Opinion ID: 151308
Heading Depth: 3
Heading Rank: 1

Heading: The State Ethics Act

Text: The Pennsylvania Legislature enacted the Ethics Act to promote ethical conduct and integrity among individuals holding public office. The Ethics Act's statement of purpose provides: that public office is a public trust and that any effort to realize personal financial gain through public office other than compensation provided by law is a violation of that trust. In order to strengthen the faith and confidence of the people of this Commonwealth in their government, the Legislature further declares that the people have a right to be assured that the financial interests of holders of or nominees or candidates for public office do not conflict with the public trust. Id. § 1101.1(a). The Ethics Act provides, inter alia, that [n]o public official or public employee shall engage in conduct that constitutes a conflict of interest. Id. § 1103(a). To implement and enforce the Ethics Act, the legislature authorized the creation of a State Ethics Commission empowered to [m]ake recommendations to law enforcement officials either for criminal prosecution or dismissal of charges arising out of violations of [the Ethics Act]. Id. § 1107(15). Defendant John J. Contino is Executive Director of the Ethics Commission. The Ethics Act sets forth procedures for the filing and investigation of a complaint. Upon receiving a complaint signed under penalty of perjury by any person or upon its own motion, the commission, through its executive director, shall conduct a preliminary inquiry into any alleged violation, to be completed within 60 days. Id. at § 1108(a). If a preliminary inquiry establishes reason to believe that this chapter has been violated, the commission may, through its executive director, initiate an investigation to determine if there has been a violation. Id. § 1108(c). The Ethics Act prohibits the filing of frivolous complaints, an infraction which the Ethics Commission is empowered to investigate. Id. § 1108( l ). Any person who willfully affirms or swears falsely in regard to any material matter may be punished by a fine and five years' imprisonment. Id. § 1109(e). A person harmed by wrongful use of the Ethics Act, including the filing of frivolous complaints, is entitled to damages for: (1) The harm to his reputation by a defamatory matter alleged as the basis of the proceeding. (2) The expenses, including any reasonable attorney fees, that he has reasonably incurred in proceedings before the commission. (3) Any specific pecuniary loss that has resulted from the proceedings. (4) Any emotional distress that has been caused by the proceedings. (5) Any punitive damages according to law in appropriate cases. Id. § 1110. Section 1108(k) of the Ethics Act, the provision challenged in this action, mandates confidentiality in all proceedings before the Ethics Commission. Absent exceptions inapplicable here, Section 1108(k) provides that no person shall disclose or acknowledge to any other person any information relating to a complaint . . . which is before the commission. According to the Ethics Commission, Section 1108(k) does not prohibit a complainant from disclosing substantive allegations of unethical conduct, but it does prohibit a complainant from (1) disclosing the fact that a complaint has been filed with the Ethics Commission and (2) disclosing a plan or intent to file a complaint with the Ethics Commission. (A 158a, 226a-228a.) Violation of Section 1108(k)'s confidentiality mandate is punishable by a fine and one year's imprisonment. 65 Pa. Cons.Stat. § 1109(e).