person's interest |
15 | in a corporation, professional corporation, partnership |
16 | or other entity resulting from termination or withdrawal |
17 | therefrom upon the assumption or acceptance of public |
18 | office or employment. |
19 | (3) Payments made or received pursuant to paragraph (2) |
20 | (i) and (ii) shall not be based on the agreement, written or |
21 | otherwise, that the vote or official action of the |
22 | prospective public official or employee would be influenced |
23 | thereby. |
24 | (f) Contract.--No public official or public employee or |
25 | [his] spouse or child of the public official or public employee |
26 | or any business in which the person [or his], spouse or child is |
27 | associated shall enter into any contract valued at $500 or more |
28 | with the governmental body with which the public official or |
29 | public employee is associated or any subcontract valued at $500 |
30 | or more with any person who has been awarded a contract with the |
|
1 | governmental body with which the public official or public |
2 | employee is associated unless the contract has been awarded |
3 | through an open and public process, including prior public |
4 | notice and subsequent public disclosure of all proposals |
5 | considered and contracts awarded. In such a case, the public |
6 | official or public employee shall not have any supervisory or |
7 | overall responsibility for the implementation or administration |
8 | of the contract. Any contract or subcontract made in violation |
9 | of this subsection shall be voidable by a court of competent |
10 | jurisdiction if the suit is commenced within 90 days of the |
11 | making of the contract or subcontract. |
12 | (g) Former official or employee.--No former public official |
13 | or public employee shall represent a person, with promised or |
14 | actual compensation, on any matter before the governmental body |
15 | with which [he] the former public official or public employee |
16 | has been associated for one year after [he] the former public |
17 | official or public employee leaves that body. |
18 | (h) Misuse of statement of financial interest.--No person |
19 | shall use for any commercial purpose information copied from |
20 | statements of financial interests required by this chapter or |
21 | from lists compiled from such statements. |
22 | (i) Former executive-level employee.--No former executive- |
23 | level State employee may for a period of two years from the time |
24 | that [he] the executive-level State employee terminates |
25 | employment with this Commonwealth be employed by, receive |
26 | compensation from, assist or act in a representative capacity |
27 | for a business or corporation that [he] the former executive- |
28 | level State employee actively participated in recruiting to this |
29 | Commonwealth or that [he] the former executive-level State |
30 | employee actively participated in inducing to open a new plant, |
|
1 | facility or branch in this Commonwealth or that he actively |
2 | participated in inducing to expand an existent plant or facility |
3 | within this Commonwealth, provided that the above prohibition |
4 | shall be invoked only when the recruitment or inducement is |
5 | accomplished by a grant or loan of money or a promise of a grant |
6 | or loan of money from the Commonwealth to the business or |
7 | corporation recruited or induced to expand. |
8 | (j) Voting conflict.--Where voting conflicts are not |
9 | otherwise addressed by the Constitution of Pennsylvania or by |
10 | any law, rule, regulation, order or ordinance, the following |
11 | procedure shall be employed. Any public official or public |
12 | employee who in the discharge of [his] official duties would be |
13 | required to vote on a matter that would result in a conflict of |
14 | interest shall abstain from voting and, prior to the vote being |
15 | taken, publicly announce and disclose the nature of [his] the |
16 | interest as a public record in a written memorandum filed with |
17 | the person responsible for recording the minutes of the meeting |
18 | at which the vote is taken, provided that whenever a governing |
19 | body would be unable to take any action on a matter before it |
20 | because the number of members of the body required to abstain |
21 | from voting under the provisions of this section makes the |
22 | majority or other legally required vote of approval |
23 | unattainable, then such members shall be permitted to vote if |
24 | disclosures are made as otherwise provided herein. In the case |
25 | of a three-member governing body of a political subdivision, |
26 | where one member has abstained from voting as a result of a |
27 | conflict of interest and the remaining two members of the |
28 | governing body have cast opposing votes, the member who has |
29 | abstained shall be permitted to vote to break the tie vote if |
30 | disclosure is made as otherwise provided herein. |
|
1 | § 1104. Statement of financial interests required to be filed. |
2 | (a) Public official or public employee.--Each public |
3 | official of the Commonwealth shall file a statement of financial |
4 | interests for the preceding calendar year with the commission no |
5 | later than May 1 of each year that [he] the public official |
6 | holds such a position and of the year after [he leaves such a] |
7 | leaving the position. Each public employee and public official |
8 | of the Commonwealth shall file a statement of financial |
9 | interests for the preceding calendar year with the department, |
10 | agency, body or bureau [in which he] where the public employee |
11 | is employed or to which [he] the public official is appointed or |
12 | elected no later than May 1 of each year that [he holds such a |
13 | position] the position is held by the public official or public |
14 | employee and of the year after [he leaves such a] leaving the |
15 | position. Any other public employee or public official shall |
16 | file a statement of financial interests with the governing |
17 | authority of the political subdivision [by which he is] where |
18 | employed [or within which he is], appointed or elected no later |
19 | than May 1 of each year [that he holds such a] when holding the |
20 | position and of the year after [he leaves such a] leaving the |
21 | position. Persons who are full-time or part-time solicitors for |
22 | political subdivisions are required to file under this section. |
23 | (b) Candidate.-- |
24 | (1) Any candidate for a State-level public office shall |
25 | file a statement of financial interests for the preceding |
26 | calendar year with the commission on or before the last day |
27 | for filing a petition to appear on the ballot for election. A |
28 | copy of the statement of financial interests shall also be |
29 | appended to such petition. |
30 | (2) Any candidate for county-level or local office shall |
|
1 | file a statement of financial interests for the preceding |
2 | calendar year with the governing authority of the political |
3 | subdivision in which [he is a candidate] the candidate is |
4 | running on or before the last day for filing a petition to |
5 | appear on the ballot for election. A copy of the statement of |
6 | financial interests shall also be appended to such petition. |
7 | (3) No petition to appear on the ballot for election |
8 | shall be accepted by the respective State or local election |
9 | officials unless the petition has appended thereto a |
10 | statement of financial interests as set forth in paragraphs |
11 | (1) and (2). Failure to file the statement in accordance with |
12 | the provisions of this chapter shall, in addition to any |
13 | other penalties provided, be a fatal defect to a petition to |
14 | appear on the ballot. |
15 | (c) Nominee.--Each State-level nominee for public office |
16 | shall file a statement of financial interests for the preceding |
17 | calendar year with the commission and with the official or body |
18 | that is vested with the power of confirmation at least ten days |
19 | before the official or body shall approve or reject the |
20 | nomination. Each nominee for a county-level or local office |
21 | shall file a statement of financial interests for the preceding |
22 | calendar year with the governing authority of the political |
23 | subdivision in which he or she is a nominee and, if different, |
24 | with the official or body that is vested with the power of |
25 | confirmation at least ten days before the official or body shall |
26 | approve or reject the nomination. |
27 | (d) Failure to file required statement.--No public official |
28 | shall be allowed to take the oath of office or enter or continue |
29 | upon [his duties] the duties of the office, nor shall [he] the |
30 | public official receive compensation from public funds, unless |
|
1 | [he] the public official has filed a statement of financial |
2 | interests as required by this chapter. |
3 | (e) Public inspection and copying.--All statements of |
4 | financial interests filed pursuant to the provisions of this |
5 | chapter shall be made available for public inspection and |
6 | copying during regular office hours, and copying facilities |
7 | shall be made available at a charge not to exceed actual cost. |
8 | Section 5. Sections 1106 and 1107 of Title 65 are repealed: |
9 | [§ 1106. State Ethics Commission. |
10 | (a) Continuation of commission.--The State Ethics Commission |
11 | established under the act of October 4, 1978 (P.L.883, No.170), |
12 | referred to as the Public Official and Employee Ethics Law, is |
13 | continued and shall be composed of seven members. The President |
14 | pro tempore of the Senate, the Minority Leader of the Senate, |
15 | the Speaker of the House and the Minority Leader of the House |
16 | shall each appoint one member. Three members shall be appointed |
17 | by the Governor without confirmation. No more than two of the |
18 | members appointed by the Governor shall be of the same political |
19 | party. No appointee shall have served as an officer in a |
20 | political party for one year prior to his appointment. |
21 | (b) Term of service.--Members of the commission shall serve |
22 | for terms of three years, except that members shall continue to |
23 | serve until their successors are appointed and qualified. |
24 | (c) Maximum number of terms.--No member shall be appointed |
25 | to more than two full three-year terms on the commission. |
26 | (d) Prohibited activities.--No individual while a member or |
27 | employee of the commission shall: |
28 | (1) hold or campaign for any other public office; |
29 | (2) hold office in any political party or political |
30 | committee; |
|
1 | (3) actively participate in or contribute to any |
2 | political campaign; |
3 | (4) directly or indirectly attempt to influence any |
4 | decision by a governmental body other than a court of law or |
5 | as a representative of the commission on a matter within the |
6 | jurisdiction of the commission; or |
7 | (5) be employed by the Commonwealth or a political |
8 | subdivision in any other capacity, whether or not for |
9 | compensation. |
10 | (e) Vacancy.--A majority of the commission by resolution |
11 | shall declare vacant the position on the commission of any |
12 | member who takes part in activities prohibited by subsection |
13 | (d). An individual appointed to fill a vacancy occurring other |
14 | than by the expiration of a term of office shall be appointed |
15 | for the unexpired term of the member he succeeds and is eligible |
16 | for appointment to two full three-year terms thereafter. Any |
17 | vacancy occurring on the commission shall be filled within 30 |
18 | days in the manner in which that position was originally filled. |
19 | (f) Election of chairman and vice chairman.--The commission |
20 | shall elect a chairman and a vice chairman. The vice chairman |
21 | shall act as chairman in the absence of the chairman or in the |
22 | event of a vacancy in that position. |
23 | (g) Quorum.--Four members of the commission shall constitute |
24 | a quorum, and, except as provided in section 1108(g) (relating |
25 | to investigations by commission), the votes of a majority of the |
26 | members present are required for any action or recommendation of |
27 | the commission. The chairman or any four members of the |
28 | commission may call a meeting provided that advance written |
29 | notice is mailed to each member and to any person who requests |
30 | notice of such meetings. |
|
1 | (h) Compensation.--Members of the commission shall be |
2 | compensated at a rate of $250 per day and shall receive |
3 | reimbursement for their actual and necessary expenses while |
4 | performing the business of the commission. |
5 | (i) Staff.--The commission shall employ an executive |
6 | director, a chief counsel and such other staff as are necessary |
7 | to carry out its duties pursuant to this chapter. The executive |
8 | director shall be responsible for the administrative operations |
9 | of the commission and shall perform such other duties as may be |
10 | delegated or assigned to him by the commission, except that the |
11 | commission shall not delegate the making of regulations to the |
12 | executive director. The chief counsel shall be the chief legal |
13 | officer of the commission. The commission may obtain the |
14 | services of experts and consultants as necessary to carry out |
15 | its duties pursuant to this chapter. The State Treasurer and the |
16 | Attorney General shall make available to the commission such |
17 | personnel, facilities and other assistance as the commission may |
18 | request. |
19 | (j) Regulations.--The commission shall develop regulations |
20 | that provide for a code of conduct to govern the activities and |
21 | ethical standards of its members, which code shall subject the |
22 | members of the commission to no less than is required for public |
23 | officials or public employees under this chapter. |
24 | § 1107. Powers and duties of commission. |
25 | In addition to other powers and duties prescribed by law, the |
26 | commission shall: |
27 | (1) Prescribe and publish rules and regulations to carry |
28 | out the provisions of this chapter. |
29 | (2) Prescribe forms for statements and reports required |
30 | to be filed by this chapter and furnish such forms to persons |
|
1 | required to file such statements and reports. |
2 | (3) Prepare and publish guidelines setting forth |
3 | recommended uniform methods of accounting and reporting for |
4 | use by persons required to file statements and reports by |
5 | this chapter. |
6 | (4) Accept and file any information voluntarily supplied |
7 | that exceeds the requirements of this chapter. |
8 | (5) Inspect statements of financial interests which have |
9 | been filed in order to ascertain whether any reporting person |
10 | has failed to file such a statement or has filed a deficient |
11 | statement. If, upon inspection, it is determined that a |
12 | reporting person has failed to file a statement of financial |
13 | interests or that any statement which has been filed fails to |
14 | conform with the requirements of section 1105 (relating to |
15 | statement of financial interests), then the commission shall |
16 | in writing notify the person. Such notice shall state in |
17 | detail the deficiency and the penalties for failure to file |
18 | or for filing a deficient statement of financial interests. |
19 | (6) Provide that statements and reports filed with the |
20 | commission be made available for public inspection and |
21 | copying during regular office hours and provide that copying |
22 | facilities be made available at a charge not to exceed actual |
23 | cost and advise other State and local agencies of the |
24 | provisions of this paragraph. |
25 | (7) Compile and maintain an index of all reports and |
26 | statements filed with the commission to facilitate public |
27 | access to such reports and statements and instruct other |
28 | State and local agencies which receive and file financial |
29 | interest statements in the maintenance of systems which |
30 | facilitate public access to such statements. |
|
1 | (8) Prepare and publish annual summaries of statements |
2 | and reports filed with the commission. |
3 | (9) Preserve statements and reports filed with the |
4 | commission for a period of five years from date of receipt |
5 | and advise other State and local agencies which receive and |
6 | store financial interest statements to preserve such |
7 | statements for a period of five years from date of receipt. |
8 | (10) Issue to any person upon such person's request or |
9 | to the appointing authority or employer of that person upon |
10 | the request of such appointing authority or employer an |
11 | opinion with respect to such person's duties under this |
12 | chapter. The commission shall, within 14 days, either issue |
13 | the opinion or advise the person who made the request whether |
14 | an opinion will be issued. No person who acts in good faith |
15 | on an opinion issued to him by the commission shall be |
16 | subject to criminal or civil penalties for so acting, |
17 | provided that the material facts are as stated in the opinion |
18 | request. The commission's opinions shall be public records |
19 | and may from time to time be published. The person requesting |
20 | the opinion may, however, require that the opinion shall |
21 | contain such deletions and changes as shall be necessary to |
22 | protect the identity of the persons involved. |
23 | (11) Provide written advice to any person or the |
24 | appointing authority or employer of such person upon their |
25 | request with respect to such person's duties under this |
26 | chapter. Such advice shall be provided within 21 working days |
27 | of the request, provided that the time may be extended for |
28 | good cause. It shall be a complete defense in any enforcement |
29 | proceeding initiated by the commission and evidence of good |
30 | faith conduct in any other civil or criminal proceeding if |
|
1 | the requester, at least 21 working days prior to the alleged |
2 | violation, requested written advice from the commission in |
3 | good faith, disclosed truthfully all the material facts and |
4 | committed the acts complained of either in reliance on the |
5 | advice or because of the failure of the commission to provide |
6 | advice within 21 days of the request or such later extended |
7 | time. The person requesting the advice may, however, require |
8 | that the advice shall contain such deletions and changes as |
9 | shall be necessary to protect the identity of the persons |
10 | involved. |
11 | (12) Initiate an inquiry pursuant to section 1108(a) |
12 | (relating to investigations by commission) where a complaint |
13 | has not been filed but where there is a reasonable belief |
14 | that a conflict may exist. |
15 | (13) Issue findings, reports and orders relating to |
16 | investigations initiated pursuant to section 1108 which set |
17 | forth the alleged violation, findings of fact and conclusions |
18 | of law. An order may include recommendations to law |
19 | enforcement officials. Any order resulting from a finding |
20 | that a public official or public employee has obtained a |
21 | financial gain in violation of this chapter may require the |
22 | restitution plus interest of that gain to the appropriate |
23 | governmental body. The commission or the Office of Attorney |
24 | General shall have standing to apply to the Commonwealth |
25 | Court to seek enforcement of an order requiring such |
26 | restitution. This restitution requirement shall be in |
27 | addition to any other penalties provided for in this chapter. |
28 | (14) Hold hearings, take testimony, issue subpoenas and |
29 | compel the attendance of witnesses. |
30 | (15) Make recommendations to law enforcement officials |
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1 | either for criminal prosecution or dismissal of charges |
2 | arising out of violations of this chapter. |
3 | (16) Prepare and publish special reports, educational |
4 | materials and technical studies to further the purposes of |
5 | this chapter. |
6 | (17) Prepare and publish prior to June 1 of each year an |
7 | annual report summarizing the activities of the commission. |
8 | (18) Transmit, free of charge, copies of each order, |
9 | advice and opinion which has become a matter of public record |
10 | quarterly to the law library of each county, one public |
11 | library in each county, the State Library, the State Senate |
12 | Library, each authority appointing commission members under |
13 | this chapter, the Pennsylvania Association of County |
14 | Commissioners, the Pennsylvania Association of Boroughs, the |
15 | Pennsylvania State Association of Township Supervisors, the |
16 | Pennsylvania State Association of Township Commissioners, the |
17 | Pennsylvania School Boards Association and the Pennsylvania |
18 | League of Cities. |
19 | (19) Hold at least two public hearings each year, of |
20 | which at least one shall be held in Harrisburg and at least |
21 | one shall be held in a location other than Harrisburg, to |
22 | seek input from persons and organizations who represent any |
23 | individual subject to the provisions of this chapter and from |
24 | other interested parties.] |
25 | Section 6. Sections 1108 and 1109(c) and (f) of Title 65 are |
26 | amended to read: |
27 | § 1108. Investigations of violations of this chapter by |
28 | commission. |
29 | (a) Preliminary inquiry.--Upon a complaint signed under |
30 | penalty of perjury by any person or upon its own motion, the |
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1 | commission[, through its executive director,] shall conduct a |
2 | preliminary inquiry into any alleged violation of [this chapter] |
3 | section 1103 (relating to restricted activities), 1104 (relating |
4 | to statement of financial interests required to be filed), |
5 | 1105(a) (relating to statement of financial interests) or this |
6 | section. The commission shall keep information, records and |
7 | proceedings relating to a preliminary inquiry confidential. The |
8 | commission shall, however, have the authority to refer the case |
9 | [to law enforcement officials] for prosecution during a |
10 | preliminary inquiry or anytime thereafter without providing |
11 | notice to the subject of the inquiry. The commission shall |
12 | complete its preliminary inquiry within 60 days of its |
13 | initiation. |
14 | (b) Termination of preliminary inquiry.--If a preliminary |
15 | inquiry fails to establish reason to believe that [this chapter |
16 | has] section 1103, 1104, 1105(a) or this section has been |
17 | violated, the commission shall terminate the inquiry and so |
18 | notify the complainant and the person who had been the subject |
19 | of the inquiry. If the commission determines that a complaint is |
20 | frivolous, it shall so state. |
21 | (c) Initiation of investigation.--If a preliminary inquiry |
22 | establishes reason to believe that [this chapter has] section |
23 | 1103, 1104, 1105(a) or this section has been violated, the |
24 | commission may, through its executive director, initiate an |
25 | investigation to determine if there has been a violation. The |
26 | commission shall keep information, records and proceedings |
27 | relating to an investigation confidential until a final |
28 | determination is made, except as otherwise provided in |
29 | subsection (g). No investigation may be commenced until the |
30 | person who is the subject of the investigation has been notified |
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1 | and provided a general statement of the alleged violation or |
2 | violations of this chapter and other applicable statutes with |
3 | respect to such investigation. Service of notice is complete |
4 | upon mailing which shall be by certified or registered mail. The |
5 | commission shall notify the complainant within 72 hours of the |
6 | commencement of an investigation, and, thereafter, the |
7 | commission shall advise the complainant and the person who is |
8 | the subject of the investigation of the status of the |
9 | investigation at least every 90 days until the investigation is |
10 | terminated. The commission shall, within 180 days of the |
11 | initiation of an investigation, either terminate the |
12 | investigation pursuant to subsection (d) or issue a findings |
13 | report pursuant to subsection (e). Upon a showing by the |
14 | executive director of the need for extension of this period, the |
15 | commission may extend an investigation for up to two 90-day |
16 | periods, provided that each 90-day extension shall be approved |
17 | by a majority vote of members present. In no event shall a |
18 | findings report be issued later than 360 days after initiation |
19 | of an investigation. |
20 | (d) Termination of investigation.--If an investigation |
21 | conducted under this [chapter] section indicates that no |
22 | violation has been committed, the commission shall immediately |
23 | terminate the investigation and send written notice of such |
24 | determination to the complainant and the person who was the |
25 | subject of the investigation. |
26 | (e) Findings report.--The commission, upon the completion of |
27 | an investigation under this section, shall issue a findings |
28 | report to the subject of the investigation setting forth the |
29 | pertinent findings of fact. The subject shall have the right to |
30 | respond to said findings and to request an evidentiary hearing |
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1 | on said matter. The commission shall grant any request for a |
2 | hearing. Said hearing shall be held in Harrisburg or, at the |
3 | request of the subject, in either Philadelphia or Pittsburgh. |
4 | Any response to the findings report must either admit or deny by |
5 | corresponding number and letter the pertinent facts set forth. |
6 | The subject of the investigation shall have access to any |
7 | evidence intended to be used by the commission at the hearing |
8 | and any exculpatory evidence developed by the commission in the |
9 | course of its investigation. Matters not specifically denied in |
10 | the response shall be deemed admitted. The response must be |
11 | filed within 30 days of the issuance of the findings report |
12 | unless the time period is extended by the commission for good |
13 | cause shown. Hearings conducted upon request shall be instituted |
14 | within 45 days after the filing of the response. |
15 | (f) Final order.--Within 30 days of the receipt by the |
16 | commission of the hearing record or, if no hearing is to be |
17 | held, within 30 days of the receipt by the commission of the |
18 | response to the findings report, the commission shall issue an |
19 | order which shall be final. Upon receipt of a final order, the |
20 | subject shall have the right to file a petition for |
21 | reconsideration in accordance with the regulations of the |
22 | commission. |
23 | (g) Procedure for hearing.--Hearings conducted pursuant to |
24 | this section concerning an allegation that section 1103, 1104, |
25 | 1105(a) or this section has been violated shall be closed to the |
26 | public unless the subject requests an open hearing. Any person |
27 | who appears before the commission shall have all of the due |
28 | process rights, privileges and responsibilities of a party or |
29 | witness appearing before an administrative agency of this |
30 | Commonwealth. All witnesses summoned for such hearings shall |
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1 | receive reimbursement for reasonable expenses in accordance with |
2 | 42 Pa.C.S. § 5903 (relating to compensation and expenses of |
3 | witnesses). At the conclusion of a hearing concerning an alleged |
4 | violation and in a timely manner, the commission shall |
5 | deliberate on the evidence and determine whether there has been |
6 | a violation of [this chapter] section 1103, 1104, 1105(a) or |
7 | this section. At least four members of the commission present at |
8 | a meeting must find a violation by clear and convincing proof. |
9 | The names of the members finding a violation and the names of |
10 | those dissenting and abstaining shall be listed in the order. |
11 | The determination of the commission, in the form of a final |
12 | order and findings of fact, shall be a matter of public record. |
13 | (h) Availability of final orders, files and records.--Orders |
14 | which become final in accordance with the provisions of this |
15 | section shall be available as public documents, but the files |
16 | and records of the commission relating to the case shall remain |
17 | confidential. |
18 | (i) Appeal.--Any person aggrieved by an opinion or order |
19 | which becomes final in accordance with the provisions of this |
20 | [chapter] section who has direct interest in such opinion or |
21 | order shall have the right to appeal therefrom in accordance |
22 | with law and general rules. |
23 | (j) Retaliation prohibited.--No public official or public |
24 | employee shall discharge any official or employee or change his |
25 | official rank, grade or compensation or deny him a promotion or |
26 | threaten to do so for filing a complaint with or providing |
27 | information to the commission or testifying in any commission |
28 | proceeding. No member of the commission and no employee of the |
29 | commission shall discharge any employee of the commission or |
30 | change his official rank, grade or compensation or threaten to |
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1 | do so for providing any information about the internal |
2 | operations of the commission, not required by law to be kept |
3 | secret, to any legislator or legislative staff member or |
4 | testifying in any legislative proceeding. |
5 | (k) Confidentiality.--As a general rule, no person shall |
6 | disclose or acknowledge to any other person any information |
7 | relating to a complaint, preliminary inquiry, investigation, |
8 | hearing or petition for reconsideration which is before the |
9 | commission. However, a person may disclose or acknowledge to |
10 | another person matters held confidential in accordance with this |
11 | subsection when the matters pertain to any of the following: |
12 | (1) final orders of the commission as provided in |
13 | subsection (h); |
14 | (2) hearings conducted in public pursuant to subsection |
15 | (g); |
16 | (3) for the purpose of seeking advice of legal counsel; |
17 | (4) filing an appeal from a commission order; |
18 | (5) communicating with the commission or its staff, in |
19 | the course of a preliminary inquiry, investigation, hearing |
20 | or petition for reconsideration by the commission; |
21 | (6) consulting with a law enforcement official or agency |
22 | for the purpose of initiating, participating in or responding |
23 | to an investigation or prosecution by the law enforcement |
24 | official or agency; |
25 | (7) testifying under oath before a governmental body or |
26 | a similar body of the United States of America; |
27 | (8) any information, records or proceedings relating to |
28 | a complaint, preliminary inquiry, investigation, hearing or |
29 | petition for reconsideration which the person is the subject |
30 | of; or |
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1 | (9) such other exceptions as the commission by |
2 | regulation may direct. |
3 | (l) Frivolous complaints and wrongful disclosure.--If a |
4 | public official or public employee has reason to believe the |
5 | complaint for a violation of section 1103, 1104, 1105(a) or this |
6 | section is frivolous as defined by this chapter, or without |
7 | probable cause and made primarily for a purpose other than that |
8 | of reporting a violation of this chapter, or a person publicly |
9 | disclosed or caused to be disclosed that a complaint against the |
10 | public official or public employee has been filed with the |
11 | commission, the public official or public employee shall notify |
12 | the commission and the commission, through its executive |
13 | director, shall conduct an investigation. |
14 | (m) Limitation of time.--The commission may conduct an |
15 | investigation under this section within five years after the |
16 | alleged occurrence of any violation of this chapter. |
17 | § 1109. Penalties. |
18 | * * * |
19 | (c) Treble damages.--Any person who obtains financial gain |
20 | from violating any provision of [this chapter] section 1103 |
21 | (relating to restricted activities), 1104 (relating to statement |
22 | of financial interests required to be filed), 1105(a) (relating |
23 | to statement of financial interests) or 1108 (relating to |
24 | investigations of violations of this chapter by commission), in |
25 | addition to any other penalty provided by law, shall pay a sum |
26 | of money equal to three times the amount of the financial gain |
27 | resulting from such violation into the State Treasury or the |
28 | treasury of the political subdivision. Treble damages shall not |
29 | be assessed against a person who acted in good faith reliance on |
30 | the advice of legal counsel. |
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1 | * * * |
2 | (f) Civil penalty.--In addition to any other civil remedy or |
3 | criminal penalty provided for in this chapter, the commission |
4 | may, after notice has been served in accordance with section |
5 | [1107(5)] 1102.4(9) (relating to powers and duties of |
6 | commission) and upon a majority vote of its members, levy a |
7 | civil penalty upon any person subject to this chapter who fails |
8 | to file a statement of financial interests in a timely manner or |
9 | who files a deficient statement of financial interests, at a |
10 | rate of not more than $25 for each day such statement remains |
11 | delinquent or deficient. The maximum penalty payable under this |
12 | paragraph is $250. |
13 | * * * |
14 | Section 7. Title 65 is amended by adding a section to read: |
15 | § 1109.1. Costs, restitution and forfeiture. |
16 | The commission shall be entitled to an equitable share, as |
17 | determined by the court, of: |
18 | (1) Assets seized or forfeited as a result, in whole or |
19 | part, of an investigation by the commission. |
20 | (2) Award of costs of prosecution or other fees or costs |
21 | awarded as a result of a conviction for any criminal offense |
22 | based, in whole or part, on an investigation by the |
23 | commission. |
24 | Section 8. Section 1110 of Title 65 is amended to read: |
25 | § 1110. Wrongful use of chapter. |
26 | (a) Liability.--A person who signs a complaint alleging a |
27 | violation of [this chapter] section 1103 (relating to restricted |
28 | activities), 1104 (relating to statement of financial interests |
29 | required to be filed), 1105(a) (relating to statement of |
30 | financial interests) or 1108 (relating to investigations of |
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1 | violations of this chapter by commission) against another is |
2 | subject to liability for wrongful use of this chapter if: |
3 | (1) the complaint was frivolous, as defined by this |
4 | chapter, or without probable cause and made primarily for a |
5 | purpose other than that of reporting a violation of this |
6 | chapter; or |
7 | (2) he publicly disclosed or caused to be disclosed that |
8 | a complaint against a person had been filed with the |
9 | commission. |
10 | (b) Probable cause.--A person who signs a complaint alleging |
11 | a violation of [this chapter] section 1103, 1104, 1105(a) or |
12 | 1108 has probable cause for doing so if he reasonably believes |
13 | in the existence of the facts upon which the claim is based and |
14 | either: |
15 | (1) reasonably believes that under those facts the |
16 | complaint may be valid under this chapter; or |
17 | (2) believes to this effect in reliance upon the advice |
18 | of counsel, sought in good faith and given after full |
19 | disclosure of all relevant facts within his knowledge and |
20 | information. |
21 | (c) Commission procedures.--When the commission determines |
22 | that a complainant has violated the provisions set forth in |
23 | subsection (a), the commission, upon receiving a written request |
24 | from the subject of the complaint, shall provide the name and |
25 | address of the complainant to said subject. If the commission |
26 | determines that a complainant has not violated the provisions of |
27 | subsection (a), the commission shall notify the subject |
28 | accordingly. The subject shall have the right to appeal the |
29 | commission's determination, and the commission shall schedule an |
30 | appeal hearing. The subject shall show cause why the complainant |
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1 | violated the provisions of this section. If the commission |
2 | grants the appeal, the commission shall immediately release the |
3 | complainant's name and address to the subject. If the commission |
4 | denies the appeal, it shall present evidence why the |
5 | complainant's name and address shall not be released. |
6 | (d) Damages.--When the essential elements of an action |
7 | brought pursuant to this section have been established, the |
8 | plaintiff is entitled to recover for the following: |
9 | (1) The harm to his reputation by a defamatory matter |
10 | alleged as the basis of the proceeding. |
11 | (2) The expenses, including any reasonable attorney |
12 | fees, that he has reasonably incurred in proceedings before |
13 | the commission. |
14 | (3) Any specific pecuniary loss that has resulted from |
15 | the proceedings. |
16 | (4) Any emotional distress that has been caused by the |
17 | proceedings. |
18 | (5) Any punitive damages according to law in appropriate |
19 | cases. |
20 | Section 9. Title 65 is amended by adding sections to read: |
21 | § 1110.1. Disclosure of executive session testimony and |
22 | investigative records. |
23 | No testimony taken in executive session, a part thereof, or a |
24 | summary thereof and no investigative record, a part thereof, or |
25 | a summary thereof, may be released or disclosed to a person |
26 | either orally or in writing by a commissioner or employee of the |
27 | commission without the authorization of the commission. |
28 | § 1110.2. Privileged statements and reports. |
29 | A statement or disclosure of information made by a |
30 | commissioner or an employee of the commission during the course |
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1 | of a hearing or official proceeding and a report issued by the |
2 | commission before the General Assembly or to another law |
3 | enforcement agency shall be absolutely privileged. The privilege |
4 | shall be an absolute defense to an action for invasion of |
5 | privacy, defamation or other civil or criminal action. |
6 | § 1110.3. Commission disclosure of economic interests. |
7 | (a) Disclosure statement.--As of the date of appointment to |
8 | the commission and on or before March 15 of each following year, |
9 | each commissioner shall file with the Governor, the Secretary of |
10 | the Senate and the Chief Clerk of the House of Representatives |
11 | for the preceding calendar year a sworn statement of economic |
12 | interests. The economic interests statement shall contain the |
13 | information required under subsection (e). Once the economic |
14 | interests statement has been filed under this chapter, the |
15 | statement shall be updated annually by filing a supplemental |
16 | statement. The economic interests of a spouse or child of a |
17 | commissioner who is under 18 years of age shall be deemed an |
18 | economic interest of a commissioner. |
19 | (b) Record.--The Governor, the Secretary of the Senate and |
20 | the Chief Clerk of the House of Representatives shall maintain |
21 | the economic interests statements filed by commissioners as |
22 | public records which shall be open for public examination and |
23 | copying, at cost, at all reasonable times. The economic |
24 | interests statements shall remain on file for five years from |
25 | the initial date of filing. |
26 | (c) Requirements.--The commission shall promulgate |
27 | regulations to be published in the Pennsylvania Bulletin |
28 | regarding economic disclosure requirements for employees of the |
29 | commission. |
30 | (d) Penalties.--In addition to other penalties imposed by |
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1 | law for false swearing, neglect or refusal of a commissioner or |
2 | employee to file a complete and accurate economic interests |
3 | statement under the requirements of this section or the willful |
4 | filing of an inaccurate statement shall constitute misfeasance |
5 | in office in the case of commissioners and shall constitute |
6 | grounds for dismissal in the case of employees. |
7 | (e) Contents.--The sworn economic interests statement shall |
8 | contain: |
9 | (1) The identity of offices and directorships by name. |
10 | (2) An identifying description of real estate in this |
11 | Commonwealth in which the commissioner or a member of the |
12 | commissioner's household has an interest, direct or indirect, |
13 | including an option to buy, provided that a commissioner's |
14 | primary place of residence shall not be included. |
15 | (3) The name of each creditor to whom the commissioner |
16 | or a member of the commissioner's household owes money in |
17 | excess of $6,500, the category of the amount owed and the |
18 | interest rate, provided that loans or credit extended between |
19 | members of the immediate family and a mortgage upon the |
20 | commissioner's primary place of residence shall not be |
21 | included. |
22 | (4) The name of each business, insurance policy or trust |
23 | in which the commissioner or a member of the commissioner's |
24 | household has a financial interest and the nature and |
25 | category of the amount of the interest. |
26 | (5) The source, by name, and category of the amounts of |
27 | income in excess of $1,300, including capital gains, whether |
28 | or not taxable, received by the commissioner or a member of |
29 | the commissioner's household during the preceding year. |
30 | (6) A list of businesses with which a commissioner is |
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1 | associated that do business with or are regulated by the |
2 | Commonwealth and a description of the nature of the business |
3 | or regulation. |
4 | (7) A salary, fee, commission or other income, listed in |
5 | dollar amount or value, received by a commissioner from a |
6 | political subdivision of this Commonwealth or an agency of |
7 | the Commonwealth, other than the commission, including the |
8 | name of the political subdivision or agency or from an entity |
9 | which maintains a person required to be registered as a |
10 | lobbyist under any law requiring the registration. |
11 | (f) Amounts.--Where an amount is required to be reported by |
12 | category, the individual shall report whether the amount is less |
13 | than $5,000, at least $5,000 but less than $10,000, at least |
14 | $10,000 but less than $25,000 or $25,000 or more. An amount of |
15 | stock may be reported by number of shares instead of by category |
16 | of dollar value. |
17 | (g) Additional disclosure.--No provision of this chapter |
18 | shall be interpreted to prevent a person from filing more |
19 | information or more detailed information than required on an |
20 | economic interests statement. |
21 | § 1111.1. Applicable statutes. |
22 | The provisions of Chs. 7 (relating to open meetings) and 11 |
23 | (relating to ethics standards and financial disclosure) shall |
24 | apply to the commission except as otherwise provided in this |
25 | chapter. |
26 | Section 10. This act shall take effect in 60 days. |
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