reglab/statecodes huggingface dataset:
Pennsylvania Code › Title 49 - PROFESSIONAL AND VOCATIONAL STANDARDS › Part I - DEPARTMENT OF STATE › Subpart C - Secretary of the Commonwealth › Chapter 63 - RETURNED CHECK FEE-STATEMENT OF POLICY › Section 63.1 - Returned checks

Current through Register Vol. 54, No. 28, July 13, 2024
Unless otherwise indicated in statute or regulation, an
					 individual or entity that issues a check to the Department or any bureau,
					 commission or board under its jurisdiction that is not honored by the
					 institution on which it is drawn will be charged a $20 processing
					 fee.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 11 - GENERAL PROVISIONS › Section 11.2 - Construction

Current through Register Vol. 54, No. 28, July 13, 2024
Because public confidence in government can best be sustained
				  by assuring the people of the impartiality and honesty of public officials,
				  this title shall be liberally construed to promote complete financial
				  disclosure as specified in the act.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 13 - OPINIONS AND ADVICES OF COUNSEL › Section 13.1 - General provisions

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				advice or an opinion may be requested by a public official or public employee
				as to his own conduct or by the authorized representative of the person, his
				present employer, or appointing authority of the person through majority action
				of the appointing authority, if applicable.
(b) The requester shall provide the following
				information in writing:
(1) The name, address
				and phone number of the person who is the subject of the request and if
				different, the name, address and phone number of the person initiating the
				request.
(2) The name of the
				governmental body with which the subject serves and the name or title of the
				person's public office or position.
(3) If the requester is the appointing
				authority, employer or representative of the subject of the request, the nature
				of the relationship.
(4) The nature
				and duties of the subject's office or job. Include an organization chart,
				bylaws of the organization, if available, and a job description.
(5) List the relevant facts and circumstances
				surrounding the request.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 13 - OPINIONS AND ADVICES OF COUNSEL › Section 13.2 - Advice of counsel

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Advice of
				counsel will be based exclusively on one or more of the following authorities:
(1) Prior Commission opinions.
(2) The act.
(3) This title.
(4) Court opinions interpreting the
				act.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 13 - OPINIONS AND ADVICES OF COUNSEL › Section 13.3 - Opinions

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Opinions
				shall be issued under the provisions of
				65 Pa.C.S. §
										1107(10) (relating to powers
				and duties of commission).
(b)
				Requests for Commission opinions will be considered in accordance with the
				procedures outlined in §§ 23.1-23.6.
(c) A party may request that the Commission
				reconsider an opinion in accordance with
				21.29 (relating to finality;
				reconsideration). The request shall be filed within 30 days of the service of
				the opinion and contain a detailed explanation of the reasons in support of the
				request.
(d) Reconsideration may be
				granted in the discretion of the Commission under § 21.29(e).
(e) A person who acts in good faith on an
				opinion issued to him by the Commission will not be subject to criminal or
				civil penalties for so acting, if the material facts are as stated in the
				opinion request.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 13 - OPINIONS AND ADVICES OF COUNSEL › Section 13.4 - Intervention

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A person who is
				not a party in an advice or opinion request or reconsideration thereof, may
				file a petition to intervene if the person has an interest. One or more of the
				following criteria will be utilized to determine whether a person has an
				interest:
(1) A right conferred by Federal or
				State law.
(2) An interest which
				may be affected and which is not adequately represented.
(3) An issue of public importance.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 13 - OPINIONS AND ADVICES OF COUNSEL › Section 13.5 - Public access

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Subject to
				13.1(h) and (i)
				(relating to general provisions), the Commission's advisories, letters
				requesting advisories, files and information submitted to the Commission
				relating to a request are public records and will be available for public
				inspection and reproduction during normal business hours.
(b) The Commission will 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 act, the County Commissioners
				Association of Pennsylvania, the Pennsylvania State 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 and Municipalities.
(c) The Commission may charge a fee for
				additional copies at a rate not to exceed actual cost.
(d) A digest and index of Commission opinions
				may be published and disseminated annually.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 15 - STATEMENTS OF FINANCIAL INTERESTS, APPLICABILITY › Section 15.1 - Federal officials, employees and candidates

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Federal officials, employees and
				candidates are not required to file the Statement of Financial Interests with
				regard to their Federal position.
(b) Federal officials, employees and
				candidates who serve with the Commonwealth or a political subdivision as part
				of an exchange or comparable program are required to file a Statement of
				Financial Interests.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 15 - STATEMENTS OF FINANCIAL INTERESTS, APPLICABILITY › Section 15.2 - Public officials and public employees

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Public officials and employees shall file
				a Statement of Financial Interests for the preceding calendar year by May 1 of
				each year during which they hold office or a position and by May 1 of the year
				after they leave the position.
(b)
				A public official may not take the oath of office, continue upon his duties or
				receive compensation for holding office unless a Statement of Financial
				Interests has been filed.
(c)
				Public officials in State level offices shall file with the Commission and as
				follows:
(1) Executive branch public
				officials, board and commission members shall file with the Governor's
				office.
(2) Legislative branch
				public officials shall file with either the Chief Clerk of the House of
				Representatives or the Secretary of the Senate, depending upon in which body
				the official serves.
(3)
				Independent agency public officials and other public officials shall file with
				their agency.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 15 - STATEMENTS OF FINANCIAL INTERESTS, APPLICABILITY › Section 15.3 - Candidates and nominees

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A
				candidate for State level public office shall file a Statement of Financial
				Interests with the Commission on or before the last day for filing a petition
				to appear on the ballot and a copy of the Statement shall be appended to the
				petition.
(b) A candidate for
				county or local level public office shall file a Statement of Financial
				Interests with the governing authority of the political subdivision wherein the
				candidate is seeking office on or before the last day for filing a petition to
				appear on the ballot and a copy of the Statement shall be appended to the
				petition.
(c) A candidate running
				for office as a substitute nominee shall file a Statement of Financial
				Interests on or before the last day for filing a substitute nomination
				certificate as follows:
(1) A nominee for
				State level office shall file the Statement with the Commission and a copy
				shall be appended to the substitute nomination certificate.
(2) A nominee for county or local level
				public office shall file the Statement with the governing authority of the
				political subdivision wherein the person is seeking office and a copy of the
				Statement shall be appended to the substitute nomination
				certificate.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.1 - General

Current through Register Vol. 54, No. 28, July 13, 2024
The person required to file shall list the following general
				  identification information:
(1) The
				full name and address of the public official, public employee or
				candidate.
(2)
				[Reserved].
(3) The position sought
				or held, and name of the governmental body associated with the position sought
				or held.
(4) An occupation or
				profession.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.2 - Real estate

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The person
				required to file shall list direct or indirect interests in real estate as
				follows:
(1) Real estate sold or leased to the
				Commonwealth or its agencies or political subdivisions.
(2) Real estate purchased or leased from the
				Commonwealth, or its agencies or political subdivisions.
(3) Real estate which is subject to
				condemnation proceedings by the Commonwealth or its agencies or political
				subdivisions.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.3 - Creditors

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Each creditor
				to whom is owed in excess of $6,500 or the amount as adjusted under
				65 Pa.C.S. §
										1105(d) (relating to
				statement of financial interests) and §
									19.5 (relating to reporting
				threshold adjustments) shall be reported.
(b) Mortgages, home equity loans or other
				loans secured by a primary or secondary residence of the person filing need not
				be reported.
(c) A joint obligation
				with other persons, for which the filer is responsible only for a proportional
				share that is less than the reporting threshold, is not required to be
				reported.
(d) The joint obligation
				of a husband and wife shall be reported if within the reporting
				threshold.
(e) An obligation within
				the reporting threshold for which a person acts as a guarantor for the person
				required to file shall be reported.
(f) Loans or credit between the person
				required to file and the person's spouse, parents, children, brothers or
				sisters are excluded.
(g) No dollar
				amounts are required.
(h) The
				interest rate for a reportable obligation shall be indicated.
(i) A reportable creditor shall be identified
				by name and address.
The provisions of this §
											17.3 amended under the Public
					 Official and Employee Ethics Act,
					 65 Pa.C.S. §§
												1105(b) and
					 1107(1).
This section cited in 51 Pa. Code §
											19.5 (relating to reporting
					 threshold adjustments).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.4 - Income

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The name and
				address of a direct or indirect source of income, including employers, in the
				aggregate of $1,300 or more or the amount as adjusted under
				65 Pa.C.S. §
										1105(d) (relating to
				statement of financial interests) and
				19.5 (relating to reporting
				threshold adjustments) shall be reported, unless the disclosure would require
				the divulgence of confidential information protected by statute or existing
				professional codes of ethics or common law privileges.
(b) Income from the securities of a
				particular business equaling or exceeding the reporting threshold, capital
				gains and dividends equaling or exceeding the reporting threshold shall be
				listed.
(c) If the income generated
				equals or exceeds the reporting threshold, mutual funds and other financial
				plans for individuals may be reported as a single source if the individual has
				no authority to buy or sell particular assets in the fund.
(d) An individual or an individual and a
				spouse who have an investment portfolio with a broker, other than a mutual
				fund, shall list individually the income from each asset to which subsection
				(b) applies if the asset may be bought and sold by the individual or by the
				individual and a spouse.
The provisions of this §
											17.4 amended under the Public
					 Official and Employee Ethics Act,
					 65 Pa.C.S. §§
												1105(b) and
					 1107(1).
This section cited in 51 Pa. Code §
											19.5 (relating to reporting
					 threshold adjustments).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.5 - Gifts

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The name and
				address of the source of a gift valued in the aggregate at $250 or more or the
				amount as adjusted under
				65 Pa.C.S. §
										1105(d) (relating to
				statement of financial interests) and
				19.5 (relating to reporting
				threshold adjustments) shall be reported.
(b) The amount of the gift as well as the
				circumstances surrounding it shall be reported.
(c) A gift from a spouse, parent, parent by
				marriage, sibling, child, grandchild, other family member or friend is not
				required to be reported when the circumstances surrounding the gift indicate
				the motivation for the action was a personal or family relationship.
(d) The term "friend," under this section,
				does not include a registered lobbyist or an employee of a registered
				lobbyist.
The provisions of this §
											17.5 amended under the Public
					 Official and Employee Ethics Act,
					 65 Pa.C.S. §§
												1105(b),
					 1107(1) and
					 1108(k)(9).
This section cited in 51 Pa. Code §
											19.5 (relating to reporting
					 threshold adjustments).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.6 - Expense reimbursement

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The
				name and address of the source and the amount of a payment for or reimbursement
				of actual expenses for transportation and lodging or hospitality received in
				connection with public office or employment where the actual expenses for
				transportation and lodging or hospitality exceed $650, or the amount as
				adjusted under
				65 Pa.C.S. §
										1105(d) (relating to
				statement of financial interests) and
				19.5 (relating to reporting
				threshold adjustments), in the course of a single occurrence shall be
				reported.
(b) This subsection does
				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.
(c) The
				reporting requirement shall be based upon the actual expense amount.
The provisions of this §
											17.6 amended under the Public
					 Official and Employee Ethics Act,
					 65 Pa.C.S. §§
												1105(b) and
					 1107(1).
This section cited in 51 Pa. Code §
											19.5 (relating to reporting
					 threshold adjustments)
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.7 - Office, directorship and employment

Current through Register Vol. 54, No. 28, July 13, 2024
A person required to file a Statement of Financial Interests
				  shall disclose the name and address of the business entity with which he is
				  associated and the position held, and whether the person required to disclose
				  is an officer, director, fiduciary or partner-limited or general.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.8 - Financial business interest

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A financial interest in a legal entity
				engaged in business for profit shall be reported. Financial interest means more
				than either 5% of the equity of the business, or 5% of the assets of the
				economic interest in indebtedness.
(b) A financial interest in a business and
				employment by the same business shall be listed in both categories of the
				Statements of Financial Interests.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.9 - Transferred business interests

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A financial interest in a business with
				which the reporting person is or has been associated during the preceding
				calendar year which has been transferred to a member of the person's immediate
				family; that is, a parent, spouse, child, brother or sister, shall be
				reported.
(b) Financial interests
				comprise more than 5% of the equity of the business or more than 5% of the
				assets of the economic interest in indebtedness.
(c) Transfer includes a conveyance whether or
				not written or otherwise recorded.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.10 - Reporting in multiple categories

Current through Register Vol. 54, No. 28, July 13, 2024
The required disclosure of information in one category does
				  not excuse the nondisclosure of that information in other categories when so
				  required. Therefore, the same information may be required in more than one
				  category.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 17 - STATEMENTS OF FINANCIAL INTERESTS, CONTENT › Section 17.11 - Application of lobbying disclosure regulations

Current through Register Vol. 54, No. 28, July 13, 2024
See, lobbying disclosure regulations, Chapters 31 and 35
				  (relating to general provisions; and reporting), as to the differentiation
				  between "gift" and "transportation and lodging or hospitality received in
				  connection with public office or employment" and the determination of the
				  amounts for reporting.
The provisions of this §
											17.11 issued under the Public
					 Official and Employee Ethics Act,
					 65 Pa.C.S. §§
												1105(b) and
					 1107(1).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 19 - STATEMENTS OF FINANCIAL INTERESTS, MISCELLANEOUS › Section 19.1 - Forms; filing

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A person
				required to file a Statement of Financial Interests shall file Form SEC-1, as
				published and revised by the Commission.
(b) The Statement of Financial Interests form
				is available at the Commission, the State Board of Elections, the County Board
				of Elections and other locations as conditions warrant.
(c) Additional sheets may be attached to the
				Statement of Financial Interests form if more space is required.
(d) A Statement of Financial Interests sent
				by a form of electronic transmission that has been approved by the Commission
				is considered to be filed on the date the Commission receives the electronic
				copy.
This section cited in 51 Pa. Code §
											11.1 (relating to
					 definitions).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 19 - STATEMENTS OF FINANCIAL INTERESTS, MISCELLANEOUS › Section 19.2 - Period covered

Current through Register Vol. 54, No. 28, July 13, 2024
The Statement of Financial Interests requires information for
				  the full calendar year immediately preceding the year in which the Statement of
				  Financial Interests is filed.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 19 - STATEMENTS OF FINANCIAL INTERESTS, MISCELLANEOUS › Section 19.3 - Late or deficient filings

Current through Register Vol. 54, No. 28, July 13, 2024
(a) If an audit
				or inspection determines that a required filing is deficient or that a required
				filing has not been made, the Commission will provide written notice to the
				individual required to file, detailing the deficiency and the penalties for
				deficient filing or failure to file.
(b) If a complaint is received alleging that
				a required filing is deficient or has not been made, the Commission may elect
				to proceed in the matter under this section rather than through the
				investigative procedures of Chapter 21 (relating to investigations).
(1) Upon election, the complainant will be
				notified of the decision as well as the final resolution of the
				matter.
(2) In determining whether
				to proceed under this section, the Commission may consider whether:
(i) The deficient filing or failure to file
				was intentional.
(ii) The filer had
				prior notice of the requirements of the act.
(iii) The filer has in the past complied with
				the act.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 19 - STATEMENTS OF FINANCIAL INTERESTS, MISCELLANEOUS › Section 19.4 - Availability of Statements of Financial Interests

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Statements of Financial Interests filed
				with the Commission under the act are available for public inspection and
				copying at a charge not to exceed actual cost at the office of the Commission
				in Harrisburg, Pennsylvania during the Commission's regular business
				hours.
(b) A governmental body
				required to maintain Statements of Financial Interests shall make them
				available for public inspection and copying during regular business
				hours.
(c) Statements of Financial
				Interests more than 1 year old will be made available for public inspection and
				copying within 2 working days after the request has been made for the
				Statements. The Statements shall be kept on file for 5 years after the
				Commission or governmental body receives the Statements.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 19 - STATEMENTS OF FINANCIAL INTERESTS, MISCELLANEOUS › Section 19.5 - Reporting threshold adjustments

Current through Register Vol. 54, No. 28, July 13, 2024
(a) On a biennial basis commencing in January
				1991, the Commission will review and may increase the threshold dollar amounts
				in §§ 17.3(a), 17.4(a), 17.5(a) and 17.6(a).
(b) The Commission will base the increases
				upon a review of the National Consumer Price Index as published by the United
				States Department of Labor or other relevant indices.
(c) The Commission may hold a hearing to
				receive testimony or information regarding the appropriate rate of
				increases.
(d) Upon final
				determination of the appropriate reporting increases, the Commission will
				publish a schedule of the increases in the
Pennsylvania
				Bulletin
in 2 successive months and take other action deemed necessary
				to disseminate the information.
(e)
				The effective date of threshold increases shall be delayed a sufficient period
				of time to allow publication of the information to afford affected individuals
				the opportunity to comply therewith and relevant Commission forms shall be
				revised accordingly.
This section cited in 51 Pa. Code §
											17.3 (relating to creditors); 51
					 Pa. Code §
											17.4 (relating to income); 51 Pa.
					 Code §
											17.5 (relating to gifts); 51 Pa.
					 Code §
											17.6 (relating to expense
					 reimbursement); and 51 Pa. Code §
											31.7 (relating to biennial review
					 of exemption threshold and reporting threshold).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › GENERAL › Section 21.1 - Complaints

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A complaint
				  alleging a violation of the act shall contain the name, position or office held
				  by the respondent and the basis of the complaint which would delineate the
				  facts and circumstances of the alleged violation.
(b) A complaint shall be sworn and signed by
				  the complainant.
(c) The identity
				  of the complainant will remain confidential unless there is a wrongful use of
				  the act.
(d) The Commission will
				  acknowledge, in writing, the receipt of the complaint.
(e) The Commission through its Executive
				  Director will review complaints and proceed only if the complaint:
(1) Contains sufficient
				  information.
(2) Is sworn and
				  signed.
(3) Is within the
				  Commission's jurisdiction.
(4)
				  Concerns an alleged violation of the act having a greater than de minimis
				  economic impact.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › GENERAL › Section 21.2 - Initiation of investigation by the Commission

Current through Register Vol. 54, No. 28, July 13, 2024
The Commission through its Executive Director may, on its
					 own motion, conduct a preliminary inquiry regarding an alleged violation of the
					 act.
This section cited in 51 Pa. Code §
												43.2 (relating to Commission
						proceedings under section 1307 of the act); 51 Pa. Code §
												43.5 (relating to investigative
						process for late or deficient filings); and 51 Pa. Code §
												63.2 (relating to Commission
						proceedings regarding prohibited activities under section 13A07 of the
						act).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › GENERAL › Section 21.3 - Preliminary inquiries

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A
				  preliminary inquiry will be terminated or opened as a full investigation within
				  60 days of the initiation thereof. A preliminary inquiry is considered
				  initiated at the time when it is officially docketed.
(b) The Commission will keep information,
				  records and proceedings relating to a preliminary inquiry confidential. The
				  Commission will, however, have the authority to refer the case to law
				  enforcement officials during a preliminary inquiry or any time thereafter
				  without providing notice to the subject of the inquiry.
(c) If, after preliminary inquiry, there is
				  reason to believe that the act has been violated, the Executive Director will
				  commence an investigation. An investigation will be considered commenced when
				  the respondent is notified under §
										21.5(b) (relating
				  to conduct of investigations).
(d)
				  The Commission, through its Executive Director, will close the preliminary
				  inquiry if:
(1) The occurrence giving rise to
				  the complaint is not within the purview of the act as having been committed and
				  completed prior to the act.
(2) The
				  occurrence giving rise to the complaint is clearly not within the purview of
				  the act.
(3) The respondent is not
				  a person subject to the act.
(4)
				  There is no reason to believe that the act has been violated.
(5) The violation complained of has a de
				  minimis economic impact.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › GENERAL › Section 21.4 - Frivolous complaints; complaints without probable cause, disclosure of complaints

Current through Register Vol. 54, No. 28, July 13, 2024
(a) If a
				  public official or public employee has reason to believe a complaint is
				  frivolous due to its having been filed in a grossly negligent manner without
				  basis in law or fact, or without probable cause and made primarily for a
				  purpose other than that of reporting a violation of the act, or that a person
				  has 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, will conduct an
				  investigation.
(b) These matters
				  will be processed by the Commission in accordance with Chapter 25 (relating to
				  wrongful use of the act).
This section cited in 51 Pa. Code §
												43.5 (relating to investigative
						process for late or deficient filings); and 51 Pa. Code §
												63.2 (relating to Commission
						proceedings regarding prohibited activities under section 13A07 of the
						act).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › GENERAL › Section 21.6 - Confidentiality

Current through Register Vol. 54, No. 28, July 13, 2024
(a) As a general
				  rule, a person may not disclose or acknowledge, to another 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 chapter or
				  65 Pa.C.S. §
											1108
				  (relating to investigations by commission), when the matters pertain to any of
				  the following:
(1) Final orders of the
				  Commission as provided in
				  65 Pa.C.S. §
												1108(h).
(2) Hearings conducted in public under
				  65 Pa.C.S. §
												1108(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) Information, records
				  or proceedings relating to a complaint, preliminary inquiry, investigation,
				  hearing or petition for reconsideration which the person is the subject
				  of.
(9) The publication or
				  broadcast of information legally obtained by the news media regarding a
				  confidential Commission proceeding.
(10) The divulgence by individuals who are
				  interviewees or witnesses as to confidential Commission proceedings regarding
				  information that was already in their possession or the disclosure of their own
				  statements.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.21 - General

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The
				  Commission will conduct hearings upon the request of a respondent. A respondent
				  shall request a hearing in his answer to the findings report or separately
				  within 30 days of the issuance of the findings report. Failure to request a
				  hearing within the time period will be deemed a waiver.
(1) The respondent may be granted an
				  extension for filing an answer upon application to the Chief Counsel and for
				  good cause shown. The Chief Counsel may grant an extension up to 30
				  days.
(2) Further requests shall be
				  made to the Chair 2 weeks prior to the extended deadline. The Chair may grant a
				  second extension if extraordinary circumstances are demonstrated in
				  writing.
(3) Extensions granted
				  will correspondingly advance other deadlines provided for in the act.
(4) A hearing will be held within 45 days
				  after the respondent's answer to the findings report unless the time is
				  extended upon application for good cause shown.
(5) A notice of hearing will be issued to the
				  respondent unless represented by counsel in which case to counsel within a
				  reasonable period of time prior thereto. The notice will advise of the date,
				  time and location of the hearing, and of the hearing rights, privileges,
				  process and procedures in this section.
(6) Hearings will be conducted in Harrisburg,
				  Pennsylvania. A request for a hearing in Philadelphia or Pittsburgh will be
				  granted, if filed with the Commission within 7 days after the notice of hearing
				  is mailed. Failure to request a hearing in those locations within the time
				  period will be deemed a waiver of the right.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.22 - Discovery

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The respondent
				  will be given access to evidence intended to be used by the Commission at the
				  hearing, as well as exculpatory evidence developed during the
				  investigation.
(b) Access to
				  evidence does not include the original complaint or the name of the
				  complainant, information which is otherwise privileged or information not
				  within subsection (a).
This section cited in 51 Pa. Code §
												25.4 (relating to appeal of
						determination); 51 Pa. Code §
												43.2 (relating to Commission
						proceedings under section 1307 of the act); 51 Pa. Code §
												43.5 (relating to investigative
						process for late or deficient filings); 51 Pa. Code §
												63.2 (relating to Commission
						proceedings regarding prohibited activities under section 13A07 of the act);
						and 51 Pa. Code §
												63.5 (relating to investigative
						process for late or deficient
						filings).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.23 - Scope of hearing

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Hearings may
				  be conducted as follows based upon the express agreement of the parties:
(1) Full evidentiary hearing.
(1.1) Limited hearing based on partially
				  stipulated facts.
(2) Oral argument
				  based on stipulated findings.
(3)
				  Submission on briefs.
(4)
				  [Reserved].
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.24 - Hearing officer

Current through Register Vol. 54, No. 28, July 13, 2024
(a) It is the
				  duty of the hearing officer and he has the power to do one or more of the
				  following:
(1) Schedule and conduct a hearing
				  as required to resolve the matter and to provide the parties with proper notice
				  of the hearing.
(2) Administer
				  oaths or affirmations to witnesses.
(3) Rule on motions, objections or other
				  matters arising during the hearing.
(4) Ensure that all parties have a full and
				  fair opportunity to be heard.
(5)
				  Ensure that a record of the proceedings is available for review by the
				  Commission.
(6) Advise witnesses
				  and parties to the hearing of the confidentiality requirements of the
				  act.
(7) Advise witnesses or the
				  respondents, when not represented by counsel, of their rights as
				  witnesses.
(8) Issue subpoenas upon
				  written request for the production of documents, records and persons needed for
				  the proceeding. The hearing officer will be provided with the name and
				  addresses of the persons and a description of the documents or records
				  involved, and will be satisfied that the documents, records or testimony are
				  relevant and are not protected by privilege.
(9) Arrange for the payment of witness fees
				  and mileage expenses or pay other related expenses as required by
				  law.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.25 - Conduct of the hearing

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The
				  formal rules of evidence will not apply to hearings. Relevant probative
				  evidence except properly objected-to hearsay will be admitted.
(b) Testimony shall be given under oath or
				  affirmation and witnesses shall be subject to cross-examination.
(c) The investigative staff of the Commission
				  will present its case followed by the case of the respondent.
(d) Each party may make an opening and
				  closing statement.
(e) Parties to
				  the proceeding will be afforded a full and fair opportunity to be heard and may
				  be represented by counsel.
(f) The
				  hearing will be closed to the public unless the respondent requests an open
				  hearing.
(g) Witnesses summoned for
				  hearings shall receive reimbursement for expenses under
				  42 Pa.C.S. §
											5903
				  (relating to compensation and expenses of witnesses).
(h) Subpoenas may be issued at the request of
				  the parties to the hearing on the approval of the Commission or hearing
				  officer. Information subpoenaed shall be relevant and not privileged.
(i) The hearing and papers, records and
				  disclosures therein will be confidential except for the contents of the final
				  order as provided in §
										21.29 (relating to finality;
				  reconsideration).
(j) If one or
				  more of the participants in a hearing become disrespectful, disorderly or
				  disruptive, the hearing officer may continue the hearing to allow the full
				  Commission to rule on the proper limitations or sanctions for the person whose
				  behavior does not conform to minimum standards required for an orderly
				  proceeding.
(k) Subsection (a)
				  supersedes 1 Pa. Code §
										35.161 (relating to form and
				  admissibility of evidence). Subsection (b) supersedes 1 Pa. Code §
										35.137 (relating to oral
				  examination). Subsection (c) supersedes 1 Pa. Code §
										35.125 (relating to order of
				  procedure).
This section cited in 51 Pa. Code §
												25.4 (relating to appeal of
						determination); 51 Pa. Code §
												43.2 (relating to Commission
						proceedings under section 1307 of the act); 51 Pa. Code §
												43.5 (relating to investigative
						process for late or deficient filings); 51 Pa. Code §
												63.2 (relating to Commission
						proceedings regarding prohibited activities under section 13A07 of the act);
						and 51 Pa. Code §
												63.5 (relating to investigative
						process for late or deficient
						filings).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.26 - Motions

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A motion
				  filed prior to the issuance of a notice of hearing will be submitted to the
				  Chair, Vice Chair or designated hearing officer who will rule on the matter
				  unless in the exercise of his discretion the motion should be submitted to the
				  Commission for a determination at the next scheduled executive session of the
				  Commission.
(b) A motion filed will
				  correspondingly advance other deadlines provided for in the act by an amount of
				  time equal to the period between the date of filing of the motion and the date
				  of disposition.
(c) A motion filed
				  immediately prior to or at hearing will be submitted to the hearing officer.
				  The hearing officer will rule on the motion except that which would involve a
				  final determination which will be deferred and submitted to the Commission as
				  part of the record for final disposition of the case.
(d) This section supersedes
				  35.177 (relating to scope and
				  contents of motions).
This section cited in 51 Pa. Code §
												25.4 (relating to appeal of
						determination); 51 Pa. Code §
												43.2 (relating to Commission
						proceedings under section 1307 of the act); 51 Pa. Code §
												43.5 (relating to investigative
						process for late or deficient filings); 51 Pa. Code §
												63.2 (relating to Commission
						proceedings regarding prohibited activities under section 13A07 of the act);
						and 51 Pa. Code §
												63.5 (relating to investigative
						process for late or deficient filings).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.27 - Briefs

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The hearing
				  officer or the parties may request that briefs, proposed findings of fact and
				  conclusions of law be presented. The hearing officer will establish a schedule
				  for the presentation of this material. The parties have the right to request a
				  schedule for the filing of briefs. Failure to comply with this schedule without
				  reasonable excuse, as determined by the hearing officer, shall operate as a
				  waiver of the opportunity to present this material.
(b) The hearing officer will provide the
				  specifications for briefs which will be in conformity with 1 Pa. Code Chapter
				  35 (relating to formal proceedings).
(c) Subsection (a) supersedes 1 Pa. Code
				  §
										35.191 (relating to proceedings in
				  which briefs are to be filed).
This section cited in 51 Pa. Code §
												25.4 (relating to appeal of
						determination); 51 Pa. Code §
												43.2 (relating to Commission
						proceedings under section 1307 of the act); 51 Pa. Code §
												43.4 (relating to noninvestigative
						process for late or deficient filings); 51 Pa. Code §
												43.5 (relating to investigative
						process for late or deficient filings); 51 Pa. Code §
												45.2 (relating to proceedings for
						imposing prohibition against lobbying); 51 Pa. Code §
												63.2 (relating to Commission
						proceedings regarding prohibited activities under section 13A07 of the act); 51
						Pa. Code §
												63.4 (relating to noninvestigative
						process for late or deficient filings); 51 Pa. Code §
												63.5 (relating to investigative
						process for late or deficient filings); and 51 Pa. Code §
												65.2 (relating to procedures for
						imposing prohibition against lobbying for economic
						consideration).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.28 - Decision

Current through Register Vol. 54, No. 28, July 13, 2024
At the conclusion of a hearing concerning an alleged
					 violation and in a timely manner, the Commission will deliberate on the
					 evidence to determine whether there has been a violation of the act.
(1) At least four members of the Commission
				  present at a meeting must find a violation of the act by clear and convincing
				  proof.
(2) The names of the members
				  finding a violation and the names of those dissenting and abstaining will be
				  listed in the order.
(3) The
				  determination of the Commission, in the form of a final order and findings of
				  fact, will be a matter of public record.
This section cited in 51 Pa. Code §
												23.2 (relating to quorum); 51 Pa.
						Code §
												25.4 (relating to appeal of
						determination); 51 Pa. Code §
												43.2 (relating to Commission
						proceedings under section 1307 of the act); 51 Pa. Code §
												43.5 (relating to investigative
						process for late or deficient filings); 51 Pa. Code §
												63.2 (relating to Commission
						proceedings regarding prohibited activities under section 13A07 of the act);
						and 51 Pa. Code §
												63.5 (relating to investigative
						process for late or deficient
						filings).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.29 - Finality; reconsideration

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				  order disposing of an investigation will be a final order when issued. Public
				  release of the order will occur 30 days after the date of issuance, unless
				  reconsideration is requested within that 30-day time period.
(b) A party may ask the Commission to
				  reconsider an order or opinion within 30 days of service of the order or
				  opinion. The requester shall present a detailed explanation setting forth the
				  reason why the order or opinion should be reconsidered.
(c) A request for reconsideration filed with
				  the Commission will delay the public release of an order, but will not suspend
				  the final order unless reconsideration is granted by the Commission.
(d) A request for reconsideration may include
				  a request for a hearing before the Commission.
(e) Reconsideration may be granted at the
				  discretion of the Commission if:
(1) A
				  material error of law has been made.
(2) A material error of fact has been
				  made.
(3) New facts or evidence are
				  provided which would lead to reversal or modification of the order or opinion
				  and if these could not be or were not discovered by the exercise of due
				  diligence.
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 21 - INVESTIGATIONS › HEARINGS › Section 21.30 - Effect of order

Current through Register Vol. 54, No. 28, July 13, 2024
In addition to deciding the case before it, the Commission
					 may take one or more of the following actions, if appropriate. The Commission
					 may:
(1) Order the respondent to make
				  restitution or impose a monetary penalty in accordance with the act.
(2) Order the respondent to cease and desist
				  from engaging in a particular activity deemed to be in contravention of the
				  act.
(3) Order the respondent to
				  take specified action to bring himself in compliance with the act.
(4) Refer the matter for review or with a
				  specific recommendation for action to law enforcement, regulatory or other
				  authorities with jurisdiction over the matters.
(5) Institute restitution order enforcement
				  proceedings through the Office of Attorney General or the Commission's legal
				  staff.
This section cited in 51 Pa. Code §
												43.2 (relating to Commission
						proceedings under section 1307 of the act); 51 Pa. Code §
												43.5 (relating to investigative
						process for late or deficient filings); 51 Pa. Code §
												63.2 (relating to Commission
						proceedings regarding prohibited activities under section 13A07 of the act);
						and 51 Pa. Code §
												63.5 (relating to investigative
						process for late or deficient
						filings).
Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part I - State Ethics Commission › Chapter 23 - COMMISSION › GENERAL PROVISIONS › Section 23.1 - Meetings

Current through Register Vol. 54, No. 28, July 13, 2024
Meetings of the Commission will be held at the call of the
					 Chair or any four members, at a time and location and for a purpose as may be
					 determined by the Chair or the four other members.
This section cited in 51 Pa. Code §
												13.3 (relating to
						opinions).