PUBLIC OFFICIAL AND EMPLOYEE ETHICS ACT

Presented by: Brian D. Jacisin, Esquire Deputy Executive Director/ Director of Investigations Pennsylvania State Ethics Commission

TABLE OF CONTENTS

1. Annotated Summary of Ethics Act 2. Statement of Financial Interests 3. Opinion/Advice Flow Chart 4. Investigation Flow Chart 5. Sample Conflict Memo 6. Summary of State Ethics Commission

Orders Regarding Local Government Officials

7. PowerPoint

PUBLIC OFFICIAL AND EMPLOYEE ETHICS ACT 65 Pa.C.S. §1101 et seq., Act 1978-170, as amended by Act 1989-9, Act 93 of 1998 and Act 134-2006

INTRODUCTION

The Pennsylvania Public Official and Employee Ethics Law, Act

170-1978, as reenacted and amended by Act 9-1989, Act 93 of 1998, and Act 134-2006 was enacted in order to strengthen the faith and confidence of the people of the Commonwealth in their government. In order to accomplish this task, the law provides for restricted activities in which public officials and public employees may not participate. Additionally, the law creates a governmental entity, the State Ethics Commission, which is an independent Commonwealth agency. The Commission, which is vested with the overall responsibility of administering and enforcing the provisions of the State Ethics Act is composed of seven members. In order to further insure the independence of the agency, its members and its staff, the law provides that individuals serving in positions with the Commission, are prohibited from holding or campaigning for any other public office, holding office in any political campaign, influencing the decision of a governmental body except as a member of the Commission, or being employed by the Commonwealth or a political subdivision in any other capacity.

The Ethics Act vests three main areas of statutory jurisdiction in the State Ethics Commission. The Commission is authorized to administer and enforce the personal financial disclosure requirement. Secondly, the Commission is mandated to provide advice and guidance in the form of written opinions to public officials and employees who have questions regarding their responsibilities and duties under the Ethics Act or to the employers or appointing authority of such individuals. Finally, the Commission has the statutory authority to investigate, either through an "own motion" procedure or the receipt of a sworn complaint, alleged violations of the State Ethics Act. The Commission’s jurisdiction in all of these areas is uniform in its application to local, county, and State-level public officials and employees. Comment: On November 1, 2006, the Lobbying Disclosure Law, Act

134-2006, was signed into law. The Lobbying Disclosure Act vests jurisdiction of lobbyist and principal enforcement and advisory functions with the Pennsylvania State Ethics Commission. The Commission has enforcement

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responsibilities for the new registration and reporting requirements. This article will not deal with the provisions of the Lobbying Disclosure Act. See 65 Pa.C.S. §13A01 et seq.

PURPOSE: 65 Pa.C.S. §1101

The legislature declares that public office is a public trust and that any effort to realize personal financial gain through public office other than compensation provided by law is a violation of that trust. In order to strengthen the faith and confidence of the people of the state in their government 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. The law is to be liberally construed to promote complete financial disclosure. The law is intended to define as clearly as possible those areas which represent conflicts of interests.

The 1989 amendments to the law resulted in several changes to the purpose section. One element existing in the prior law has been eliminated and two additional areas of legislative intent have been delineated.

Eliminated from the law is any reference to the "appearance of a conflict."

The Act is to be administered in a manner that emphasizes guidance to public officials and public employees regarding the ethical standards established therein.

The Act is to be administered by an independent commission whose members have demonstrated an interest in promoting public confidence in government.

Comment: The constitutionality of the State Ethics Act has

generally been affirmed in Pennsylvania State Association of Township Supervisors v. Thornburgh, 496 Pa. 324, 437 A.2d 1 (1981); Snider v. Thornburgh, 469 Pa. 159, 436 A.2d 593 (1981). See also, In the Matter of Glancey and Chiovero, 515 Pa. 201, 527 A.2d 997 (1987), Ethics Act addresses compelling state interests. The application of the law has been determined to be unconstitutional as applied to judges, Fayette County v. Unemployment Compensation Board of Review, 479 A.2d 1153 (Pa. Cmwlth. 1984), affirmed 509 Pa. 438, 502 A.2d 1232.

Conflict of Interest Law is to be liberally construed to

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promote complete disclosure. Phillips v. State Ethics Commission, 470 A.2d 659 (Pa. Cmwlth. 1984).

DEFINITIONS: 65 Pa.C.S. §1102

The State Ethics Act contains a substantial number of definitions which must be reviewed when analyzing the Act. The State Ethics Act applies generally to public officials and public employees. Candidates and nominees for public office or employment are also subject to certain provisions in the Act. The Act defines each of the affected categories: "Public Any person elected by the public or elected or Official" appointed by a governmental body, or an appointed

official in the Executive, Legislative or Judicial Branch of the State or any political subdivision thereof, provided that it shall not include members of advisory boards that have no authority to expend public funds other than reimbursement for personal expense, or to otherwise exercise the power of the State or any political subdivision thereof.

Comment: Examples of officials within the State Ethics Act

Coverage. Jersey Shore Area School District v. Bittner, 472 A.2d 183 (Pa. Cmwlth. 1984), school directors; Forney v. State Ethics Commission, 425 A.2d 66 (Pa. Cmwlth. 1981), municipal authority members; Pennsylvania State Association of Township Supervisors v. Thornburgh, 496 Pa. 324, 437 A.2d 1 (1981), township supervisors. Members of bi-state authorities are not within Ethics Act coverage. Delaware River Port Authority v. State Ethics Commission, 585 A.2d 587 (Pa. Cmwlth. 1991).

"Public Any individual employed by the Commonwealth or Employee" a political subdivision who is responsible for

taking or recommending official action of a non-ministerial nature with regard to:

1) contracting or procurement;

2) administering or monitoring grants or

subsidies;

3) planning or zoning;

4) inspecting, licensing, regulating or auditing any person, or

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5) any other activity where the official action

has an economic impact of greater than a de minimis nature on the interests of any person.

"Public employee" shall not include individuals who are

employed by the State or any political subdivision thereof in teaching as distinguished from administrative duties. Comment: Examples of Application: Rogers v. State Ethics

Commission, 4708 A.2d 1120 (Pa. Cmwlth. 1984), certified public accountant for specific audit task in municipality is not a public official or employee within purview of the State Ethics Act; Camiel v. State Ethics Commission, 425 A.2d 60 (Pa. Cmwlth. 1981), Turnpike Commission employees, see also 51 Pa. Code §1.1. L.J.S. v. State Ethics Commission, 744 A.2d 798 (Pa. Cmwlth. 2000), a county chief probation officer is a “judicial officer” subject to the exclusive jurisdiction of the Pennsylvania Supreme Court. See, Phillips v. State Ethics Commission, 470 A.2d 659 (Pa. Cmwlth. 1984), regarding objective standards to be utilized in determining coverage. See also: Quaglia v. State Ethics Commission, 986 A.2d 974 (Pa. Cmwlth. 2010) petition for permission to appeal denied __Pa., 4 A.3d 1056 (2010), upholding the objective test standard (Phillips) as applied to income maintenance caseworkers.

"Candidate" Any individual who seeks nomination or election to

public office by vote of the electorate, other than a judge of elections, inspector of elections or official of a political party, whether or not such individual is nominated or elected. An individual shall be deemed to be seeking nomination or election to such office if he has:

1) received a contribution or made an expenditure

or given his consent for any other person or committee to receive a contribution or make an expenditure for the purpose of influencing his nomination or election to such office, whether or not the individual has announced the specific office for which he will seek nomination or election at the time the contribution is received or the expenditure is made; or

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2) taken the action necessary under the laws of

this Commonwealth to qualify himself for nomination or election to such office.

The term shall include individuals nominated or elected as write-in candidates unless they resign such nomination or elected office within 30 days of having been nominated or elected. "Nominee" Any person whose name has been submitted to a

public official or governmental body vested with the power to finally confirm or reject proposed appointments to public office or employment.

Other key definitions include: "Conflict Use by a public official or public employee of the of Interest" authority of his office or employment or any

confidential information received through his holding public office or employment for the private pecuniary benefit of himself, a member of his immediate family or a business with which he or a member of his immediate family is associated. "Conflict" or "Conflict of Interest" does not include an action having a de minimis economic impact or which affects to the same degree a class consisting of the general public or a subclass consisting of an industry, occupation or other group which includes the public official or public employee, a member of his immediate family or a business with which he or a member of his immediate family is associated.

Note: In order for class/subclass exception to apply, the

underlying activity engaged in by the public official must be legal. See Russell v. State Ethics Commission, 987 A.2d 835 (Pa. Cmwlth. 2009) petition for permission to appeal denied, __Pa.__,4 A.3d 1056 (2010).

"Authority The actual power provided by law, the exercise of of Office or which is necessary to the performance of duties and Employment" responsibilities unique to a particular public

office or position of public employment. Comment: A number of unreported judicial opinions have

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addressed the issue of the use of the authority of office or employment as well as the prerequisite elements necessary to establish a conflict of interest. Although these decisions are unreported, they do offer some insight into the judicial analysis that would apply to the interpretation of these terms. In Keller v. State Ethics Commission, 860 A.2d 659 (Pa. Cmwlth. 2004) the Commonwealth Court of Pennsylvania addressed the issue of these definitions in relation to a borough mayor who received payments for the performance of wedding ceremonies and utilized such payments for personal purposes. The court’s analysis in determining that the borough mayor had violated the conflict of interest provisions of the Ethics Act is an instructive analysis as to the application of these provisions and the elements prerequisite to establishing a conflict of interest.

"Immediate A parent, spouse, child, brother or sister. Family" Comment: In-laws are not “immediate family” under the Ethics

Act’s definition. Pulice v. State Ethics Commission, 713 A.2d 161 (Pa. Cmwlth. 1998), appeal denied, 557 Pa. 642, 732 A.2d 1211 (Pa. 1998).

"Income" Any money or thing of value received, or to be

received as a claim on future services or in recognition of services rendered in the past, whether in the form of a payment, fee, salary, expense, allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, reward, severance payment, proceeds from the sale of a financial interest in a corporation, professional corporation, partnership or other entity resulting from termination or withdrawal therefrom upon assumption of public office or employment or any other form of recompense or any combination thereof. "Income" refers to gross income and includes prize winnings and tax exempt income. The term does not include gifts, governmentally mandated payments or benefits, retirement, pension or annuity payments funded totally by contributions of the public official or employee, or miscellaneous, incidental income of minor dependent children.

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Note: Legislators’ salary constitutes “income” rather

than a “governmentally mandated payment” which would be exempt from the definition of income. In Re Benninghoff, 578 Pa. 402, 852 A.2d 1182 (2004).

"Solicitor" A person elected or appointed to the office of

solicitor for the political subdivision. Comment: In Ballou v. State Ethics Commission, 496 Pa. 127,

438 A.2d 186 (1981), it was held that part-time municipal solicitors were not public officials or employees as defined in State Ethics Act. Act 9 of 1989 specifically includes such individuals as within the parameters of the financial disclosure requirements of the Ethics Act. See 65 P.S. §404(a). Such solicitors are however NOT considered public officials/employees for purposes of the conflict of interest provisions of the law. C.P.C. v. State Ethics Commission, 698 A.2d 155, (Pa. Cmwlth. Ct. 1997), allocatur denied, 704 A.2d 640, 550 PA 686 (1997). A full time municipal solicitor is however subject to the conflict of interest provisions of the law. P.J.S. v. State Ethics Commission, 555 PA 149, 723 A.2d 174 (1999).

"Person" A business, governmental body, individual,

corporation, union, association, firm, partnership, committee, club or other organization or group of persons.

"Represent" To act on behalf of any other person in any

activity which includes, but is not limited to, the following: personal appearances, negotiations, lobbying and submitting bid or contract proposals which are signed by or contain the name of a former public official or public employee.

"Governmental body with which a public official or employee has been associated"

"Governmental body with which a public official or public employee is or has been associated." The governmental body within State government or a political subdivision by which the public official or employee is or has been employed or to which the public official or employee is or has been appointed or elected and subdivisions and offices

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within that governmental body. “De minimis Economic Impact”

An economic consequence which has an insignificant effect. See Bixler v. State Ethics Commission, 847 A.2d 785 (Pa. Cmwlth. 2004), holding that $561 was de minimis. De minimis determination is on a case by case basis. See Seropian v. State Ethics Commission, __A.2d__, (2010 Pa. Commw. Lexis 728 decided April 7, 2011).

“Business With Which Associated” 65 Pa.C.S. §1102. Any business in which the person or a

member of the person's immediate family is a director, officer, owner, employee or has a financial interest.

"Business" Any corporation, partnership, sole proprietorship,

firm, enterprise, franchise, association, organization, self-employed individual, holding company joint stock company, receivership, trust or any legal entity organized for profit.

Comment: In Rendell v. Pennsylvania State Ethics Commission,

603 Pa. 292, 983 A.2d 708 (2009), the Supreme Court ruled that non-profit entities are within the definition of business. (As such, the Supreme Court reversed the Commonwealth Court ruling at 961 A.2d 209.

RESTRICTED ACTIVITIES: 65 Pa.C.S. §1103

The Public Official and Employees Ethics Act provides certain restricted activities in which public officials and employees may not engage. These restrictions provide the basis upon which Commission rulings are issued.

a) No public official or public employee shall engage in conduct that constitutes a conflict of interest. A "conflict of interest" is defined as use by a pubic official or public employee of the authority of his office or employment or any confidential information received through his holding public office or employment for the private pecuniary benefit of himself, a member of his immediate

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family or a business with which he or a member of his immediate family is associated. "Conflict" or "conflict of interest" does not include an action having a de minimis economic impact or which affects to the same degree a class consisting of the general public or a subclass consisting of an industry, occupation or other group which includes the public official or public employee, a member or his immediate family or a business with which he or a member of his immediate family is associated. 65 Pa.C.S. §1103(a).

Comment: This section: Official commits a violation of this

section even if compensation or financial gain to which he was not entitled was received in good faith. Yacobet v. State Ethics Commission, 531 A.2d 536 (Pa. Cmwlth. 1987); McCutcheon v. State Ethics Commission, 77 Pa. Commw. 529, 466 A.2d 283 (1983). Official casting deciding vote to appoint himself to another compensated position is in violation of this section. Koslow v. State Ethics Commission, 540 A.2d 1371 (Pa. Cmwlth.).

In order to establish a violation of the Ethics

Act, there must be awareness of the potential to obtain a private pecuniary benefit and action in the form of specific steps to obtain that benefit. Kistler v. State Ethics Commission, 610 Pa. 516, 22 A.3d 223 (2011).

A violation of Section 1103(a) of the Ethics Act

occurs when a public official utilizes legislative personnel, facilities and equipment in aid of re-election fundraising activities. See Commonwealth v. Habay, 934 A.2d 732 (Pa. Super. 2007).

A borough mayor who performs wedding ceremonies and

retains the proceeds for personal purposes including the donation of such funds to charitable organizations violates the State Ethics Act. Keller v. State Ethics Commission, 860 A.2d 659 (Pa. Cmwlth. 2004).

Public employee violated Section 3(a) when he used

the authority of his position to direct government purchases to his wife’s companies. Zangrilli, Order No 946, aff’d by Commonwealth Court in a 1996 Memorandum Opinion, Zangrilli v. SEC, No. 2689

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C.D. 1994. Township Supervisors violated Section 3(a) when they received compensation not authorized in law and used the Township Solicitor to represent them at Township expense in a lawsuit involving their pay as working Township employees. Township commissioner violated the Ethics Act when he participated in unanimous township actions to approve a shopping center development at the same time that he was actively attempting to perform work at the development. Snyder v. State Ethics Commission, 686 A.2d 843 allocatur denied, 0029 M.D. 1997, 12/23/97. (Pa. Commw. 1996). G.L. v. State Ethics Commission, 17 A.3d 445 (Pa. Cmwlth. Ct. 2011) Petition for Permission to Appeal denied __Pa__, 32 A.3d 1279 (2011) (signing of site plans and developer’s agreements is use of office). R.H., T.W. v. SEC, Nos. 1732-1733 C.D. 1994 (Pa. Commw. Ct. March 18, 1996). Authority Chairman violated Section 3(a) when he offered an Authority employee a raise to cover the cost of purchasing insurance from him. Yezzi, Order No. 825, aff’d by Commonwealth Court in a 1992 Memorandum Opinion, Yezzi v. SEC, No. 693 C.D. 1992. School Director violated Section 3(a) when he supported and/or voted for vendors as to School District contracts in return for gifts or gratuities. Helsel, Order No. 801. Attorney employed by Commonwealth agency violated Section 3(a) when he used Commonwealth time and in some instances, bogus sick leave to sit as a paid Court arbitrator. Cohen, Order No. 610-R.

Municipal Authority Members who use their position

to increase their compensation without approval of the governing authority violate the Ethics Act. Russell v. State Ethics Commission, 987 A.2d 835 (Pa. Cmwlth 2009), petition for permission to appeal denied __Pa.__, 4 A.3d 1056 (2010) (here Authority Members divided the Board meeting into different segments and claimed compensation for each segment as a separate meeting).

In Commonwealth ex rel Corbett v. Desiderio, 698

A.2d 134 (Pa. Cmwlth. Ct. 1997), the Commonwealth Court of Pennsylvania determined that conviction for a violation of Section 403 of the Ethics Act by a public official was sufficient cause under the Pennsylvania State Constitution for removal of the

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official from office through quo warranto proceedings.

It should be noted that actions of a de minimis

nature will not constitute a conflict of interest. "De minimis" is defined as an economic consequence having an insignificant effect. For an application of the de minimis exception to the conflict of interest provisions see Bouch v. State Ethics Commission, 848 A.2d 1078 (Pa. Cmwlth. 2004).

In determining whether a financial gain is above

the de minimis level, gains received by a public official may be aggregated. See Keller v. State Ethics Commission, 860 A.2d 659 (Pa. Cmwlth. 2004).

b) No person shall offer or give to a public official,

public employee or nominee or candidate for public office or a member of his immediate family or a business with which he is associated, anything of monetary value, including a gift, loan, political contribution, reward or promise of future employment based on the offerer's or donor's understanding that the vote, official action or judgment of the public official or public employee or nominee or candidate for public office would be influenced thereby. 65 Pa.C.S. §1103(b).

Note: In order to establish a violation of the Ethics

Act, there must be awareness of the potential to obtain a private pecuniary benefit and action in the form of specific steps to obtain that benefit. Kistler v. State Ethics Commission, 610 Pa. 516, 22 A.3d 223 (2011).

Comment: Pursuant to this provision a private citizen may be

charged with a criminal violation of the Ethics Act. Commonwealth v. Heistand, 685 A.2d 1026 (Pa. Super. 1996).

c) No public official, public employee or nominee or

candidate for public office shall solicit or accept anything of monetary value, including a gift, loan, political contribution, reward, or promise of future employment based on any understanding of that public official, public employee or nominee that the vote, official action, or judgment of the public official or public employee or nominee or candidate for

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public office would be influenced thereby. 65 Pa.C.S. §1103(c).

Comment: Evidence that township commissioner solicited

developer’s insurance business and obtained a substantial premium from developer and thereafter voted in favor of zoning ordinance necessary for developer’s project was sufficient to sustain conviction of violation of this section. Commonwealth v. Cherpes, 360 Pa. Super. 246, 520 A.2d 439 (1987), appeal denied 515 Pa. 612, 530 A.2d 866 (1988). See also Commonwealth v. Heistand, 685 A.2d 1026 (Pa. Super. 1996).

Commonwealth v. Parmar, 448 Pa. Super. Ct. 470, 672 A.2d 314 (1996). The Superior Court of Pennsylvania determined that in contrast to bribery under the Crime’s Code, no showing of culpability was required to establish a violation of Section 3(c) of the Ethics Act. On appeal, the Supreme Court of Pennsylvania, affirmed the lower court decision in an evenly divided vote. One of the opinions of the court disagreed with the rational contained in the lower court opinion. This opinion reasoned that the Ethics Act, as well as the State Adverse Interests Act does not impose absolute criminal liability and are subject to the culpability requirements of the Crime's Code. Commonwealth v. Parmar, 551 Pa. 318, 710 A.2d 1083 (1998).

d) No public official or public employee shall accept

an honorarium. 65 Pa.C.S. §1103(d). Comment: This is a provision prohibiting payments made in

recognition of public works, appearances, speeches and presentations. Payments for activities that are nonpublic professional or occupational in nature are not considered honoraria. Tokens of a de minimis economic impact are also not considered honoraria. For the Commission interpretation of this provision see: Baker, Opinion No. 91-004; Richardson, Opinion No. 93-006. Fiorello, Order No. 1363.

e)

1) No person shall solicit or accept a

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severance payment or anything of monetary value contingent upon the assumption or acceptance of public office or employment.

2) This subsection shall not prohibit:

(i) Payments received pursuant to an

employment agreement in existence prior to the time a person becomes a candidate or is notified by a member of a transition team, a search committee or a person with appointive power that he is under consideration for public office or makes application for public employment.

(ii) Receipt of a salary, fees, severance

payment or proceeds resulting from the sale of a person’s interest in a corporation, professional corporation, partnership or other entity resulting from termination or withdrawal therefrom upon the assumption or acceptance of public office or employment.

3) Payments made or received pursuant to

paragraph 2(i) and (ii) shall not be based on the agreement, written or otherwise, that the vote or official action of the prospective public official or employee would be influenced thereby. 65 Pa.C.S. §1103(e).

f) No public official or public employee or his spouse

or child or any business in which the person or his spouse or child is associated shall enter into any contract valued at $500.00 or more with the governmental body with which the public official or public employee is associated or any subcontract valued at $500.00 or more with any person who has been awarded a contract with the governmental body with which the public official or public employee is associated, unless the contract has been awarded through an open and public process, including prior public notice and subsequent public disclosure of

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all proposals considered and contracts awarded. In such a case, the public official or public employee shall not have any supervisory or overall responsibility for the implementation or administration of the contract. Any contract or subcontract made in violation of this subsection shall be voidable by a court of competent jurisdiction if the suit is commenced within 90 days of the making of the contract or subcontract. 65 Pa.C.S. §1103(f).

Note: This provision does not require a competitive bidding process. Kistler v. State Ethics Commission, 610 Pa. 516 22 A.3d 223 (2011). Comment: This section is a recodification of section 3(c) of

Act 1978-170. The amended section revised prior law in several respects including the application of this provision to subcontracts. This provision has not been construed as allowing an interest in contracts by public officials or employees where such might otherwise be prohibited by law. The provision has been applied as a procedural mechanism to be employed where such interest is permissible. In order for a public official/public employee himself to violate the contracting provision of the Ethics Act, he must be a party to the contract/subcontract (or at least a principal of the contracting business). See Bixler v. State Ethics Commission, 847 A.2d 785 (Pa. Cmwlth. 2004). See also Yaracs v. Summit Academy, 845 A.2d 203 (Pa. Cmwlth. 2004) appeal denied 579 Pa. 708, 857 A.2d 682.

Note: In order to establish a violation of the Ethics

Act, there must be awareness of the potential to obtain a private pecuniary benefit and action in the form of specific steps to obtain that benefit. Kistler v. State Ethics Commission, 610 Pa. 516, 22 A.3d 223 (2011).

g) No former public official or public employee shall

represent a person, with promised or actual compensation, on any matter before the governmental body with which he has been associated for one year after he leaves that body. 65 Pa.C.S. §1103(g).

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Comment: Pursuant to the above provision the representation must be for promised or actual compensation before the restriction is applicable. Secondly, the law now defines governmental body with which one has been associated as the governmental body within State government or a political subdivision by which the public official or employee is or has been employed or to which the public official or employee is or has been appointed or elected and subdivisions and offices within that governmental body.

The word "person" is broadly defined to include

businesses, governmental bodies, individuals, corporations, unions, associations, firms, partnerships, committees, clubs or other organizations or groups or persons.

The Commission has interpreted the term

"representation" as used in Section 1103(g) of the Ethics Act to prohibit: (1) Personal appearances before the former governmental body or bodies, including, but not limited to, negotiations or renegotiations in general or as to contracts; (2) Attempts to influence; (3) Submission of bid or contract proposals which are signed by or contain the name of the former public official/public employee; (4) Participating in any matters before the former governmental body as to acting on behalf of a person; (5) Lobbying. Popovich, Opinion 89-005. In Confidential Opinion, 93-005, the Commission held that the prohibition against representing a person includes the former public official/public employee representing himself; and also may apply when a person transfers to another governmental body. See Ledebur, Opinion No. 95-007.

Note: One-year representation restrictions are

unconstitutional as applied to former judges, Wajert v. State Ethics Commission, 491 Pa. 255, 420 A.2d 439 (1980) and former governmental attorneys where the conduct constitutes the private practice of law, Pennsylvania Public Utility Commission Bar Association v. Thornburgh, 434 A.2d 589 (Pa. Cmwlth. 1981) affirmed 498 Pa. 589, 450 A.2d 613 (1981). See also, Stephens v. State Ethics Commission, 529 A.2d 594 (Pa. Cmwlth. 1987),

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(further clarifying what constitutes representation).

Comment: The one year representation provision has also been

held unconstitutional as applied to former governmental employees in relation to their activities as privately employed attorneys after the termination of their governmental service. See Shaulis v. Pennsylvania State Ethics Commission, 574 Pa. 680, 833 A.2d 123 (2003).

h) No person shall use for any commercial purpose

information copied from statements of financial interests required by this act or from lists compiled from such statements. 65 Pa.C.S. §1103(h)

i) No former executive-level State employee may for a

period of two years from the time that he terminates his State employment be employed by, receive compensation from, assist or act in a representative capacity for a business or corporation that he actively participates in recruiting to the Commonwealth of Pennsylvania or that he actively participated in inducing to open a new plant, facility or branch in the Commonwealth or that he actively participated in inducing to expand an existent plant or facility within the Commonwealth, provided that the above prohibition shall be invoked only when the recruitment or inducement is accomplished by a grant or loan of money or a promise of a grant or loan of money from the Commonwealth to the business or corporation recruited or induced to expand. 65 Pa.C.S. §1103(i).

j) Where voting conflicts are not otherwise addressed

by the Constitution of Pennsylvania or by any law, rule, regulation, order or ordinance, the following procedure shall be employed. Any public official or public employee who in the discharge of his official duties would be required to vote on a matter that would result in a conflict of interest shall abstain from voting and, prior to the vote being taken, publicly announce and disclose the nature of his interest, as a public record in a written memorandum filed with the person responsible for recording the minutes of the meeting at which the vote is taken,

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provided that whenever a governing body would be unable to take any action on a matter before it because the number of members of the body required to abstain from voting under the provisions of this section makes the majority or other legally required vote of approval unattainable, then such members shall be permitted to vote if disclosures are made as otherwise provided herein. In the case of a three-member governing body of a political subdivision, where one member has abstained from voting as a result of a conflict of interest, and the remaining two members of the governing body have cast opposing votes, the member who has abstained shall be permitted to vote to break the tie vote if disclosure is made as otherwise provided herein. 65 Pa.C.S. §1103(j).

STATEMENTS OF FINANCIAL INTERESTS REQUIRED TO BE FILED: 65 Pa.C.S. §1104 Who is Required to File

1) A Statement of Financial Interests is required to be filed by all state and local "public officials," elected or appointed, and "public employees" employed by the Commonwealth or by a political subdivision, who are responsible for taking or recommending official non-ministerial (requiring judgment and discretion) action concerning contracting or procurement; administering or monitoring grants or subsidies; planning or zoning; inspecting, licensing, regulating or auditing any person; or any other activity where the official action has an economic impact that is greater than de minimis.

a) Examples of application of financial disclosure

requirements: Kremer v. State Ethics Commission, 503 Pa. 358, 409 A.2d 593 (1983), disclosure requirements unconstitutional as applied to judges; compare, however, In Re: Nomination Petition of James H. Owen for Judge of the Court of Common Pleas 33rd Judicial District, 922 A.2d 973 (Pa. Cmwlth. 2007) affirmed per curium 592 Pa. 17, 922 A.2d 878 (2007) holding that candidates for judicial office, including incumbent judges, must file Statements of Financial Interests. (It should be noted that the Lower Court decision is a non precedential one judge opinion; however, Darlington, Opinion 07-011 of the Commission

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adopted the Owen view); Maunus v. State Ethics Commission, 518 Pa. 592, 544 A.2d 1324 (1988), full-time publicly employed attorneys must comply with disclosure requirements. See also, PJS v. State Ethics Commission, 669 A.2d 1105 (Pa. Cmwlth. Ct. 1997) affirmed 555 PA 149, 723 A.2d 174 (1999) (Third class city solicitor is public employee/official within Ethics Act coverage.)

b) Filing requirements surpass test of

constitutionality when challenged on various basis including right of privacy, vagueness, right of suffrage and relevancy to legitimate state interest. Snider v. Shapp, 1105 A.2d 602 (Pa. Cmwlth. 1979).

c) Filing requirements as applied to spousal and minor

dependent children information is unconstitutional in that it violates a state constitutional based right of privacy. Denoncourt v. State Ethics Commission, 504 Pa. 191, 470 A.2d 945 (1983).

2) Gubernatorial nominees who need Senate confirmation.

3) State, county and local level nominees.

4) Candidates for state, county and local public office.

a) Candidates running unopposed in both primary and

general elections are not exempt from filing requirements. State Ethics Commission v. Landauer, 496 A.2d 862 (Pa. Cmwlth. 1985). Also see In Re: Nomination Petitions of James H. Owen (supra).

Note: Public officials shall not include members of

advisory boards having no authority to expend public funds or to otherwise exercise the power of the state or a political subdivision.

As discussed above, persons who serve as full or part-time solicitors are required to file a Statement of Financial Interests. (This provision substantially negates prior judicial precedent. See Ballou v. State Ethics Commission, 496 Pa. 127, 438 A.2d 186 (1981).

LOCATION OF FILING:

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1) Employees of the Commonwealth file ONLY with their

respective agency, department or bureau personnel office.

2) Employees of county and local political subdivisions file ONLY with the governing authority of their political subdivision.

3) Incumbent county and local public officials (who are NOT

candidates) including authority members file ONLY with their political subdivision.

4) Incumbent Commonwealth Executive Branch public officials

and appointed members of board and Commissions (Executive Branch) file with the State Ethics Commission AND with the Governor’s Office.

5) Incumbent Commonwealth Legislative Branch public officials file with the State Ethics Commission and with the Chief Clerk of the House of Representatives or the Secretary of the Senate, whichever applies.

6) Incumbent Commonwealth public officials of independent

state agencies file with the State Ethics Commission AND with the agency with which they are associated.

7) Other public officials file with the State Ethics

Commission and their agency; other public employees file only with their agency.

8) Gubernatorial and state-level nominees file with the

State Ethics Commission and with the Senate Caucus Secretary in charge of Executive Nominations.

9) County and local-level nominees file with the governing

authority of the political subdivision and, if different, with the official or body vested with the power of confirmation.

10) Candidates for a state-level public office file with the

State Ethics Commission AND append a copy to the petition to appear on the ballot.

11) Candidates for county or local-level public office file

with the governing authority of the political subdivision in which they are candidates AND append a copy to the

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petition to appear on the ballot.

12) Write-in candidates (including winners) not seeking office through the nomination petition process shall file ONLY with the State Ethics Commission for state-level office and ONLY with the governing authority of the political subdivision for county and local-level office.

Comment: Presenting Statements of Financial Interests to

individual members of a governmental body rather than to clerical staff on duty during regular business hours at governmental office does not constitute a valid filing. In Re Olshefski, 692 A.2d 1168, (Pa. Cmwlth. Ct. 1997). See also, In Re: Capra, 693 A.2d 647 (Pa. Cmwlth. 1997); In Re Duncan-Thompson, 625 A.2d 105 (Pa. Cmwlth. 1993).

TIME FILING REQUIRED:

Public employees and public officials, who are not candidates, NO later than May 1st of each year a position is held and of the year after leaving a position.

Officials appointed between January 1st and May 1st file NO

later than May 1st. Gubernatorial nominees file NO LATER THAN 10 days before

confirmation. Candidates file on or before the last day for filing a

petition to appear on the ballot for election. Write-in winners of nominations or elections shall file within

30 days of having been nominated or elected unless such person resigns such nomination or elected office within that period of time. The date of certification of the appropriate election official shall be the time for which the 30 day period is calculated.

Comment: Date of mailing is sufficient to establish timely

filing if supported by postmark (applies to local election); In Re Nomination Petition of Robert McMonagle, 793 A.2d 174 (Pa. Cmwlth. 2002). Under the Commission Regulations however, the form must be received at the Commission for state elections and a postmark is not sufficient to establish timely filing.

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Note: Only one (1) financial statement is required for

each year. If multiple positions are held, the original form must be filed at one of the locations but copies may be filed at the others.

Comment: In addition to any other penalties provided in the

law failure by a candidate to file shall be a fatal defect to a petition to appear on the ballot. See Petition of Cioppa, 533 Pa. 564, 626 A.2d 146 (1993), upholding this provision. Such actions to have a petition declared invalid must be initiated within seven days after the last day for filing the petition as set forth in the Election Code. State Ethics Commission v. Cresson, 528 Pa. 339, 597 A.2d 1146 (1991); In Re Bryant, 578 PA 421, 852 A.2d 1193 (2004). Also, no public official shall be allowed to take the oath of office, continue upon his duties or be compensated from public funds unless such statement has been filed, 65 Pa.C.S. §1104(d). Any public official or employee who is required to file a statement and does not do so or files a deficient statement may be subject to a civil penalty of $25.00 per day for each day said statement is delinquent or deficient up to $250.00.

The courts have allowed a liberal interpretation of

the Ethics Act as it relates to the “Fatal Defect” rule and will allow timely amendments of otherwise timely failed Statements of Financial Interests that were filed in good faith. In Re: Nomination Petition of Paulmier, 594 Pa. 433, 937 A.2d 364 (2007). Amendment will not be allowed where the defect was occasioned by bad faith or intent. In Shimkus, 946 A.2d 139 (Pa. Cmwlth. 2008).

Note: Both the Ethics Commission and private objectors

have standing to challenge a candidate’s nomination petitions for deficiencies on Statements of Financial Interests. In Re Nomination Petition of deYoung, __Pa.__ 903 A.2d 1164 (2006).

STATEMENTS OF FINANCIAL INTERESTS; CONTENTS: 65 Pa.C.S. §1105

Filers are required to disclose financial information concerning the prior calendar year. No dollar amounts are required for any of these items except for gifts and certain reportable

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expense reimbursements. The information pertains only to the filer and includes:

1) The name, address, public position, or the office sought of the person filing.

Failure to accurately list resident’s address constitutes a defect in a candidates filing. In Re Shimkus, 946 A.2d 139 (Pa. Cmwlth. 2008).

Comment: A candidate was not required to list service as a

Municipal Authority Board Member. See In Re: Nomination Petition of Timothy J. Carroll, 586 Pa. 624, 896 A.2d 566 (2006).

2) The occupation or profession of the filer.

3) Real estate interests in which the Commonwealth or a

political subdivision is involved.

4) Creditors owed in excess of $6,500.00 and the interest rate thereon except those relating to the principal or secondary residence of the filer.

5) Sources of income totaling $1,300.00 or more. Include

employers. Note: Income is defined in the Act as any money or thing

of value received, or to be received as a claim on future services or in recognition of services rendered in the past, whether in the form of a payment, fee, salary, expense, allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, reward, severance payment, proceeds from the sale of a financial interest in a corporation, professional corporation, partnership or other entity resulting from termination or withdrawal therefrom upon assumption of public office or employment or any other form of recompense or any combination thereof. "Income" refers to gross income and includes prize winnings and tax-exempt income. The term does not include gifts, governmentally mandated payments or benefits, retirement, pension or annuity payments funded totally by contributions of the public official or employee, or miscellaneous, incidental income of minor dependent children.

23

Note: The Commonwealth Court had held that when reporting

sources of income it is not sufficient to report “self employed” and the actual provider of the income must be identified. In Re Nomination Petition of Marie deYoung, 900 A.2d 961 (Pa. Cmwlth. 2006).

The decision in deYoung was superceded by the

Supreme Court ruling in, In Re: Nomination Petition of Greg Paulmier, 594 Pa 433, 937 A.2d 364 (2007) wherein it was held by the Pennsylvania Supreme Court that a candidate could list either individual sources of income or a business, including a sole proprietorship in compliance with the Ethics Act.

6) Sources and value of gifts in the aggregate of $250.00 or

more and the circumstances thereof. Gifts from family members and certain friends are exempt.

Note: The definition of gift is now found in the Lobbying

Disclosure Law, 65 Pa.C.S. §13A03.

7) The source and amount of payments for transportation, lodging or hospitality expenses exceeding $650.00 in the in the aggregate made in connection with the public office or employment. Such payments from a governmental body or associations of public officials/employees of political subdivisions in which such officials/employees officially serve are exempt.

Note: The Lobbying Disclosure Law of 2006, Act 134-2006,

amended the Ethics Act reporting requirement in this category. Prior to 2007, the source of transportation, lodging or hospitality exceeding $650 was reportable only if such threshold amount was reached in the course of a single event. The new law requires reporting if the threshold is reached in the aggregate during the year.

The definition of hospitality may now be found in

the Lobbying Disclosure Law, 65 Pa.C.S. §13A03.

8) Any office, directorship or employment of any nature whatsoever in any business. See Pilchensky v. Codaro, 592 Pa. 15, 922 A.2d 877 (2007).

9) Financial interest in any legal entity engaged in

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business for profit. (5% or more interest in a business entity is considered a financial interest). See In Re: Nomination Petition of Timothy J. Carroll, 586 Pa. 624, 896 A.2d 566 (2006). The application of Carroll was limited by the Supreme Court in Rendell v. Pennsylvania State Ethics Commission, 603 Pa. 292, 983 A.2d 708 (2009).

10) Identity of any financial interest in a business which

has been transferred to a member of the filer’s immediate family (parent, spouse, child, brother, sister) during the prior calendar year.

Comment: Substantial compliance: In, In Re Benninghoff, 578

PA 402, 852 A.2d 1182 (2004), there was no defect when there has been substantial compliance with the filing requirements. Substantial compliance occurs when all financial interests can be discerned from the information that has been disclosed. As a result, the failure of State Representatives to include the House of Representatives as a source of income would not be a defect in their nominating petitions when they identified their employment as being with the House of Representatives in another section of the form. Compare to this In Re Nominating Petitions of John L. Braxton, (Commonwealth Court Opinion 2005 unreported) reversed by Supreme Court, 874 A.2d 1143 (2005), where it was determined that the defects in a Statement of Financial Interests, including a failure to include mortgages on rental property (listed only as rental property held in my name), did not constitute substantial compliance. The filer also failed to list judicial pensions, the addresses of rental properties and ownership and interest rights in various rental properties. As such, the failures were determined to be fatal defects to the nominating petitions.

Comment: All candidate defects are subject to the

amenability rule of Paulmier supra., as long as the form was filed in good faith.

Note: The State Ethics Commission shall review the dollar

amounts outlined above on a biennial basis and may increase said amounts as deemed reasonable.

STATE ETHICS COMMISSION: 65 Pa.C.S. §1106

25

Commission Composition

The Ethics Act provides that the State Ethics Commission shall be comprised of seven members who are cognizant of the responsibilities and burdens of public service. Three Commission members are appointed by the Governor, only two of whom may be of the same political party. One member each is appointed by the President Pro Tempore of the Senate, the Minority Leader of the Senate, the Speaker of the House, and the Minority Leader of the House. All are appointed without confirmation. Commission members are eligible to serve two full three-year terms. Comment: The section under which four members of the Ethics

Commission are appointed by leaders of the General Assembly and three members are appointed by the Governor does not unlawfully discriminate against local offices by not providing for their participation in appointment. See, Pennsylvania State Association of Township Supervisors v. Thornburgh, 490 Pa. 324, 437 A.2d 1 (1981).

Commission Member and Employee Restrictions

Commission members and employees may not hold or campaign for any other public office, hold office in any political party or political committee, actively participate or contribute to any political campaign, influence any decision by a governmental body other than a court of law or as a representative of the Commission, or be employed by the Commonwealth or a political subdivision in any other capacity. Additionally, members of the Commission may not have served as an officer in a political party for one year prior to appointment.

COMMISSION POWERS AND DUTIES: 65 Pa.C.S. §1107

General: The State Ethics Commission shall:

1) Render prospective advisory opinions and advice of counsel to present or former public officials and public employees, their appointing authority or employer regarding such individual's duties and responsibilities under the Ethics Act.

2) Receive and review Financial Interest Statements of

persons required to file; inspect such statements to

26

ascertain whether any reporting person has failed to file such statement or has filed a deficient statement.

3) Prescribe forms for filing.

4) Accept and file information voluntarily supplied that

exceeds the requirements of the law.

5) Preserve statements and reports filed with the Commission for a period of 5 years.

6) Make statements available for public inspection and

copying.

7) Maintain a master index of statements filed with the Commission.

8) Instruct other state and local agencies in the

maintenance of systems which facilitates public access to such statements.

9) Investigate alleged violations of the Ethics Act and

issue decisions in relation to said investigations. Said decisions may impose restitution of any financial gain obtained in violation of the Act and may be enforced in the Commonwealth Court of Pennsylvania.

10) Prepare and publish an annual report, prepare and publish

special reports, educational materials, and technical studies to further the purposes of the law.

11) Hold hearings, take testimony, issue subpoenas and compel

the attendance of witnesses.

12) Prescribe Rules and Regulations to implement the provisions of the Ethics Act. (See 51 PA Code §1.1 et seq. for Regulations effective under Act 170-1978 and 51 PA Code §11.1 et seq. for Regulations effective under Act 9-1989).

13) Hold at least two public hearings each year to seek input

from persons and organizations who represent individuals subject to the Ethics Act.

OPINIONS AND ADVICE: 65 Pa.C.S. §1107

27

The State Ethics Commission is authorized to issue prospective advisory opinions regarding the duties and responsibilities of public officials and public employees subject to the Ethics Act.

1) Any person subject to the act may request an opinion about his own obligations. An opinion may also be requested by the authorized representatives of such person or by the appointing authority or employer of such person.

2) A request for an advisory opinion must be in writing and

must include:

a) 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.

b) The name of the governmental body with which the

subject serves and the name or title of such person's public office or position.

c) If the requestor is the appointing authority,

employer or representative of the subject of the request, delineate the nature of such relationship.

d) The nature and duties of the subject's office or

job. Include an organization chart, bylaws of the organization and a job description.

e) List the relevant facts and circumstances

surrounding the request.

3) Upon receipt of a request for an advisory opinion:

a) The Commission will advise within 14 days whether an advice or opinion can be issued. An advice is issued by the Commission’s Chief Counsel where Commission precedent, court cases, the Act or Regulations provide a basis upon which to render such advice. An advice can usually be issued to a person within 21 working days of their request. In some cases, however, the Commission may extend the time. An advice may be appealed to the full Commission.

b) In cases where there is no precedent, an opinion

will be issued by the Commission members. Upon

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receipt of the request, the requestor and the subject, if different, will be advised of the date, time, and place of the Commission meeting. Said individuals may attend this meeting and make a presentation.

4) The final advice or opinion will be available to the

public as an official Commission ruling. The person requesting the advice or opinion may, however, require that the ruling contain such deletions and changes as shall be necessary to protect the identity of the person involved.

a) A person who has requested an opinion and acted in

good faith on the opinion that was issued may not be subjected to criminal or civil penalties, provided the material facts are as stated in the request.

b) An advice of the Commission is a complete defense

in any enforcement proceeding initiated by the Commission and evidence of good faith conduct in any other civil or criminal proceeding if the advice was requested at least 21 working days prior

to taking the action described in the request and the material facts are as stated in the request.

c) Final opinions of the State Ethics Commission were

subject to judicial review. Pennsylvania State Association of Township Supervisors v. State Ethics Commission, 499 A.2d 735 (Pa. Cmwlth. 1985), but administrative remedies must first be exhausted. Mazziotti v. State Ethics Commission, 108 Pa. Commw. 210, 529 A.2d 594 (1987). Some judicial decisions have, however, cast doubt upon the appealability of Commission opinions. See Suehr v. State Ethics Commission, 651 A.2d 648 (Pa. Cmwlth. 1994) appeal denied 541 Pa. 647, 663 A.2d 697 (1995) holding that opinions do not present actual controversies for review, allocatur den., No. 23 W.D. Allocatur Docket 1995.

This issue was also discussed by the Supreme Court of Pennsylvania. See Shaulis v. State Ethics Commission, 574 Pa. 680, 833 A.2d 123 (2003). Rendell v. State Ethics Commission, 603 Pa. 292, 983 A.2d 708 (2009).

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Note: Pursuant to amendments to the Pennsylvania Race Horse Development and Gaming Act, 4 Pa.C.S. §1101 et seq. as amended by Act 135-2006, the State Ethics Commission has been mandated to issue determinations to employees of the Gaming Control Board and employees of independent contractors of the board who are involved in licensing, enforcement or the development or adoption of regulations or policy, regarding prohibitions on certain employment and appearances before the board for a period of one or two years respectively from the time that they terminate their service with the board or independent contractor.

INVESTIGATIONS: 65 Pa.C.S. §1108 General

1) The State Ethics Commission is authorized to investigate alleged violations of the State Ethics Act either upon the filing of a sworn complaint or through an "own motion" procedure.

2) Complaint forms are available upon request from the

Commission. The complaint must state the name, job or office held by the alleged violator and a description of the facts which are alleged to constitute a violation. Complaints must be sworn.

3) An activity that is "Restricted" by Section 1103 (Supra)

of the Act, or by the Commission’s Regulations may constitute a violation.

4) Procedure: The Commission will initially acknowledge

receipt of a complaint.

a) If the matter is not within the Commission’s jurisdiction or if the complaint lacks sufficient information, it will not be processed and the Complainant will be so notified.

b) Upon receipt of a sworn complaint within the

Commission’s jurisdiction, the Investigative Division initiates a preliminary inquiry. A preliminary inquiry is considered initiated at the time that it is officially docketed. 51 Pa. Code §21.3(a). A preliminary inquiry must be completed within 60 days, and is either terminated or opened

30

as a full investigation.

c) By statute, the subject of an investigation must be notified prior to the initiation of such investigation of the allegations against said person. 65 Pa.C.S. §1108(c). By regulation, an investigation is considered commenced when the Respondent is provided the requisite notice of the allegations. 51 Pa. Code §21.3(c).

d) The Complainant will be notified within 72 hours of

the commencement of a full investigation and both the Complainant and subject of the investigation will be notified every 90 days thereafter of the status of the matter, until the investigation is terminated.

e) If after a preliminary inquiry the matter is

terminated, both the Complainant and subject will be notified. If the Commission determines that a complaint is frivolous, the Commission shall so state.

f) If a full investigation has been conducted, upon

the conclusion of the investigation the subject of the complaint will be issued a findings report containing the relevant findings of fact. Such reports must be issued within 360 days of the initiation of the full investigation. See G.L. v. State Ethics Commission, __A.2d__ (2011 Pa. Commw. Lexis 105, decided March 17, 2011)(Findings Report may not be amended after 360 days but will be valid if timely issued and contains all of the necessary factual averments to support final Commission Order). The subject of the investigation must respond to said report within 30 days after the issuance thereof, unless an extension is granted. See Eathorne v. State Ethics Commission, 960 A.2d 206 (Pa. Cmwlth. 2008), petition for permission to appeal denied, 601 Pa. 698, 972 A.2d 523 (2009).

Comment: Under the prior version of law, no investigation

time limits were in effect. Laches would not bar action that took five years to investigate, absent prejudice being shown as a result of delay. Rebottini v. State Ethics Commission, 634 A. 2d 743 (Pa. Cmwlth. 1993). See also Snyder v. State Ethics Commission, 686 A.2d 843 (Pa. Commw. 1996),

31

allocatur denied, 0029 M.D. 1997, 12/23/97, for additional analysis of the investigative time limitations.

g) Upon completion of the investigation and the

issuance of and response to the findings report, the subject will be afforded a full and fair opportunity to challenge the findings and allegations. Such may include evidentiary hearings and arguments of law.

Note: Averments of fact contained in the findings report

which are admitted by Respondent are binding and may not be contradicted during an administrative trial. See Bartholomew v. State Ethics Commission, 795 A.2d 1073 (Pa. Cmwlth. 2002).

h) Upon the conclusion of the investigation and all

other proceedings, the Commission will issue a final order containing findings of fact and conclusions of law. Final orders issued by the Commission may be appealed to the Commonwealth Court of Pennsylvania. Any order requiring restitution may be enforced by either the State Ethics Commission or the Attorney General of the Commonwealth of Pennsylvania.

Note: Commission final orders may be the basis for and may be used to provide notice of other administrative proceedings. See Born Stein v. City of Connellsville, 39 A.3d 513 (Pa. Cmwlth. Ct. 2011) (Ethics order used to give notice of termination proceedings).

i) Commission loses jurisdiction to reconsider an

order after thirty (30) days. See Seropian v. State Ethics Commission, 20 A.3d 534, (Pa. Commw. 2011).

Note: In order for the Commission to find a violation of

Act 9 of 1989, at least four members of the Commission must so find by clear and convincing proof. A violation of Act 170 of 1978 requires substantial evidence.

CONFIDENTIALITY: 65 Pa.C.S. §§1108(a),(k)

1) All Commission information, proceedings and records

32

relating to an investigation are confidential until a final determination is made by the Commission. The final order is a public record. All other file material remains confidential. The identity of a Complainant, however, may be released by the Commission if it is determined that there has been a wrongful use of the Act. (See infra).

2) A person may disclose or acknowledge to another matters

that are otherwise confidential when the matter pertains to:

a) Final Orders.

b) Commission public hearings.

c) Seeking advice of legal counsel. d) Appealing a Commission order.

e) Communicating with the Commission or its staff in

the course of a preliminary inquiry, investigation, hearing or petition for reconsideration by the Commission.

f) 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.

Note: Evidence of the Ethics Act is properly admitted and may establish the basis for federal charges. See U.S. v. Fumo, 655 F.3d 288 at 302 (U.S. Ct. App. 3rd Cir. 2011).

g) Testifying under oath before a governmental body or a similar body of the United States of America.

h) A case in which the person making the disclosure is

the Respondent.

i) Such other exceptions as the Commission, by regulation, may direct.

Pursuant to its authority to direct additional exceptions to the confidentiality requirements, the State Ethics Commission adopted regulations providing for the following additional exceptions that confidentiality does not apply and will not be enforced as to:

33

1) The divulgence of information that third parties have

legally obtained about a confidential State Ethics Commission proceeding; and

2) The divulgence by individuals who are interviewees or

witnesses as to confidential State Ethics Commission proceedings regarding information that was already in their possession or obtained as a result of participation in such proceedings. 51 Pa.Code §21.6(9)(10).

These exceptions were prompted by case law. The Commission is promulgating Regulations as to these exceptions. Note: In relation to the confidentiality provisions, the

Ethics Commission is not required to divulge content of records and files relating to a preliminary inquiry to the subject of that inquiry in relation to a private, civil action that the individual has filed against the alleged complainers. See Garmong v. Stephanini, 802 A.2d 1264 (Pa. Cmwlth. 2002), petition for allowance of appeal denied, 573 PA 669, 820 A.2d 706.

The confidentiality provision of the Act as applied to the disclosure by a Complainant of the fact that a complaint has been filed with the Commission has been ruled unconstitutional. Stilp v. Contino, 613 F.3d 405 (U.S.C.A. 3rd Cir. 2010). See also Stilp v. Contino et. al., 629 F. Supp. 449 (USDC Middle Dist Pa. 2009); Stilp v. Contino, 2010 vs. Dist. LEXIS 104716 (USDC Middle Dist. Pa. 2010). COMPLAINT PROTECTIONS: 65 Pa.C.S. §§1108(j), 1109(e)

1) No public official or public employee shall discharge any official or employee or change his official rank, grade or compensation, or deny him a promotion, or threaten to do so, for filing a complaint with or providing information to the Commission or testifying in any commission proceeding.

2) Any person who engages in such retaliatory activity is

guilty of a misdemeanor and, in addition to any other penalty provided by law, shall be fined not more than $1,000.00 or imprisoned for not more than one year, or be both fined and imprisoned.

WRONGFUL USE OF ACT: 65 Pa.C.S. §1110 et seq.

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1) A Complainant may be civilly liable for a wrongful use of

act if:

a) The complaint was frivolous (filed in a grossly negligent manner without a basis in law or fact) or without probable cause and made primarily for a purpose other than that of reporting a violation of this Act; or

b) He publicly disclosed or caused to be disclosed

that a complaint against a person had been filed with the Commission.

Note: Subsection (b) above may be within the purview of

the recent ruling in Stilp v. Contino, 613 F.3d 405 (U.S.C.A. 3rd cir. 2010), holding the confidentiality provisions of the Act unconstitutional as applied to a Complainant’s disclosure of the filing of a complaint.

2) A person who signs a complaint alleging a violation of

this act has probable cause for doing so if he reasonably believes in the existence of the facts upon which the claim is based and either:

a) Reasonably believes that under those facts the

complaint may be valid under this act; or

b) Believes to this effect in reliance upon the advice of counsel, sought in good faith and given after full disclosure of all relevant facts within his knowledge and information.

3) If a public official or public employee has reason to

believe a complaint was frivolous or publicly disclosed (a wrongful use of act) such person may request the Commission to investigate said matter.

4) If the Commission determines that there has been a

wrongful use of act, the identity of the Complainant may, upon request of the subject, be released.

5) If the Commission determines that there has been no

wrongful use of act, the subject may appeal such decision to the commission at which time the subject may show cause why the Complainant violated such provisions.

35

6) If it has been determined that there has been a wrongful use of act, the subject may recover for the following:

a) The harm to his reputation by a defamatory matter

alleged as the basis of the proceeding.

b) The expenses, including any reasonable attorney fees, that he has reasonably incurred in proceedings before the Commission.

c) Any specific pecuniary loss that has resulted from

the proceedings.

d) Any emotional distress that has been caused by the proceedings.

e) Any punitive damages according to law in

appropriate cases. PENALTIES: 65 Pa.C.S. §1109

Violations of section 1103(a), (b), and (c) are felonies and can result in a fine of $10,000.00 and/or imprisonment for not more than five years. Violations of Section 1103(d) through (j), section 1104 or 1105(a) are misdemeanors and can result in a fine of $1,000.00 and/or imprisonment of not more than one year. Any person who obtains financial gain from violating any provisions of the act can be ordered to pay three times the financial gain into the State Treasury or the treasury of the political subdivision.

Note: The treble penalty provision of the Ethics Act has

been upheld in Commonwealth v. Cherpes, 360 Pa. Super. 246, 520 A.2d 439 (1987); appeal denied 515 Pa. 612, 530 A.2d 866 (1958).

Any person who obtains a financial gain in

violation of the Act in addition to the above penalties may be required to make restitution plus interest to the appropriate governmental body.

Any person who violates the confidentially of a

Commission proceeding (investigation) is guilty of a misdemeanor and may be fined not more than $1,000.00 and/or imprisoned for not more than a year.

Any person who willfully affirms or swears falsely

in regard to any material matter before the

36

Commission investigative proceeding is guilty of a felony and shall be fined not more than $5,000.00 and/or imprisoned for not more than 5 years.

Note: In Commonwealth ex rel Corbett v. Large, 715 A.2d

1226 (Pa. Cmwlth. Ct. 1998) appeal denied 554 Pa. 643, 722 A.2d 685 (1999). The Commonwealth Court of Pennsylvania determined that a conviction for violations of Section 9(e) (False swearing in regard to any material matter before a State Ethics Commission proceeding) was an infamous crime within the parameters of Article 2, Section 7 of the Pennsylvania Constitution which would prohibit an individual convicted of perjury or other infamous crime from holding any office of trust or profit in the Commonwealth of Pennsylvania. As such, a township supervisor so convicted was removed from office.

In addition to any other civil or criminal penalty provided

for in the Act, failure to timely file a Statement of Financial Interest or filing of a deficient statement may result in a fine of $25.00 per diem up to $250.00 Note: A public official of a political subdivision who

acts in good faith reliance on a written, non-confidential opinion of the political subdivision’s solicitor shall not be subject to the criminal or treble damage penalties of the Act. A conviction for violations of the Ethics Act may be sufficient to institute quo warranto for ouster of public official as a conviction of infamous crime, Com ex rel Corbett v. Desiderio, 698 A.2d 134 (Pa. Cmwlth. Ct. 1997).

SUPPLEMENTAL PROVISIONS:

Any governmental body may adopt requirements to supplement this Act provided that no such requirement shall in any way be less restrictive than the Act.

A governmental body may only enact supplemental provisions

that relate to officials and employees within their jurisdiction. County commissioners therefore cannot impose supplemental ethics provisions on row officials. Ricci v. Mathews, 2 A.3d 1297 (Pa. Cmwlth. Ct. 2010); affirmed (without opinion) 610 Pa. 455, 21 A.3d 1187 (2011).

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REGULATIONS:

The Regulations of the Commission may be found at 51 Pa. Code §11.1.

CONFLICT OF LAW:

If the provisions of this Act conflict with any other statute, ordinance or regulation or rule, the provisions of this Act shall control. PUBLIC INSPECTION OF FINANCIAL INTEREST STATEMENTS:

Financial Interest Statements on file with the State Ethics Commission will be available for public inspection and copying between the hours of 8:00 a.m. and 5:00 p.m. Monday through Friday, excluding legal holidays. There is a charge of .25 per page.

All statements must be made available for public inspection. COMMISSION DECISIONS:

The complete text of Commission decisions (Opinions, Advices of Counsel, Orders) are forwarded to a law library and public library in each county, as well as to the state library. GAMING ACT LIST: Pursuant to recent amendments to the Pennsylvania Race Horse Development and Gaming Act, 4 Pa.C.S. §1101 et seq. as amended by Act 135-2006, the Pennsylvania State Ethics Commission has been mandated to create and maintain a list of all individuals identified as public officials or executive level public employees as those terms are defined in the Gaming Act. This list will include employees of counties or municipalities with discretionary powers which may affect or influence the outcome of the county of municipality’s actions or decision or who was otherwise involved in the development of law, regulation or policy relating to a licensed gaming entity. Additionally, this list will include public officials serving in any county or municipality that directly receives a distribution of revenue under the Gaming Act. STATE ETHICS COMMISSION WEB PAGE:

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The State Ethics Commission has a comprehensive web page that

provides information through the internet on various areas of interest. The Commission's web page contains the Ethics Act, the Lobbying Disclosure Law, the Commission's Regulations, Statements of Financial Interests on file with the Commission, as well as a searchable e-library of all Commission rulings.

A

STATE ETHICS COMMISSIONSTATEMENT OF FINANCIAL INTERESTS

THIS FORM MUST BE COMPLETED AND FILED BY:

IMPORTANT: review the filing chart(Page 4) for proper filing location.

A former public official or former public employee must file the year after termination ofservice with the governmental body.

B

C

D

E

DO NOT USE FORMS PRINTED PRIOR TO YEAR 2012 (Rev. 01/12)

THIS FORM IS CONSIDERED DEFICIENT IF ANY BLOCK IS NOT COMPLETED ORIF SIGNATURE OR DATE IS MISSING

SIGN THE FORM USING THE CURRENT DATE - DO NOT BACK DATE SIGNATURE

MAKE A COPY FOR YOUR RECORDS

THIS FORM IS CONSIDERED DEFICIENT IF ANY BLOCK IS NOT COMPLETED ORIF SIGNATURE OR DATE IS MISSING

SIGN THE FORM USING THE CURRENT DATE - DO NOT BACK DATE SIGNATURE

THOSE REQUIRED TO FILE FOR MORE THAN ONE POSITION MUST FILE IN ALL FILINGLOCATIONS FOR ALL SUCH POSITIONS

(see filing chart on back of form)

SEC-1 (Rev. 01/15)

List a business, governmental and/or home address and daytime telephone number.

SEC-1 (Rev. 01/15)

List the calendar year for which you are filing this form. For Example, if this form is being completed in the calendar year 2014, block 07 should read “2013” and all information in blocks 08 through 15 should represent financial interests for calendar year 2013.

TRANSPORTATION, LODGING, OR HOSPITALITY EXPENSES: List the name and address of each source and the amount of each pay-ment/reimbursement by the source for transportation, lodging or hospitality that you received in connection with your public position if the aggregate amount of such payments/reimbursements by the source exceeds $650 for the calendar year for which you are reporting. Do not report reimbursements made by a governmental body or by an organization/association of public officials/employees of political sub-divisions that you serve in an official capacity. If you do not have any reportable expense payments/reimbursements, then check “NONE.”

STATEMENT OF FINANCIAL INTERESTS INSTRUCTIONS Please print neatly in capital letters. If you require more space than has been provided, please attach an 8 ½” X 11” piece of paper to the form. Blocks 01 through 06 are for current information.

Block 1 Please fill in your last name, first name, middle initial and suffix (if applicable) in the boxes provided. Public office candidates should use the exact name used on official nomination petition or papers.

Block 2 List an office (business or governmental) or home address and daytime telephone number.

Block 3 Please check the block or blocks to indicate your status. See definitions on page 1. If you are correcting a prior filing, please check the block, designating an amended form.

Block 4 Please check the appropriate block (seeking, hold, held) for each position you list in the blocks below. List all of the public position(s) which you are seeking, currently hold, or have held in the prior calendar year. Please be sure to include job titles and official titles such as “member” or “commissioner” (even if serving as an alternate/designee).

Block 5 Please list all political subdivision(s) agency(ies) as to which you: (1) are presently seeking a public position or public office as a candidate (incumbent or non-incumbent) or nominee; (2) presently hold a public position or public office; and/or (3) previously held a public position or public office during all or any portion of the calendar year listed in block 7. (The term “political subdivision” includes a county, city, borough, incorporated town, township, school district, vocational school, county institution, district, and any authority, entity or body organized by the aforementioned.)

Block 6 Please list your current occupation or profession. This information may have already been stated in block 4.

Block 7 List the calendar year for which you are filing this form. For example, if this form is being completed in the calendar year 2015, block 07 should read “2014” and all information in blocks 08 through 15 should represent financial interests for calendar year 2014.

Block 8 REAL ESTATE INTERESTS: This block contains the address of any property which was involved in transactions (leasing, purchasing, or condemnation proceedings of real estate interests) with the Commonwealth or any other governmental body within the Commonwealth. If you have no direct or indirect interests in such a property, then check “NONE.”

Block 9 CREDITORS: This block contains the name and address of any creditor and the interest rate of any debt over $6,500 regardless of whether such debt is held solely by you or jointly by you and any other individual, including your spouse, where each obligor is fully responsible for the obligation. A joint obligation with other persons, for which the filer is responsible only for a proportional share that is less than the reporting threshold, is not required to be reported. Do not report a mortgage or equity loan on your home (or secondary home), or loans or credit between you and your spouse, child, parent or sibling. Car loans, credit cards, personal loans and lines of credit must be listed on the form if the balance owed was in excess of $6,500 at any time during the calendar year. If you do not have any reportable creditor, then check “NONE.”

Block 10 DIRECT OR INDIRECT SOURCES OF INCOME: List the name and address of each source of $1,300 or more of gross income regardless of whether such income is received solely by you or jointly by you and another individual such as a spouse. “Income” includes any money or thing of value received or to be received as a claim on future services or in recognition of services rendered in the past, whether in the form of a payment, fee, salary, expense, allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, reward, severance payment, proceeds from the sale of a financial interest in a corporation, professional corporation, partnership or other entity resulting from termination/withdrawal therefrom upon assumption of public office or employment or any other form of recompense or combination thereof. The term refers to gross income; it includes prize winnings and tax-exempt income but does not include gifts, governmentally mandated payments or benefits, retirement, pension or annuity payments funded totally by contributions of the public official or employee, or miscellaneous, incidental income of minor dependent children. If you do not have ANY reportable source of income, then check “NONE.”

Block 11 GIFTS: For each source of gift(s) valued at $250 or more in the aggregate, list the following information: the name and address of the source; the circumstances, including a description, of each gift; and the value of the gift(s). Do not report political contributions otherwise reportable as required by law, gift(s) from friends or family members (although the term “friend” does not include a registered lobbyist or employee of a registered lobbyist), or any commercially reasonable loan made in the ordinary course of business. If you did not receive any reportable gift, then check “NONE.”

Block 12 TRANSPORTATION, LODGING, OR HOSPITALITY EXPENSES: List the name and address of each source and the amount of each payment/reimbursement by the source for transportation, lodging or hospitality that you received in connection with your public position if the aggregate amount of such payments/reimbursements by the source exceeds $650 for the calendar year for which you are reporting. Do not report reimbursements made by a governmental body or by an organization/association of public officials/employees of political subdivisions that you serve in an official capacity. If you do not have any reportable expense payments/reimbursements, then check “NONE.”

Block 13 OFFICE, DIRECTORSHIP OR EMPLOYMENT IN ANY BUSINESS ENTITY: List both the name and address of the business entity for any office that you hold (for example, President, Vice President, Secretary, Treasurer), any directorship that you hold (through service on a governing board such as a board of directors), and any employment that you have in any capacity whatsoever as to any business entity. This block focuses solely on your status as an officer, director or employee, regardless of income. If you do not have any office, directorship or employment in any business entity to report, then check “NONE”.

Block 14 FINANCIAL INTERESTS: List the name and address and interest held in any business for profit of which you own more than 5% of the equity or more than 5% of the assets of economic interest in indebtedness. If you do not have any such financial interest to report, then check “NONE.”

Block 15 TRANSFERRED BUSINESS INTERESTS: List the name and address of any business as to which you transferred a financial interest (as defined in Item 14) to a member of your immediate family (parent, spouse, child, brother or sister), as well as the interest held, relationship to the individual, and date of transfer. If you did not transfer any such business interest, then check “NONE.”

Please sign the form and enter the current date. Do not back date your signature.

ADDRESS office (business or governmental) or home

01/15

Indicate calendar year for which form is being filed. SEE INSTRUCTIONS.

DIRECT OR INDIRECT SOURCES OF INCOME including (but not limited to) all employment.

THIS FORM IS CONSIDERED DEFICIENT IF ANY BLOCK ABOVE IS NOT COMPLETED. MAKE A COPY FOR YOUR RECORDS.

,

ORIGINAL COPY ADDITIONAL FILINGS*

No additional copy required

Additional copy is not required to be filed (unless serving in

multiple capacities, then file with each entity as required)

Additional copy is not required to be filed (unless serving in

multiple capacities, then file with each entity as required)

* FILER IS RESPONSIBLE FOR MAKING ANY ADDITIONAL COPIES.

No additional copy required

State Ethics Commission

Opinion/Advice Flow Chart

Investigation Flow Chart

SAMPLE WRITTEN MEMORANDUM FOR DISCLOSING A CONFLICT OF INTEREST

IN ACCORDANCE WITH SECTION 1103(j) OF THE PUBLIC OFFICIAL AND EMPLOYEE ETHICS ACT,

65 PA.C.S. § 1103(j) (FILE WITH PERSON RESPONSIBLE FOR RECORDING THE MINUTES OF THE MEETING)

Pursuant to Section 1103(j) of the Public Official and Employee Ethics Act (“Ethics Act”), 65

Pa.C.S. § 1103(j), this written memorandum will serve to disclose that I, ______(insert

name)___, in my capacity as a _____(insert public position held)___ of ___(insert name of

governmental body served)___, am abstaining from agenda item ___(insert number, letter or

other identifier of agenda item)____ for the ___(regular/special)__ meeting of ___(insert

date)___, pertaining to _____(insert description of agenda item)___, due to a conflict of

interest under the Ethics Act. The nature of my interest is as follows: _____(insert a description

of the nature of the interest, for example, “my son is applying for the job,” or “my employer is

bidding on this project”)_____.

Date: ___(insert date of memorandum)__ ________________________________ (signature)

INVESTIGATION ORDERS SUMMARY

The State Ethics Commission issued the following Orders based upon alleged violations of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. §1101, et seq. While the following summaries of Orders are pertinent only to the involved individuals and their circumstances, the

principles can be used as general guidelines.

2010 - 2015 SELECTED SUMMARIES OF

STATE ETHICS COMMISSION RULINGS INVOLVING TOWNSHIP OFFICIALS

ORDERS Order No. 1548 (Dotts) Decided: February 18, 2010

Issued: February 22, 2010

Dorothy Dotts, a public official/public employee in her capacity as Secretary/Treasurer of Green Township, Indiana County, from October 1, 1990, through March 28, 2008, violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when she utilized Township credit cards to make personal purchases and subsequently signed Township checks issued to vendors for personal purchases. Dotts violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), when she authorized Township payments to herself, including altering of Township checks, without approval of the Township Board of Supervisors. Dotts violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), when she prepared and signed Township payroll checks issued to her for hours not worked to conceal payments owed to her husband. Dotts violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), when she failed to timely file Statements of Financial Interests with the Township for the 2003 through 2007 calendar years.

Dotts violated Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. §1105(b)(5), when she failed to disclose all direct and/or indirect sources of income on SFIs for the 2005 and 2006 calendar years. Dotts is directed to make payment of restitution in the amount of $42,007.76 payable to Green Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order for processing. Dotts is directed to file SFIs with the Township for calendar years 2003, 2004, and 2007, and to file amended SFIs with the Township for calendar years 2005 and 2006, disclosing all required information. This matter shall be referred to the Pennsylvania Attorney General and the District Attorney of Indiana County for review for whatever action they may deem appropriate. Order No. 1555 (Yerke) Decided: March 25, 2010 Issued: April 9, 2010 As a Supervisor of Covington Township, Thomas Yerke unintentionally violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1103(a), when he voted to appoint himself as Roadmaster and/or Director of Public Works for the Township. A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred in relation to Yerke’s utilization of a Township provided cellular telephone for his personal purposes. Per the Consent Agreement of the parties, Yerke is directed to make payment in the amount of $1,350.00 payable to Covington Township. Order No. 1556 (Christy) Decided: April 19, 2010 Issued: April 21, 2010 As Secretary/Treasurer for Muddy Creek Township, Butler County, Dixie Christy violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when, during the time period of 2004 through 2008, she used the authority of her public position for private pecuniary benefit by authorizing payments to her which were neither approved nor authorized by the Township Board of Supervisors. Christy is directed to make payment of restitution in the amount of $95,755.34 payable to Muddy Creek Township. . Order No. 1563 (Bashore) Decided: October 19, 2010 Issued: October 22, 2010 David Bashore, a public official/public employee in his capacity as the Manager of Radnor Township, Delaware County, from November 13, 2000, to April 13, 2009, violated Section

1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he used the authority of his pubic position for private pecuniary benefit by annually authorizing lump sum payments to himself without the approval of the Township Board of Commissioners, and when he directed Township staff to issue leave payments to him that were not approved by the Board and were not part of his compensation package. Per the Consent Agreement of the parties, Bashore is directed to make payment in the amount of $55,331.21 payable to Radnor Township. Order No. 1564 (Ahner) Decided: October 19, 2010 Issued: October 22, 2010 As the Tax Collector for Penn Forest Township, Barbara Ahner violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when she received compensation by charging real estate tax certification fees and duplicate tax bill fees, as Tax Collector, which fees were not approved by the Township Board of Supervisors. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Ahner filed deficient Statements of Financial Interests for calendar years 2005, 2006, and 2007, when she failed to list all sources of income in excess of $1,300.00. Per the Consent Agreement of the parties, Ahner is directed to make payment in the amount of $20,000.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Ahner is further directed to file with the Township, through this Commission, amended SFIs listing all sources of income in excess of $1,300.00 for calendar years 2005, 2006, and 2007. Order No. 1565 (Burchfield) Decided: October 19, 2010 Issued: October 26, 2010 A technical violation of Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), occurred when David Burchfield Sr., in his capacity as a Supervisor for Blair Township, Blair County, approved payments and/or donations to the Duncansville Volunteer Fire Company – Blair Township Fire Department, which said funds were used to pay rental on a facility owned by a business with which Burchfield is associated. Per the Consent Agreement of the parties, Burchfield is directed to neither seek nor accept any consideration, in any form, from DVFC, representative of unpaid rent for any of the months in which DVFC occupied any buildings owned by Burchfield, The Burchfield Organization, The Burchfield Limited Partnership, past or present employees of Burchfield, or members of Burchfield’s immediate family.

Per the Consent Agreement of the parties, Burchfield is further directed to neither seek nor hold any position of public office or of public employment in the Commonwealth of Pennsylvania at any time. Per the Consent Agreement of the parties, any future contracts between DVFC and Burchfield, a member of Burchfield’s immediate family, or any business with which Burchfield or a member of his immediate family is associated must be made at fair market value to be determined by an independent and disinterested party. This is not intended to prohibit Burchfield, a member of Burchfield’s immediate family, or any business with which Burchfield or a member of his immediate family is associated from providing goods or services to DVFC for less than fair market value as a gift or donation. Order No. 1570 (Nashtock, Jr.) Decided: October 19, 2010

Issued: October 26, 2010

Michael P. Nashtock, Jr., a public official in his capacities as a Supervisor for South Pymatuning Township, Mercer County, and as a Member of the South Pymatuning Township Municipal Authority unintentionally violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when, after having voted as a Township Supervisor in 2002 to appoint himself to the Authority Board and to set the compensation of Authority Board Members, he voted as an Authority Board Member on January 5, 2005, January 4, 2006, and January 18, 2008, to increase compensation for Members of the Authority, without approval of the Township Board of Supervisors (the appointing authority). Nashtock did not violate Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), as alleged, based upon insufficient evidence. A technical violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Nashtock failed to list all direct/indirect sources of income on his 2004, 2005 and 2008 Statements of Financial Interests, namely the Authority on SFIs filed for calendar years 2004, 2005 and 2008, and the Township on SFIs (original and amended) filed for calendar year 2008. Per the Consent Agreement of the parties, Nashtock is directed to make payment in the amount of $3,000.00 payable to the South Pymatuning Township municipal Authority and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1571 (Reisinger) Decided: October 19, 2010

Issued: October 26, 2010

Jonathan Reisinger, a public official/public employee in his capacities as the Dickinson Township Zoning Officer, Sewage Enforcement Officer and Codes Enforcement Officer from January 2, 2002, until October 21, 2008, and as the SEO/Alternate SEO for Cooke Township (April 5, 2000, to June 1, 2009), Lower Mifflin Township (January 2, 2001, to present), Hopewell Township (January 5, 2004, to at least July 6, 2010), and North Middleton Township

(January 7, 2008 to December 31, 2008), violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he used the authority of his public position(s) with Dickinson Township for private pecuniary benefit by utilizing the resources of Dickinson Township, including but not limited to office space, computers, telephones, copy machines and fax equipment for his outside employment/business interests, and when he performed work for non-Dickinson Township entities while on Dickinson Township time. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Reisinger, in his capacity as the Cooke Township SEO, failed to file Statements of Financial Interests with Cooke Township for the 2005, 2006, 2007, and 2008 calendar years; when in his capacity as the Hopewell Township Assistant SEO/SEO he failed to file SFIs with Hopewell Township for the 2005, 2006, and 2008 calendar years; when, as the Lower Mifflin Township SEO, he failed to file SFIs with Lower Mifflin Township for the 2005 and 2008 calendar years; and when in his capacity as the North Middleton Township Assistant SEO/SEO he failed to file an SFI with North Middleton Township for the 2007 calendar year. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Reisinger failed to list Dickinson Township as a direct or indirect source of income on his SFIs filed with Dickinson Township for the 2005 and 2006 calendar years; when in his capacity as the Hopewell Township Assistant SEO/SEO he failed to list all direct or indirect sources of income on his SFI for the 2007 calendar year; and when, as the Lower Mifflin Township SEO, he failed to list all direct or indirect sources of income and office, directorship or employment in any business on his SFI for the 2006 calendar year, and failed to list all direct or indirect sources of income on his SFI for the 2007 calendar year. Per the Consent Agreement of the parties, Reisinger is directed to make payment in the amount of $2,683.21 payable to Dickinson Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1575 (Wilson) Decided: December 15, 2010

Issued: December 20, 2010

As a Supervisor of East Finley Township, Washington County, Paul Wilson violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when, as a Member of the Township Board of Supervisors, he participated in discussions and actions of the Township Board of Supervisors to award contracts to “Wilson’s Outdoor Services” a business owned by his son. Per the Consent Agreement of the parties, a violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. §1103(f), occurred when Township projects valued at in excess of $500.00 were awarded to Wilson’s Outdoor Services, a business owned by Wilson’s son, without an open and public process.

A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), occurred when Wilson participated in actions of the Township Board of Supervisors to authorize payments to Wilson’s son’s company, Wilson’s Outdoor Services. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Wilson failed to file a Statement of Financial Interests for the 2006 calendar year by May 1, 2007. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Wilson failed to disclose all direct/indirect sources of income on SFIs filed for the 2004, 2005, 2007 and 2008 calendar years. Per the Consent Agreement of the parties, Wilson is directed to make payment in the amount of $8,000.00 payable to East Finley Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Wilson is directed that he is to neither seek nor hold any position of public office or of public employment in the Commonwealth of Pennsylvania at any time. Order No. 1576 (Obernier) Decided: December 15, 2010

Issued: December 20, 2010

As a Supervisor for West Brandywine Township, Chester County, Josef G. Obernier did not violate Section 1103(f) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(f), when the Township awarded contracts in excess of $500.00 to a business with which Obernier is associated, OAC Network Solutions, as the initial work was completed through a state contract and in that the Township issued RFPs for the additional work. An unintentional violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), occurred in relation to Obernier’s approval of payments to OAC, a business with which he is associated. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Obernier failed to disclose all sources of income on his Statements of Financial Interests filed for the 2006, 2007 and 2008 calendar years. Obernier is directed to make payment in the amount of $1,275.20 payable to West Brandywine Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order.

Order No. 1577 (Hockenberry) Decided: December 15, 2010 Issued: December 20, 2010

As a Supervisor of Connoquenessing Township, Evelyn Hockenberry violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), in relation to her actions to set her compensation as Township Secretary/Treasurer without Auditor approval. A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), occurred when Hockenberry, as a Secretary/Treasurer for the Township, issued unauthorized payments to herself. A technical violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Statements of Financial Interests for Hockenberry for calendar year 2005 and 2006 were not on file with the Township. A technical violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Hockenberry failed to disclose all direct/indirect sources of income on her SFI(s) filed for the 2008 calendar year. Per the Consent Agreement of the parties, Hockenberry is directed to make payment in the amount of $15,000.00 as follows: (a) $10,000 payable by certified check or money order made payable to Connoquenessing Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order; and (b) $5,000 in reimbursement representing a portion of the expenses and costs incurred by the Pennsylvania state Ethics Commission in the investigation and administrative prosecution of the instant matter, payable by certified check or money order made payable to the Pennsylvania State Ethics Commission, with said payment of $5,000 tendered upon the execution of the Consent Agreement by Hockenberry. Order No. 1580 (Barbisch) Decided: March 3, 2011

Issued: March 10, 2011

As a Township Supervisor for East Finley Township, Ralph Barbisch violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), in relation to his participation in discussions of the Township Board of Supervisors resulting in the award of contracts to Rudy Barbisch Remodeling, a business with which Barbisch is associated. A violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. §1103(f), occurred when contracts valued at in excess of $500.00 between the Township and Rudy Barbisch Remodeling, a business with which Barbisch is associated, were awarded without an open and public process. A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §f1103(a), occurred in relation to Barbisch’s participation in authorizing payments to Rudy Barbisch Remodeling, including directing that all payments be made and subsequently signing checks.

A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §f1105(b), occurred in relation to Barbisch’s failure to disclose all direct/indirect sources of income in excess of $1,300.00 on Statements of Financial Interests filed for the 2005, 2006, 2007 and 2008 calendar years. Per the Consent Agreement of the parties, Barbisch is directed to make payment in the amount of $11,649.98 by certified check or money order made payable to East Finley Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Barbisch is directed that he is to neither seek nor hold any position of public office or of public employment in the Commonwealth of Pennsylvania at any time. Order No. 1581 (Brink) Decided: March 3, 2011

Issued: March 10, 2011

As a Supervisor for Chest Township from January 5, 2004, through December 31, 2009, Leroy Brink violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he used the authority of his public position for the private pecuniary benefit of his son, Larry Brink, and/or a business with which Larry Brink is associated, “Larry Brink Trucking”, when Brink authorized Township contracts with LBT without a vote of the Township Board of Supervisors and when he participated in approving payments to LBT. Per the Consent Agreement of the parties, a violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. §1103(f), occurred when Township contracts in excess of $500.00 were entered into with Brink’s son’s company, LBT, without an open and public process. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Brink failed to file Statements of Financial Interests for the 2003 and 2004 calendar years. Per the Consent Agreement of the parties, Brink is directed to make payment in the amount of $4,000.00 payable to Chest Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Order No. 1583 (Baker) Decided: May 16, 2011

Issued: May 23, 2011

As a Supervisor of Hopewell Township, Matthew Baker violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he used the authority of his public position for the private pecuniary benefit of members of his immediate family by participating in actions of the Township Board of Supervisors to hire members of his immediate family to perform labor for the Township.

Baker violated Section 1103(a) of the Ethics Act when he used the authority of his public office by authorizing equipment rentals and participating in the approval of payments for equipment rentals by the Township from Baker’s Farm, a business with which he is associated as a partner. Baker violated Section 1103(f) of the Ethics Act when Baker’s Farm entered into equipment rental contracts with the Township that were in excess of $500.00 without an open and public process. Baker violated Section 1103(a) of the Ethics Act when he used the authority of his public office by authorizing hauling services and participating in the approval of payments for hauling services provided to the Township by Baker’s Hauling, a business with which his brother is associated. Baker violated Section 1104(a) of the Ethics Act when he failed to file Statements of Financial Interests with the Township for calendar years 2005, 2006 and 2007. Baker is directed to make payment of restitution in the amount of $2,281.50 payable to Hopewell Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Baker is directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the aforesaid restitution. Order No. 1584 (Schell) Decided: June 23, 2011

Issued: July 6, 2011

As a Supervisor of Foster Township, Luzerne County, Jonas Schell violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he participated in the award of contracts to J&A Schell General Contractor, a business with which Schell is associated. A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), occurred in relation to Schell’s approving of Township payments to J&A Schell General Contractor, a business with which he is associated. A violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. §1103(f), occurred when Schell entered into contracts in excess of $500.00 between the Township and J&A Schell General Contractor, a business with which he is associated, without an open and public process. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Schell failed to disclose: all direct and/or indirect sources of income; his office, directorship or employment in J&A Schell General Contractor; and his financial interest(s) in J&A Schell General Contractor, on his Statements of Financial Interests filed for the 2005, 2006, 2007 and 2008 calendar years. Per the Consent Agreement of the parties, Schell is directed to make payment in the amount of $4,100.00 payable to Foster Township.

Per the Consent Agreement of the parties, Schell is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1585 (Grimes) Decided: June 23, 2011

Issued: July 6, 2011

As a Commissioner for North Versailles Township, Allegheny County, Ruth Grimes unintentionally violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when she facilitated her placement on the Township health insurance plan at Township expense without discussion or approval by the Township Board of Commissioners and when she failed to pay costs of the premiums. An unintentional violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred in relation to Grimes’ failure to disclose all direct/indirect sources of income, her office, directorship or employment in any business, and her financial interest in any legal entity engaged in business for profit on her Statements of Financial Interests filed for the 2008 and 2009 calendar years. An unintentional violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred in relation to Grimes’ failure to disclose her office, directorship or employment in any business and her financial interests in any legal entity in business for profit on her Statement of Financial Interests filed for the 2007 calendar year. Per the Consent Agreement of the parties, Grimes is directed to make payment in the amount of $4,401.05 payable to North Versailles Township and forwarded to the Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Grimes is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1586 (Dull, Dennis) Decided: June 23, 2011

Issued: July 8, 2011

An unintentional violation of Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), occurred when Dennis Dull, as a Commissioner for North Versailles Township, facilitated his placement on the Township health insurance plan at Township expense without discussion or approval by the Township Board of Commissioners and when he failed to pay costs of the premiums. An unintentional violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Dull’s Statement of Financial Interests for the 2008 calendar year was not on file with the Township.

An unintentional violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred in relation to Dull’s failure to disclose all direct/indirect sources of income in excess of $1,300.00, and his office, directorship or employment in any business, on his SFI filed for the 2009 calendar years. Per the Consent Agreement of the parties, Dull is directed to make payment in the amount of $6,897.10 payable to North Versailles Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Dull is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1587 (Dull, Bryan) Decided: June 23, 2011

Issued: July 8, 2011

An unintentional violation of Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), occurred when Bryan Dull, as a Commissioner for North Versailles Township, facilitated his placement on the Township health insurance plan at Township expense without discussion or approval by the Township Board of Commissioners and when he failed to pay costs of the premiums. An unintentional violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred in relation to Dull’s failure to file Statements of Financial Interests for the 2005, 2006, 2007, 2008 and 2009 calendar years. Per the Consent Agreement of the parties, Dull is directed to make payment in the amount of $2,989.41 payable to North Versailles Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Dull is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1593 (Kaltenbaugh) Decided: September 27, 2011 Issued: October 6, 2011 As a Supervisor for Connoquenessing Township, Jack Kaltenbaugh violated Section 103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), in relation to his approval regarding a subdivision/loan development application when his company was performing excavating and construction services in relation to the project that was the subject of the application or when he had a reasonable expectation that his company would be considered for or receive contracts in relation to that project.

Per the Consent Agreement of the parties, Kaltenbaugh is directed to make payment in the amount of $8,890.31 payable to Connoquenessing Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Kaltenbaugh is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1596 (Michael) Decided: January 30, 2012 Issued: February 14, 2012 As a Supervisor for Chest Township, Clearfield County, Carl Michael violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he, acting in his official capacity as a Township Supervisor, authorized repairs to be made to Township vehicles at a business with which he is associated, Michael Auto Body. A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), occurred when Michael, acting in his official capacity as a Township Supervisor, approved payments to Michael Auto Body, a business with which he is associated. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred in relation to Michael’s failure to file Statements of Financial Interests for the 2006 and 2008 calendar years. Per the Consent Agreement of the parties, Michael is directed to make payment in the amount of $1,000.00 payable to Chest Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Order No. 1597 (Polites) Decided: January 30, 2012 Issued: February 14, 2012 As a Supervisor for West Carroll Township, Timothy J. Polites violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), in relation to his participation and actions as a Township Supervisor in the reviewing and preparing of bids and specifications in relation to a Township building project, resulting in the award of contracts to businesses with which he is associated, and when he subsequently participated in the approval of payments to these companies. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Polites failed to disclose on Statements of Financial Interests filed for the 2006, 2007, and 2008 calendar years all direct and/or indirect sources of income, and office, directorship or employment in any business; and when he failed to disclose on SFIs filed for the 2006, 2007, and 2009 calendar years his financial interests in any legal entity in business for profit.

Per the Consent Agreement of the parties, Polites is directed to make payment in the amount of $4,000.00 payable to West Carroll Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Order No. 1601 (Wherry) Decided: April 12, 2012 Issued: May 1, 2012 As a Township Supervisor for Summerhill Township, Cambria County, Pennsylvania, Earl Wherry did not violate Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), in relation to his participation in discussions and actions of the Township Board of Supervisor to terminate a contract with the Cambria County Building Code Enforcement Agency at a time when Wherry had an ongoing building/permitting project with CCBCEA, as there is insufficient evidence to establish a use of office constituting a violation. A violation of Section 1104(a), 1104(d) and 1105(b) of the Ethics Act, 65 Pa.C.S. §§1104(a), 1104(d) and 1105(b), occurred in relation to Wherry’s failure to file a Statement of Financial Interests for the 2009 calendar year and when he failed to disclose on an SFI for the 2010 calendar year his occupation or profession, real estate interests, and business interests transferred to immediate family members. Per the Consent Agreement of the parties, Wherry is directed to make payment in the amount of $1,875.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing of the Commission’s Order. Order No. 1607 (Carner) Decided: September 24, 2012

Issued: October 9, 2012

As a Supervisor for Fairview Township, Erie County, Dave Carner violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), in relation to his participation in discussions and actions of the Township Board of Supervisors which resulted in the Township hiring “Carner Services,” a business owned by Carner’s father, to perform services for Township; and when Carner participated in actions of the Board of Supervisors to approve payments issued to “Carner Services. Respondent’s Statement(s) of Financial Interests for calendar years 2007 and 2008, which were filed as a Member of the Township Parks and Recreation Board and listed “Township Supervisor” and “Supervisor – Fairview Township,” constituted substantial compliance with the Ethics Act such that it is appropriate to permit amendment as per in In re Benninghoff, 578 Pa. 402, 852 A.2d 1182 (2004). Per the Consent Agreement of the parties, Carner is directed to make payment in the amount of $1,225.00 payable to Fairview Township and forwarded to the Pennsylvania State Ethics Commission.

Order No. 1612 (Packrall) Decided: January 28, 2013 Issued: February 13, 2013

A violation of Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), occurred when Mike Packrall, as a Commissioner for East Bethlehem Township, Washington County, participated in actions which resulted in the purchase of equipment from Sun Industrial, Inc., a business with which he and/or his spouse is associated. A violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. §1103(f), occurred when the Township entered into contracts for equipment and services with Sun Industrial, Inc. in excess of $500.00 without an open and public process. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Packrall failed to file Statements of Financial Interests for calendar years 2006, 2008, and 2009 with the Township. Per the Consent Agreement of the parties, Packrall is directed to make payment in the amount of $1,412.75 payable to East Bethlehem Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Order No. 1617 (Luckenbill) Decided: April 10, 2013 Issued: April 16, 2013 As a Member of the Wayne Township Board of Supervisors, Larry Luckenbill violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he used the authority of his office by participating in discussions and actions of the Township Board of Supervisors to award contracts for Township paving and road projects to EJB Paving & Materials and Pennsy Supply, Inc. at a time when it was reasonably foreseeable that Luckenbill Brothers Paving Company, a business with which Luckenbill was associated, would be utilized as an independent hauler on those projects. A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), occurred when Luckenbill used the authority of his office by authorizing payments to be issued to Luckenbill Brothers Paving Company by the Township, for services rendered by Luckenbill Brothers Paving Company. A violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. §1103(f), occurred when Luckenbill and/or a business with which he is associated, namely Luckenbill Brothers Paving Company, entered into contracts with the Township in excess of $500.00 without an open and public process.

A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Luckenbill failed to file Statements of Financial Interests for 2007 and 2009 calendar years, and when he failed to disclose, on a Statement of Financial Interests filed for the 2010 calendar year, real estate interests, creditors and gifts. No violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred as to the allegation of a failure to file a Statement of Financial Interests for calendar year 2006, in that the form was timely filed with the Township. Per the Consent Agreement of the parties, Luckenbill is directed to make payment in the amount of $1,070.49 payable to Wayne Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Order No. 1610-2 (Nenstiel) Decided: April 10, 2013 Issued: April 12, 2013 As a Member of the Black Creek Township Board of Supervisors, Donald R. Nenstiel violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he received compensation from the Township for hours in excess of those actually worked as Roadmaster/laborer, and when he subsequently approved those hours for payment as a Township Supervisor. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Nenstiel failed to disclose direct/indirect sources of income in excess of $1,300.00 on Statements of Financial Interests filed for the 2006, 2007, 2008, 2009 and 2010 calendar years. As part of a negotiated settlement agreement, no violation of Section 1104(d) of the Ethics Act, 65 Pa.C.S. §1104(d), occurred in relation to Nenstiel’s failure to disclose the receipt of income in excess of $1,300.00 on his Statements of Financial Interests filed for the 2006, 2007, 2008, 2009 and 2010 calendar years. Per the Consent Agreement of the parties, Nenstiel is directed to make payment in the amount of $3,399.50 payable as follows: (1) $1,000.00 payable to Black Creek Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order; (b) $1,250.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order; and (c) $1,149.50 payable by certified check or money order made payable to the Pennsylvania State Ethics Commission and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order.

Order No. 1623 (Tvardzik) Decided: October 8, 2013 Issued: October 22, 2013 As a Supervisor for Paint Township (“Township”), Somerset County, Andrew Tvardzik (“Tvardzik”) did not violate Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to his assuming the position of consultant/liaison for the Township, as there is insufficient evidence to establish that Tvardzik utilized the authority of his office to obtain this position. A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred in relation to Tvardzik claiming compensation for duties related to his position as an elected Township Supervisor, and when he subsequently approved timesheets submitted by himself seeking compensation for hours submitted related to administrative duties. Tvardzik violated Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. § 1105(b)(5), when he failed to disclose all direct/indirect sources of income on Statements of Financial Interests filed for the 2008, 2009, 2010 and 2011 calendar years. Per the Consent Agreement of the parties, Tvardzik is directed to make payment in the amount of $3,500.00 payable to Paint Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1624 (Geary) Decided: February 6, 2014

Issued: February 12, 2014

Based upon the particular Stipulated Findings and Consent Agreement of the parties, William H. Geary (“Geary”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to his use of authority of his office as a Member of the Bullskin Township (“Township”) Board of Supervisors to set a monthly vehicle allowance for Members of the Township Board of Supervisors in their capacity as employees of the Township, which included him as roadmaster. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred in relation to Geary’s submission and approval of a per mile reimbursement to himself for use of his personal vehicle in his capacity as an elected official attending Pennsylvania State Association of Township Supervisors conferences while simultaneously receiving a monthly vehicle allowance as an employee. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred in relation to Geary’s submission and approval for reimbursement of lodging and subsistence expenses related to Pennsylvania State Association of Township Supervisors conferences. Per the Consent Agreement of the parties, Geary is directed to make payment in the amount of $4,000.00 payable as follows: (a) $3,000.00 payable to Bullskin Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing

date of the Commission’s Order; and (b) $1,000.00 in reimbursement representing a portion of the expenses and costs incurred by the Pennsylvania State Ethics Commission in an investigation and administrative prosecution in the instant matter, payable by certified check or money order made payable to the Pennsylvania State Ethics Commission. We take administrative notice that on October 25, 2013, Geary made payment in the amount of $4,000.00 in accordance with the Consent Agreement of the parties. In that Geary has made payment in the amount of $4,000.00 as per the Consent Agreement of the parties, no further action is required in this case and this case is closed. Order No. 1625 (Wiltrout) Decided: February 6, 2014

Issued: February 12, 2014

Based upon the particular Stipulated Findings and Consent Agreement of the parties, Walter Wiltrout (“Wiltrout”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to his use of authority of his office as a Member of the Bullskin Township (“Township”) Board of Supervisors to set a monthly vehicle allowance for Members of the Township Board of Supervisors in their capacity as employees of the Township, which included him as roadmaster. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred in relation to Wiltrout’s submission and approval of a per mile reimbursement to himself for use of his personal vehicle in his capacity as an elected official attending Pennsylvania State Association of Township Supervisors conferences while simultaneously receiving a monthly vehicle allowance as an employee. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred in relation to Wiltrout’s submission and approval for reimbursement of lodging and subsistence expenses related to Pennsylvania State Association of Township Supervisors conferences. Per the Consent Agreement of the parties, Wiltrout is directed to make payment in the amount of $4,000.00 payable as follows: (a) $3,000.00 payable to Bullskin Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order; and (b) $1,000.00 in reimbursement representing a portion of the expenses and costs incurred by the Pennsylvania State Ethics Commission in the investigation and administrative prosecution of the instant matter, payable by certified check or money order made payable to the Pennsylvania State Ethics Commission. We take administrative notice that on October 25, 2013, Wiltrout made payment in the amount of $4,000.00 in accordance with the Consent Agreement of the parties. In that Wiltrout has made payment in the amount of $4,000.00 as per the Consent Agreement of the parties, no further action is required in this case and this case is closed.

Order No. 1626 (Keefer) Decided: February 6, 2014 Issued: February 12, 2014

Based upon the particular Stipulated Findings and Consent Agreement of the parties, Thomas Keefer (“Keefer”) violation Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to his use of authority of his office as a Member of the Bullskin Township (“Township”) Board of Supervisors to set a monthly vehicle allowance for Members of the Township Board of Supervisors in their capacity as employees of the Township, which included him as roadmaster. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred in relation to Keefer’s submission and approval of a per mile reimbursement to himself for use of his personal vehicle in his capacity as an elected official attending Pennsylvania State Association of Township Supervisors conferences while simultaneously receiving a monthly vehicle allowance as an employee. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred in relation to Keefer’s submission and approval for reimbursement of lodging and subsistence expenses related to Pennsylvania Association of Township Supervisors conferences. Per the Consent Agreement of the parties, Keefer is directed to make payment in the amount of $4,000.00 payable as follows: (a) $3,000.00 payable to Bullskin Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order; and (b) $1,000.00 in reimbursement representing a portion of the expenses and costs incurred by the Pennsylvania State Ethics Commission in the investigation and administrative prosecution of the instant matter, payable by certified check or money order made payable to the Pennsylvania State Ethics Commission. We take administrative notice that on October 25, 2013, Keefer made payment in the amount of $4,000.00 in accordance with the Consent Agreement of the parties. In that Keefer has made payment in the amount of $4,000.00 as per the Consent Agreement of the parties, no further action is required in this case and this case is closed. Order No. 1630 (Whitmoyer) Decided: February 6, 2014

Issued: February 18, 2014

As a Township Supervisor for Tulpehocken Township (“Township”), Berks County, Ronald Whitmoyer (“Whitmoyer”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa. C.S. § 1103(a), in relation to his receipt of payment from the Township for the costs of private health insurance benefits; and when he subsequently participated in actions as a Township Supervisor to approve payments issued to him for private health insurance costs.

A violation of Sections 1104(a) and 1104(d) of the Ethics Act occurred when Whitmoyer failed to file Statements of Financial Interests for the 2010 and 2011 calendar years, during which time Whitmoyer served as a Township Supervisor and was compensated from public funds. Per the Consent Agreement of the parties, Whitmoyer is directed to make payment in the amount of $3,750.00 payable to Tulpehocken Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Whitmoyer is further directed to not accept any reimbursement, compensation, or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1637 (Fidler) Decided: April 24, 2014

Issued: May 8, 2014

As a Supervisor for Wayne Township (“Township”), Schuylkill County, Respondent Stanley Fidler (“Fidler”) did not violate Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), by participating in discussions or actions of the Township Board of Supervisors to award to Pennsy Supply, Inc., contracts for the Township’s 2010 and 2011 major road projects/paving projects, at a time when Respondent had a reasonable expectation that a business with which he is associated, “Fidler Bros. Const. Co.,” would be used as a subcontractor, because Respondent’s actions had a de minimis economic impact. Order No. 1638 (Moyer) Decided: May 7, 2014

Issued: May 9, 2014

As a Member of the Tobyhanna Township (“Township”) Board of Supervisors, Donald Moyer (“Moyer”) did not violate Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), when he received round trip air transportation to two NASCAR races in Richmond, Virginia, from David Moyer, President of Papillon & Moyer Excavating & Paving, LLC (“Papillon & Moyer”), at a time when he voted to approve and award contracts to Papillon & Moyer in his capacity as a Township Supervisor, in that the resulting private pecuniary benefit was de minimis. Moyer violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file Statements of Financial Interests (“SFIs”) for calendar years 2008, 2009, and 2010. Moyer violated Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), when he failed to make complete and accurate disclosure concerning 2008, 2009, 2010, 2011, and 2012 calendar year SFI forms by failing to list all direct and indirect sources of income, his office, directorship or employment in any business, and his financial interests in any legal entity in business for profit on said calendar year SFIs; when for calendar years 2008, 2010, 2011 and 2012, he failed to indicate the calendar year for which the forms were being filed; when for calendar years 2008 and 2012, he failed to list his governmental entity; when for calendar year 2008, he failed to list

an address and occupation and/or profession; and when for calendar year 2010, he failed to list his status as a public official. Moyer obtained a financial gain of $12,500.00 in contravention of Section 1104(d) of the Ethics Act, 65 P.a.C.S. § 1104(d), when he received compensation as a public official but failed to properly file the requisite SFIs for calendar years 2008, 2009, 2010, 2011, and 2012. Moyer is directed to make payment of restitution in the amount of $2,500.00 payable to Tobyhanna Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Moyer is directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the aforesaid restitution. To the extent he has not already done so, Moyer is directed to file with the Township amended SFIs for calendar years 2008, 2009, 2010, 2011, and 2012, disclosing all required information, and to forward copies of such filings to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Non-compliance with the Commission’s Order will result in the institution of an order enforcement action. NOTE: Commissioner Raquel K. Bergen and Commission Maria A. Feeley dissent at to the amount of restitution ordered and would require restitution of the full amount of $12,500.00, based upon their view that Section 1104(d) of the Ethics Act does not provide discretion to order less than full restitution of the compensation that Moyer received as a public official while in violation of the financial disclosure requirements of the Ethics Act. Order No. 1639 (Sulc) Decided: June 16, 2014

Issued: June 26, 2014

As a Supervisor for North Strabane Township (“Township”), J. Gregory Sulc, Jr. (“Sulc”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), when he participated in discussions and actions of the Township Board of Supervisors (“Board”) to create the position of Township Parks and Recreation Director, including the qualifications for said position, at a time when he had a reasonable expectation that he would be a candidate for this position. Sulc did not violate Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), as to the allegation that he used confidential information obtained as a result of his public position to solicit support from Members of the Board to obtain the Township Parks and Recreation Director position, based upon an insufficiency of evidence. Sulc violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file a Statement of Financial Interests for the 2009 calendar year.

Sulc violated Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), when he failed to disclose direct/indirect sources of income on Statements of Financial Interests filed for the 2006, 2007, 2008, 2010 and 2011 calendar years and when he failed to disclose on Statements of Financial Interests filed for the 2010 and 2011 calendar years his directorship and financial interest in E.L. Aquatics. Sulc obtained a financial gain in the amount of $3,250.00 in contravention of Section 1104(d) of the Ethics Act, 65 Pa.C.S. § 1104(d), when he received compensation as a Township Supervisor but failed to properly file with the Township the requisite Statement of Financial Interests for calendar year 2009. Sulc is directed to make payment of restitution in the amount of $20,000.00 payable to North Strabane Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Sulc is directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the aforesaid restitution. Order No. 1639-R (Sulc) Decided: July 28, 2014

Issued: July 28, 2014 The Respondent’s Motion for Reconsideration of Sulc, Order No. 1639 is denied. Order No. 1640 (Thomas) Decided: June 16,2014

Issued: July 9, 2014

A violation of Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), occurred when Marcia Thomas (“Thomas”) utilized her position as the Secretary/Treasurer for Rice Township (“Township”), Luzerne County, for a private pecuniary benefit when she used Township equipment, namely a cellular telephone, to transact rental agreements with Blue Marlin Group, a business with which she is associated. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), occurred when Thomas failed to disclose on Statements of Financial Interests (“SFIs”) filed for the 2007, 2008, and 2009 calendar years all direct/indirect sources of income and her employment with Mountaintop Eagle; when she failed to disclose her office, directorship or employment with Blue Marlin Group on SFIs filed for the 2007 and 2008 calendar years; and when she failed to disclose creditors in excess of $6,500.00 on the SFI filed for the 2009 calendar year. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred when Thomas authorized compensation approved by the Township Board of Supervisors, as any gain realized by Thomas is deemed to be de minimis. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred when Thomas submitted documentation to the Pennsylvania Municipal Retirement System for her inclusion in

pension plans which included altered dates of her employment, resulting in an increased pension to be paid to her, as any gain realized by Thomas is deemed to be de minimis. Per the Consent Agreement of the parties, Thomas is directed to make payment in the amount of $2,335.00 payable to Rice Township and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Per the Consent Agreement of the parties, Thomas is directed to not accept any reimbursement, compensation or other payment from Rice Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1642 (Kerrick) Decided: June 16, 2014

Issued: July 11, 2014

As a Member of the Tobyhanna Township (“Township”) Board of Supervisors, John E. Kerrick (“Kerrick”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), when he voted to award contracts to Papillon & Moyer Excavating & Paving, LLC (“Papillon & Moyer”) at a time when he and/or a business with which he is associated, namely John H. Kerrick Builder, Inc., agreed with Papillon & Moyer to lease a dump truck and driver to Papillon & Moyer. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), occurred when Kerrick failed to disclose all sources of income on his Statements of Financial Interests (“SFIs”) filed for the 2008, 2009, 2010, and 2011 calendar years, failed to disclose any address for the 2008 calendar year SFI, and failed to disclose any business interests transferred to any immediate family member or indicate none on his SFI filed for calendar year 2009. No violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred in relation to the allegation that Kerrick failed to timely file a 2012 SFI form, as it appears a calendar year 2012 SFI form was timely filed. Per the Consent Agreement of the parties, Kerrick is directed to make payment in the amount of $3,000.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Per the Consent Agreement of the parties, Kerrick is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1646 (Brumbaugh) Decided: September 30, 2014

Issued: October 15, 2014

As a Supervisor for Woodbury Township (“Township”), Blair County, Dennis P. Brumbaugh (“Brumbaugh”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics

Act”), 65 Pa.C.S. § 1103(a), when, in his capacity as a Township Supervisor, he participated in discussions and actions of the Township Board of Supervisors, which resulted in the Township utilizing the services of his brother, Gary Brumbaugh, and/or a business with which Gary Brumbaugh is associated, namely “Brumbaugh Transmission Services” (“BTS”), and when he participated in votes to approve payment to BTS, and when he signed Township checks issued to BTS as an authorized signatory, all of which led to a private pecuniary benefit to Gary Brumbaugh and/or BTS. No violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. § 1103(f), occurred as to the allegation that Brumbaugh authorized repair work to be completed by BTS in excess of $500.00 absent an open and public process, in that the degree of family relationship involved in this case (brother) is not encompassed within Section 1103(f). A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Brumbaugh failed to timely file Statement of Financial Interests forms with the Township for calendar years 2008, 2009, 2010, 2011 and 2012. Per the Consent Agreement of the parties, Brumbaugh is directed to make payment in the amount of $1,250.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Order No. 1648 (Foster) Decided: September 30, 2014

Issued: October 21, 2014

As a Member of the Wysox Township (“Township”) Board of Supervisors, Gary Foster (“Foster”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), when he utilized his purchase at the Federal Surplus Property Program Warehouse, Harrisburg, Pennsylvania, to justify his travel to Harrisburg to renew his personal vehicle registration while simultaneously being compensated as a Township employee. A violation of Section 1103(a) of the Ethics Act, 65 Pa. C.S. § 1103(a), occurred when Foster disposed of or otherwise converted to personal use items purchased as a Township official from the Federal Surplus Property Program. A violation of Section 1103(a) of the Ethics Act, 65 Pa. C.S. § 1103(a), occurred when Foster awarded no-bid contracts to M.R. Direct, Inc. and/or Jeff McIntosh Trucking, Inc. at a time when said entities were serving as vendors/contractors for the Township, and Foster knew or had a reasonable expectation that he or a business with which he is associated would be serving as a subcontractor to M.R. Dirt, Inc. and/or Jeff McIntosh Trucking, Inc., and a violation of Section 1103(a) of the Ethics Act additionally occurred when Foster approved payment of invoices to the Township from M.R. Direct, Inc. and/or Jeff McIntosh Trucking, Inc. while Foster or a business with which he is associated was serving as a subcontractor to those entities.

A violation of Section 1103(a) of the Ethics Act, 65 Pa. C.S. § 1103(a), occurred when Foster approved payment of an invoice billed to the Township from Jeff McIntosh Trucking, Inc. for two hours of truck rental attributable to Foster’s personal truck, which was used by Jeff McIntosh Trucking, Inc. and operated by Foster while Foster was simultaneously being compensated as the Township Roadmaster. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), occurred when Foster failed to list all sources of income, any office, directorship or employment in any business, and his financial interest in any legal entity in business for profit on Statement of Financial Interests forms field for calendar years 2008 through 2012. Per the Consent Agreement of the parties, Foster is directed to make payment in the amount of $2,000.00 payable as follows: (1) $1,250.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order; and (b) $750.00 in reimbursement representing a portion of the expenses and costs incurred by the Pennsylvania State Ethics Commission in the investigation and administrative prosecution of the instant matter, payable by certified check or money order made payable to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Foster is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1649 (Doremus) Decided: September 30, 2014

Issued: October 21, 2014

As a Supervisor for Marlborough Township (“Township”), Brian L. Doremus (“Doremus”) did not violate Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa. C.S. § 1103(a), in relation to the allegation that he utilized confidential information to contact general contractors and/or individuals who had submitted sealed bids in response to a publicly advertised Township project, and in contacting those individuals, he and/or Doremus Kitchens, LLC, submitted bids to serve as subcontractor and was awarded a subcontract for same, in that insufficient evidence is available to substantiate that any private pecuniary benefit was beyond de minimis amount. A violation of Section 1103(a) of the Ethics Act, 65 Pa. C.S. § 1103(a), occurred when Doremus participated in actions of the Township Board of Supervisors resulting in the hiring of his brother, Barry Doremus, to the position of Township Fire Marshall, and as a result, Barry Doremus realized a private pecuniary gain.

A violation of Section 1105(b) of the Ethics Act, 65 Pa. C.S. § 1105(b), occurred when Doremus failed to list the Township as a source of income in excess of $1,300.00 on his Statement of Financial Interests filed for the 2012 calendar year, and when he failed to list his office, directorship or employment in Doremus Kitchens/Doremus Kitchens, LLC, on Statements of Financial Interests filed for the 2008-2012 calendar years. Per the Consent Agreement of the parties, Doremus is directed to make payment in the amount of $1,000.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Doremus is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter.

2010 - 2015 SELECTED SUMMARIES OF

STATE ETHICS COMMISSION RULINGS INVOLVING BOROUGH OFFICIALS

ORDERS Order No. 1550 (Payne, Louis) Decided: March 25, 2010 Issued: April 9, 2010 Louis Payne, a public official in his capacity as Mayor of East Pittsburgh Borough from January 5, 1998, to the present, violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1103(a), when he recommended to Borough Council that his daughter, Lori Payne, be promoted to the positions of Sergeant and Police Chief with the Borough Police Department. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred regarding allegations that Payne scheduled work hours for his daughter and approved time sheets with payroll for hours not worked. An unintentional violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Payne did not file a Statement of Financial Interests for the 2007 calendar year by May 1, 2008. Per the Consent Agreement of the parties, Payne is directed to make payment in the amount of $2,000.00 payable to East Pittsburgh Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Payne is directed to file with the Borough an SFI for calendar year 2007 and to forward a copy of such filing to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1551 (Payne, Lori) Decided: March 25, 2010 Issued: April 9, 2010 Lori Payne, a public official/public employee in her capacities as Code Enforcement Officer of East Pittsburgh Borough from May 9, 1999, to the present, and as Borough Chief of Police from 2008 to the present, did not violate Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1103(a), in relation to the allegation that she submitted hours for compensation that she did not work.

Unintentional violations of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Payne failed to file Statements of Financial Interests as Code Enforcement Officer for calendar years 2003, 2004, 2005, 2006 and 2007, and as Chief of Police for the 2007 calendar year. Per the Consent Agreement of the parties, Payne is directed to make payment in the amount of $250.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Payne is directed to file with the Borough SFIs for the 2003, 2004, 2005, 2006 and 2007 calendar years, as the Code Enforcement Officer, and for calendar year 2007, as Police Chief. Order No. 1560 (Carini) Decided: June 22, 2010 Issued: July 9, 2010 As a Council Member for Carnegie Borough, Allegheny County, Fred Carini violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), in relation to his use of Borough employees, equipment, and supplies for personal purposes. A violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. §1103(f), occurred when Carini contracted with the Borough without an open and public process to provide repair services to Borough computers. A violation of Section 1103(a) of the Ethics At, 65 Pa.C.S. §1103(a), occurred when Carini failed to reimburse the Borough for health insurance premiums. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred in relation to Carini’s failure to file Statements of Financial Interests for the 2006, 2007, and 2008 calendar years. Per the Consent Agreement of the parties, Carini is directed to make payment in the amount of $1,500.00 payable to the Borough of Carnegie and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Per the Consent Agreement of the parties, Carini is directed that he is to neither seek nor hold any position of public office or of public employment in the Commonwealth of Pennsylvania at any time. This is not intended to prohibit Carini from rendering services to a governmental body as an independent contractor (either directly or through subcontractors), except to the extent such conduct would be prohibited by Section 1103(g) of the Ethics Act. Order No. 1590 (Buck) Decided: September 27, 2011 Issued: October 4, 2011 As a Member of Borough Council for Starrucca Borough, Robert Buck violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he participated in

discussions and actions of the Borough Council to authorize repairs and/or improvements to a bridge using Borough funds for the benefit of Buck and/or members of his immediate family and Buck Brothers Farm, a business with which he is associated. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Buck failed to file Statements of Financial Interests for the 2005, 2007, and 2008 calendar years. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), occurred when Buck failed to list his office, directorship or employment in Buck Brothers Farm on his Statement of Financial Interests filed for the 2004 calendar year; and when he failed to list Buck Brothers Farm as a source of income, and his office, directorship or employment in Buck Brothers Farm, on his Statement of Financial Interests filed for the 2006 calendar year. Per the Consent Agreement of the parties, Buck is directed to make payment in the amount of $17,500.00 as follows: (a) $9,000.00 by certified check or money order payable to the Starrucca Borough State Liquid Fuels Tax account and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order; and (b) $8,500.00 by certified check or money order payable to Starrucca Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Buck is further directed to not accept any reimbursement, compensation or other payment from the borough representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1591 (Rhone) Decided: September 27, 2011 Issued: October 4, 2011 As a Member of Borough Council for Starrucca Borough, Wayne County, Kirk Rhone violated Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), when he participated in discussions and actions of the Borough Council to authorize repairs and/or improvements to a bridge using Borough funds for the benefit of Rhone and/or members of his immediate family and Buck Brothers Farm, a business with which he is associated. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Rhone failed to file Statements of Financial Interests for 2005, 2006, 2007, 2008, and 2009 calendar years. Per the Consent Agreement of the parties, Rhone is directed to make payment in the amount of $17,500.00 as follows: (a) $9,000.00 by certified check or money order payable to the Starrucca Borough State Liquid Fuels Tax account and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order; and (b) $8,500.00 by certified check or money order payable to Starrucca Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order.

Per the Consent Agreement of the parties, Rhone is further directed to not accept any reimbursement, compensation or other payment from the Borough representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1602 (Scimio) Decided: April 12, 2012 Issued: May 3, 2012 No violation of Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), occurred in relation to Paul Scimio, a Council Member for Leetsdale Borough, Allegheny County, being hired as a Borough Manager, as there is insufficient evidence to establish that Scimio utilized the authority of his office as a Borough Council Member to secure the Borough Manger position. A violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), occurred in relation to Scimio’s use of a Borough issued credit card for personal expenses. Per the Consent Agreement of the parties, Scimio is directed to make payment in the amount of $1,078.03 payable to Leetsdale Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Scimio is directed to not accept any reimbursement, compensation or other payment from the Borough representing a full or partial reimbursement of the amount paid in settlement of this matter. Per the Consent Agreement of the parties, Scimio is further directed that he is to neither seek nor hold any position of public office or public employment in the Commonwealth of Pennsylvania for a period of five (5) years from the mailing date of the Commission’s Order. This is not intended to prohibit Scimio from rendering services to a governmental body as an independent contractor (either directly or through subcontractors), except to the extent such conduct would be prohibited by Section 1103(g) of the Ethics Act, 65 Pa.C.S. §1103(g). Order No. 1613 (Bajsec) Decided: January 28, 2013

Issued: February 14, 2013

A violation of Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), occurred when Michael Bajsec, as a Member of Leetsdale Borough Council, participated in actions and/or other proceedings of Council which resulted in his wife being chosen for full-time employment with the Borough, including the creation of a Borough position of full-time Junior Clerk, at a time when he knew or had a reasonable expectation that his wife would be appointed to that position. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), occurred when Bajsec failed to file a Statement of Financial Interests for the 2011 calendar year.

Per the Consent Agreement of the parties, Bajsec is directed to make payment in the amount of $3,000.00 payable as follows: (a) $2,000.00 payable to Leetsdale Borough and (b) $1,000.00 in reimbursement representing a portion of the expenses and costs incurred by the Pennsylvania State Ethics Commission in the investigation and administrative prosecution of the instant matter. Per the Consent Agreement of the parties, Bajsec is directed to not accept any reimbursement, compensation or other payment from the Borough representing a full or partial reimbursement of the amount paid in settlement of this matter. Per the Consent Agreement of the parties, Bajsec is further directed that he is to neither seek nor hold any position of public office in the Commonwealth of Pennsylvania at any time for the date of the Consent Agreement (November 7, 2012) for a period of one (1) year. Compliance of the Commission’s Order will result in the closing of this case with no further action by the Commission. Order No. 1614 (Nanni) Decided: January 28, 2013

Issued: February 14, 2013

A violation of Section 1103(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §1103(a), occurred when Roger A. Nanni, as a Member and President of Council for Leetsdale Borough, Allegheny County, participated in actions and/or other proceedings of Council which resulted in the selection of his son to perform computer-related services for the Borough and when he participated in actions of Council to approve payments issued to his son for said services. No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. §1103(a), occurred in relation to Nanni’s use of a Borough issued credit card, in that insufficient evidence exists to establish by clear and convincing evidence that said purchases were not related to Borough expenditures. Per the Consent Agreement of the parties, Nanni is directed to make payment in the amount of $3,050.00 payable as follows: (a) $2,050.00 payable to Leetsdale Borough and (b) $1,000.00 in reimbursement representing a portion of the expenses and costs incurred by the Pennsylvania State Ethics Commission. Per the Consent Agreement of the parties, Nanni is directed to not accept any reimbursement, compensation or other payment from the Borough representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1618 (Stinson) Decided: July 9, 2013 Issued: July 12, 2013 As a Council Member for Yeadon Borough (“Borough”), Delaware County, Denise H. Stinson (“Stinson”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics

Act”), 65 Pa.C.S. §1103(a), in relation to her receipt of payment from the Borough for the costs of private health insurance; and when she subsequently participated in actions of Council to approve payments issued to her for private health care insurance costs. Stinson violated Section 1105(b) of the Ethics Act, 65 Pa.C.S. §1105(b), when she failed to disclose on her 2011 calendar year Statement of Financial Interests (“SFI”) her real estate interests, creditors, direct and/or indirect sources of income, gifts, transportation, lodging and hospitality, financial interests in any legal entity for profit and business interests transferred to immediate family members. Per the Consent Agreement of the parties, Stinson is directed to make payment in the amount of $1,566.16 payable to Yeadon Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1619 (Holden) Decided: July 9, 2013 Issued: July 12, 2013 As a Council Member for Yeadon Borough (“Borough”), Delaware County, John Holden (“Holden”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa..C.S. §1103(a), when he used the authority of his public position to obtain a private pecuniary benefit for himself and/or members of his immediate family by using his position to receive payment from the Borough for the costs of private health insurance and when he subsequently participated in actions of Borough Council to approve payments issued to him for private health care insurance costs. Holden violated Section 1105(b)(5) of the Ethics Act, 65 PA.C.S. §1105(b)(5), when he failed to disclose on Statements of Financial Interests (‘SFIs”) filed for the 2010 and 2011 calendar years all direct/indirect sources of income. Holden is directed to make payment of restitution in the amount of $2,013.15 payable to Yeadon Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1620 (Jones-Butler) Decided: October 8, 2013 Issued: October 11, 2013 As a Council Member for and/or Mayor of Yeadon Borough (“Borough”), Delaware County, Dolores Jones-Butler (“Jones Butler”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to her receipt of payment from the Borough for the costs of private health insurance when she participated in actions of Council to approve payments issued to her for private health care insurance costs.

No violation of Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), occurred regarding the allegation that Jones-Butler utilized the Borough Police Department to provide transportation related to personal matters, as there is insufficient information to indicate that the Borough police personnel or police vehicles were used by Jones-Butler for personal or political use. Jones-Butler violation Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), when she failed to disclose on Statements of Financial Interests (“SFIs”) filed for the 2007, 2008, 2009, and 2011 calendar years all direct/indirect sources of income. Per the Consent Agreement of the parties, Jones-Butler is directed to make payment in the amount of $1,250.00 payable to Yeadon Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1621 (Thomas) Decided: October 8, 2013 Issued: October 11, 2013 As a Council Member for Yeadon Borough (“Borough”), Delaware County, Sandra Thomas (“Thomas”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to her receipt of payment from the Borough representing reimbursement for payroll deductions of private health insurance costs; and when she subsequently participated in actions of Council to approve payments issued to her for private health insurance costs. Thomas violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), when she failed to file a Statement of Financial Interests (“SFI”) for the 2011 calendar year by May 1, 2012. Per the Consent Agreement of the parties, Thomas is directed to make payment in the amount of $1,296.49 payable to Yeadon Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1622 (Robinson-Howell) Decided: October 8, 2013 Issued: October 11, 2013 As a Council Member for Yeadon Borough (“Borough”), Delaware County, Deborah Robinson-Howell (“Robinson-Howell”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to her receipt of payment from the Borough for the costs of private health insurance; and when she subsequently participated in actions of Council to approve payments issued to her for private health insurance costs. Robinson-Howell violation Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), when she failed to disclose on a Statement of Financial Interests (“SFI”) filed for the 2009 calendar year all direct/indirect sources of income; and when she failed to complete sections dealing with real estate interests and creditors on an SFI filed for the 2011 calendar year.

Per the Consent Agreement of the parties, Robinson-Howell is directed make payment in the amount of $1,490.05 payable to Yeadon Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Order No. 1631 (Harvanek) Decided: February 6, 2014

Issued: February 18, 2014

As a Council Member for Cheswick Borough (“Borough”), Allegheny County, Brian Harvanek (“Harvanek”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa. C.S. § 1103(a), in relation to his use of the authority of his public office by participating in official actions of Borough Council by voting to approve payment of invoices from All Time Truck and Car Service, a business with which he is associated. A violation of Section 1104(a) of the Ethics Act, 65 Pa. C.S. § 1104(a), occurred when Harvanek failed to file Statements of Financial Interest (“SFIs”) for the 2009 and 2010 calendar years. A violation of Section 1105(b) of the Ethics Act, 65 Pa. C.S. § 1105(b), occurred when Harvanek filed deficient SFIs for the 2011 and 2012 calendar years by failing to disclose his ownership/financial interests in All Time Truck and Car Service, and failed to disclose All Time Truck and Car Service as a source of income for calendar year 2012. As part of a negotiated settlement agreement, no violation of Section 1103(f) of the Ethics Act, 65 Pa. C.S. § 1103(f), occurred in relation to All Time entering into contracts with the Borough in excess of $500.00 absent an open and public process. Per the Consent Agreement of the parties, Harvanek is directed to make payment in the amount of $1,000.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Harvanek is directed to not accept any reimbursement, compensation or other payment from the Borough representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1635 (Broadwater) Decided: April 24, 2014

Issued: May 8, 2014

As a Council Member for Homestead Borough (“Borough”), Allegheny County, Barbara Broadwater (“Broadwater”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to her using her position as a Member of Borough Council to nominate and subsequently vote in favor of the appointment of her sister, Wanda Burwell (“Burwell”), to fill a vacancy on the Borough Council, from which Burwell received compensation.

A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred in relation to Broadwater’s failure to timely file a 2012 calendar year Statement of Financial Interests form with the Borough. Per the Consent Agreement of the parties, Broadwater is directed to make payment in the amount of $1,750.00 payable to Homestead Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Broadwater is directed to not accept any reimbursement, compensation or other payment from the Borough representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1643 (Colocino) Decided: June 16, 2014

Issued: July 14, 2014

As a Council Member for Jersey Shore Borough (“Borough”), Deborah Colocino (“Colocino”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), when she utilized the authority of her public position to direct Borough staff to expedite payments to her husband/husband’s business for landscaping services provided to the Borough, and when she voted to approve payment of bills including payment of public monies t her husband/husband’s business. A violation of Section 1103(f) of the Ethics Act, 65 Pa.C.S. § 1103(f) occurred when contracts for landscaping services in amounts of $500.00 or more were entered into between the Borough and Colocino’s husband/husband’s business without an open and public process. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Colocino failed to file a Statement of Financial Interests for the 2009 calendar year. Per the Consent Agreement of the parties, Colocino is directed to make payment in the amount of $1,200.00 payable to Jersey Shore Borough and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. Per the Consent Agreement of the parties, Colocino is directed to not accept any reimbursement, compensation or other payment from the Borough representing a full or partial reimbursement of the amount paid in settlement of this matter. Order No. 1644 (Beale) Decided: September 30, 2014

Issued: October 10, 2014

As a Council Member for Brackenridge Borough (“Borough”), Allegheny County, William Beale (“Beale”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), in relation to his participation in discussions and/or actions of Borough Council resulting in the appointment of Garvin Engineering Municipal Management

(“GEMM”) as the Borough Engineer, at a time when he knew or had a reasonable expectation that he, an immediate family member, and/or a business with which he or an immediate family member is associated was or would be serving as a subcontractor to GEMM, albeit on non-Borough related projects. A violation of Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), occurred in relation to Beale’s failure to list all sources of income on his Statement of Financial Interests for calendar year 2009, and when he failed to list his name, address, and public position on his Statement of Financial Interests for calendar year 2011. Per the Consent Agreement of the parties, Beale is directed to make payment in the amount of $1,700.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of the Commission’s Order. Per the Consent Agreement of the parties, Beale is directed to not accept any reimbursement, compensation or other payment from the Borough representing a full or partial reimbursement of the amount paid in settlement of this matter.

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Pennsylvania State Ethics Commission

Pennsylvania Public Official and Employee Ethics Act65 Pa. C.S. § 1101 et seq.

Brian D. Jacisin, Esquire

Deputy Executive Director/Director of InvestigationsPennsylvania State Ethics Commission

GFOA-PA 2015 Annual ConferenceApril 27, 2015

Robert Morris1734‐1806

As the central civilian in the government, Morris

was, next to General George Washington, "the

most powerful man in America.“

His successful administration led to the

sobriquet, "Financier of the Revolution."

At the same time he was Agent of Marine, a

position he took without pay, and from which he

controlled the Continental Navy.

He had lost one of the largest private navies in the world during the War, personally supplied the funding for eighty

percent (80%) of all bullets fired during the war and almost seventy five percent (75%) of all other expenses for the fledgling government, though he also never asked to be

reimbursed for these expenses.

Bankrupt in 1798 and spent several months

in debtors' prison. Released in 1801, he lived

a quiet, private life in a modest home in

Philadelphia until his death in 1806.

Accused of Conflicts of Interest while his privateer vessel carried merchandise while in the service of the Continental Congress.

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"A conflict of interest is a set of circumstances that creates a risk that professional judgement or actions regarding a primary interest will be unduly influenced by a secondary interest."

Thompson, Dennis (1993). "Understanding financial conflicts of interest." New England Journal of 

Medicine 329 (8): 573–76. 1]

Conflict of Interests:

Primary interest refers to the principal goals of the profession or activity, such as the protection of clients, the health of patients, the integrity of research, and the duties of public office. 

Primary Interests:

Secondary interest includes not only financial gain but also such motives as the desire for professional advancement and the wish to do favors for family and friends. 

Conflict of interest rules usually focus on financial relationships because they are relatively more objective, fungible, and quantifiable. 

Secondary Interests:

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Generally, secondary interests are not treated as a wrong in among themselves, but become objectionable when they are believed to have greater weight than the primary interests. 

The conflict in a conflict of interest exists whether or not a particular individual is actually influenced by the secondary interest.

The Pennsylvania State Ethics Commission’s core mission

and guiding principle is that public office is a public trust and that any effort to realize personal financial

gain through one’s public office is a violation of that trust.

Core Mission

Administer and enforce personal financial disclosure requirements

Issue advices and opinions 

Investigate alleged violations of the Ethics Act

Executing Core Mission

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Elected by the public

Appointed by a governmental body

Appointed official

Any political subdivision

Public Official:

• Employed by the Commonwealth or a political  subdivision

• Responsible for taking or recommending official action of a non‐ministerial nature with regard to:

• Contracting or procurement; Administering or monitoring grants or subsidies

• Planning or zoning; Inspecting, licensing, regulating or auditing any person, or 

• Any other activity where the official action has an economic impact of greater than a de minimis nature on the interests of any person”

Public Employee:

Use of the authority of his/her office

Confidential information

For the private pecuniary benefit of:

• Himself / Herself 

• Member of his/her immediate family, or

• Business with which he/ she or a member of his/her  immediate family is associated

Conflict of Interest – Ethics Act

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• Actual power

• Provided by law

• Necessary to the performance of duty or responsibility 

Authority of Office or Employment

“A parent, spouse, child, brother or sister.”

Immediate Family

Any business

Public official

Immediate family member

Director, officer, owner, employee or financial interests

Business With Which Associated

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Action having a de minimis economic impact

Affects to the same degree a class consisting of the general public

Subclass consisting of an industry, occupation or other group

Exceptions

Legislative ethical conflicts of interests are distinctive and

sometimes difficult to comprehend.

Madison wrote that legislators should share a "communion of interests" with their constituents. Legislators cannot adequately represent the interests of constituents without also representing some of their own.

James Madison, Jr. (1751 –1836)

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“I represent the farmers of Oklahoma, although I have large farm interests. I represent the oil business in Oklahoma ... and I am in the oil business. ... They don't want to send a man here who has no community of interest with them, because he wouldn't be worth a nickel to them."

Robert S. Kerr1896 – 1963

The problem is to distinguish special interests from the general interests

of all constituents.

Restricted Activities:

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No public official or public employee shall engage in conduct that constitutes a 

conflict of interest.  

• Anything of monetary value

• A gift, loan, political contribution, reward or promise of future employment

• Donor’s understanding

• Vote, official action or judgment of the public official

• Influenced thereby

No person shall offer or give:

Anything of monetary value

Gift, loan, political contribution, reward or promise of employment

Any understanding of that public official

Vote, official action, judgment

Influenced thereby

No public official, public employee shall solicit or accept:

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No public official or public employee shall accept an honorarium.

•No FORMER public official/employee shall: 

•Represent a person 

•Promised or actual compensation

•Former governmental body

•One year (Executive Level two year) 

REVOLVING DOOR65 Pa.C.S. §1103 (g)

§ 1102. Definitions

Represent:

To act on behalf of any other person in any activity which includes, but is not limited to, the following: personal appearances, negotiations, lobbying and submitting bid or contract proposals which are signed by or contain the name of a former public official or public employee.

The term “represent” is broadly defined to prohibit acting on behalf of any person in anyactivity.

Revolving Door Definitions

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§ 1102. Definitions

Person:

• A business, governmental body, individual, corporation, union, association, firm, partnership, committee, club or other organization or group of persons.

• The term “person” is defined to include corporations and individuals; and as previously determined by the State Ethics Commission, “person” includes the former public official/public employee himself.

See Confidential Opinion, 93-005.

Revolving Door Definitions

Revolving Door Definitions

Governmental body with which a public official or public employee is or has been associated:

§ 1102. Definitions

The governmental body within State government or a political subdivision by which the public official or employee is or has been employed or to which the public official or employee is or has been appointed or elected and subdivisions and offices within that governmental body.

• Private business enterprise

• Charter schools 

• Use of Personnel, Equipment, Facilities

• Nepotism

• Grant Fund Manipulation

• Perjury

• Excess Expense

• Frequent Point Program

• Discount Program Offer

• Vendor Contest

• Surplus Property

• Gifts/Travel Provided by Vendor Contractor

• Solicitations by Superiors/Regulators

Frequent Conflict of Interests Issues

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Red Flags

• Action with financial implication

• Connection to public employment

• Relationship connection … family/friend

• Is public disclosure a problem?

• Formal – Informal• Prospective• Non adversarial• Basic information• Confidential – Public• Protective status

Advisory Opinions

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Statements of Financial Interest:

All local “public officials,” elected or appointed, and “public employees employed by a political subdivision

County and local level nominees

Candidates for county and local public office

Who is required to file:

Officials/Employees

• local filing

Candidates

• local/Election Board

Write‐In Winners

• local filing

Where to File

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Public employees and public officials, who are not candidates must file NO later than May 1st ofeach year a position is held and of the year after leaving a position

Officials appointed between January 1st and May 1st must file NO later than May 1st

Candidates file on or before the last day for filing a petition to appear on the ballot for election

Write‐In Winners – 30 days after acceptance

Time table for filing required:

•Back‐Dating of Statements of Financial Interests.

•Allowing Municipal Administrator (Secretary Manager) to fill out and file governing board forms.

•Public access to forms.

•Prohibition on receipt of compensation from public funds and service in office.

Statement of Financial Interests

Issues of Interest

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• First Notice of failure to file

• Twenty‐day grace period to file without penalty

• Personally served after refusal to accept certified mailing

Response to First Notice Letter

• $250.00 Civil Penalty

• Failure to File

• Commission Order

Response to Filing Petition for Civil Penalty

$250.00 Civil Penalty

$371.06 Court Costs

Found in Contempt of Court 

Warrant for your Arrest

SFI Shown to Whole State

Response to Enforcement Petition

PRICELESS

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Investigations

Proceedings and records relating to an investigation are confidential.

Identity of a complainant is confidential.

The final order is public record.

Administrative and Civil:

• Violation of Act (Public Order)

• Restitution

• Treble Penalty (Restitution + Penalty)

• Statements of Financial Interests $25/$250

Criminal:

• Any person who violates the provisions of section 1103(a), (b) and (c) (relating to restricted activities) commits a felony and shall, upon conviction, be sentenced to pay a fine of not more than $10,000 or to imprisonment for not more than five years, or both. 65 Pa.C.S.§1109 (a).

• Other violations of the Ethics Act punishable by a fine of not more than $1,000 or to imprisonment for not more than one year, or both. 

Penalties

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Visit the Commission’s website at:

www.ethics.state.pa.us

Contact the Commission at:

1-800-932-0936

Write to the Commission at:

309 Finance BuildingPO Box 11470

Harrisburg, PA 17108-1470

Where to Get More Information