51 Pa. Code | Title 51 Pa. Code — Public Officers

Part I State Ethics Commission

Chapter 11 General Provisions

51 Pa. Code § 11.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise. Additional definitions are set forth in the act. Act—Chapter 11 of 65 Pa.C.S. (relating to Public Official and Employee Ethics Act). Administering or monitoring grants—Directing, supervising or approving the expenditure or reimbursement of grant funds or monitoring another person’s or organization’s administering of grant funds. The term does not include compiling expenditures, comparing actual to planned expenditures or reimbursements, preparing comparative reports or completing grant proposals or reimbursement forms under specific direction. Advice—A directive of the Chief Counsel of the Commission issued under 65 Pa.C.S. § 1107(11) (relating to powers and duties of commission) and based exclusively on prior Commission opinions, the act, regulations promulgated under the act and court opinions which interpret the act. See 65 Pa.C.S. § 1102 (relating to definitions). Appointing authority—The person who is vested with the power to appoint, hire or terminate; if the power is vested in a governmental body, a majority vote of a quorum of that body constitutes the appointing authority. Audit—A review of statements of financial interests to determine compliance with the act and to provide technical assistance in its administration. Chair—The Chair of the Commission. Child—The term includes adopted and biological children. Clear and convincing proof—To a degree which requires more than a preponderance of the evidence but less than beyond a reasonable doubt. Commission—The State Ethics Commission of the Commonwealth. Commissioner—An appointed and seated member of the Commission. Confirmation—The power vested in a person or governmental body to approve the nomination of persons. Contracting or procurement—Awarding a contract or making a decision to purchase by the preparation of requests for bids and proposals, the solicitation and evaluation of proposals or the selection of a vendor. The term does not include contracting or purchasing through master contracts or purchasing schedules already awarded. De minimis economic impact—An economic consequence which has an insignificant effect. Director—An officer acting as an agent for a business who is authorized to regulate, manage and direct alone or in conjunction with other officers. Docket—The official assignment of a file number to a matter submitted to the Commission. Election—The term includes primary, special or general elections. Employed by—Used in any capacity, with or without compensation. This definition is only used in the context of 65 Pa.C.S. § 1106(d)(5) (relating to State Ethics Commission). Employer—One who uses the services of others and pays their wages, salaries or other compensation. Filed—Official papers are filed on the date they are physically received at the Commission office whether delivered by United States mail, express carrier, hand delivery, electronic mail, facsimile or any other method approved by the Commission. Governing authority—The body empowered to enact ordinances, appropriations and resolutions or to otherwise govern a subordinate body. Gross negligence—The failure to perform a manifest duty in reckless disregard of the consequences or a gross want of care and regard for the rights of others as to justify the presumption of willfulness and wantonness. Inspecting, licensing, regulating or auditing—The normal meanings of the terms apply, but the terms do not include activities which are exclusively internal in nature, such as auditing the internal process of an organization, and clerical and procedural activities in issuing permits and licenses. Local—Governmental units other than the Commonwealth or counties. Office—The position of president, vice president, secretary, treasurer and other positions designated as an office in the bylaws of the business. Opinion—A directive of the Commission issued under 65 Pa.C.S. § 1107(10) setting forth a public official’s or public employee’s duties under the act. Planning or zoning—An action which is directed by a planning commission, zoning board, department, agency or governmental body which involves the regulation of real property. Political subdivision—A county, city, borough, incorporated town, township, school district, vocational school, county institution district and an authority, entity or body organized by the aforementioned.

Public employee—

(i) The term includes an individual who is employed by the Commonwealth or a political subdivision and who is responsible for taking or recommending official action of a nonministerial nature with regard to one or more of the following:

(A) Contracting or procurement.

(B) Administering or monitoring grants or subsidies.

(D) Inspecting, licensing, regulating or auditing a person.

(E) Other activities in which the official action has greater than a de minimis economic impact.

(ii) The following criteria will be used, in part, to determine whether an individual is within the definition of ‘‘public employee’’:

(A) The individual normally performs their responsibility in the field without onsite supervision.

(B) The individual is the immediate supervisor of a person who normally performs their responsibility in the field without onsite supervision.

(D) The individual has the authority to make final decisions.

(E) The individual has the authority to forward or stop recommendations from being sent to the person or body with the authority to make final decisions.

(F) The individual prepares or supervises the preparation of final recommendations.

(G) The individual makes final technical recommendations.

(H) The individual’s recommendations or actions are an inherent and recurring part of his position.

(I) The individual’s recommendations or actions affect organizations other than their own organization.

(iii) The term does not include individuals who are employed by the Commonwealth or a political subdivision of the Commonwealth in teaching as distinguished from administrative duties.

(iv) Persons in the following positions are generally considered public employees:

(A) Executive and special directors or assistants reporting directly to the agency head or governing body.

(B) Commonwealth bureau directors, division chiefs or heads of equivalent organization elements and other governmental body department heads.

(D) Engineers, managers and secretary-treasurers acting as managers, police chiefs, chief clerks, chief purchasing agents, grant and contract managers, administrative officers, housing and building inspectors, investigators, auditors, sewer enforcement officers and zoning officers in all governmental bodies.

(E) Court administrators, assistants for fiscal affairs and deputies for the minor judiciary.

(F) School superintendents, assistant superintendents, school business managers and principals.

(G) Persons who report directly to heads of executive, legislative and independent agencies, boards and commissions except clerical personnel.

(v) Persons in the following positions are generally not considered public employees:

(A) City clerks, other clerical staff, road masters, secretaries, police officers, maintenance workers, construction workers, equipment operators and recreation directors.

(B) Law clerks, court criers, court reporters, probation officers, security guards and writ servers.

(C) School teachers and clerks of the schools. Public official—A person elected by the public or elected or appointed by a governmental body, or an appointed official in the Executive, Legislative or Judicial Branch of the Commonwealth or a political subdivision thereof. The term does not include members of advisory boards that have no authority to expend public funds other than reimbursement for personal expense, or to exercise otherwise the power of the Commonwealth or a political subdivision thereof.

(i) The following criteria will be used to determine if the exception in this paragraph is applicable:

(A) The body will be deemed to have the power to expend public funds if the body may commit funds or may otherwise make payment of moneys, enter into contracts, invest funds held in reserves, make loans or grants, borrow money, issue bonds, employ staff, purchase, lease, acquire or sell real or personal property without the consent or approval of the governing body and the effect of the power to expend public funds has a greater than de minimis economic impact on the interest of a person.

(B) The body will be deemed to have the authority to otherwise exercise the power of the Commonwealth or a political subdivision if one of the following exists:

(I) The body makes binding decisions or orders adjudicating substantive issues which are appealable to a body or person other than the governing authority.

(II) The body exercises a basic power of government and performs essential governmental functions.

(III) The governing authority is bound by statute or ordinance to accept and enforce the rulings of the body.

(IV) The body may compel the governing authority to act in accordance with the body’s decisions or restrain the governing authority from acting contrary to the body’s decisions.

(V) The body makes independent decisions which are effective without approval of the governing authority.

(VI) The body may adopt, amend and repeal resolutions, rules, regulations or ordinances.

(VII) The body has the power of eminent domain or condemnation.

(VIII) The enabling legislation of the body indicates that the body is established for exercising public powers of the Commonwealth or a political subdivision.

(ii) The term does not include judges and inspectors of elections, notary publics and political party officers.

(iii) The term generally includes persons in the following offices:

(A) Incumbents of offices filled by nomination of the Governor and confirmation of the Senate.

(B) Heads of executive, legislative and independent agencies, boards and commissions.

(D) Persons appointed to positions designated as officers by the Commonwealth or its political subdivisions.

(E) Members of municipal, industrial development, housing, parking and similar authorities.

(F) Members of zoning hearing boards and similar quasi-judicial bodies.

(G) Members of the public bodies meeting the criteria in paragraph (i)(A). Requester—The person seeking an advice or opinion from the Commission. Respondent—The person who is the subject of a complaint, inquiry or investigation. Service—Official papers are deemed served on the date of United States postmark if delivered by United States mail, the pickup date if delivered by express carrier or the date received from the Commission if hand delivered or transmitted by electronic mail or fax. Staff—The Executive Director, the Chief Counsel, investigators and other personnel as may be employed by or assigned to assist the Commission. Sworn complaint—A complaint on a form promulgated by the Commission or its equivalent which is notarized and contains the provision that the complaint is signed under the penalty of perjury. Unannounced write-in-candidate—An individual who is not a ‘‘candidate’’ as defined in the act and who received sufficient write-in votes on election day to be elected to or nominated for an office. Vice Chair—The Vice Chair of the Commission.

The provisions of this § 11.1 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 11.1 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4524; amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (258143) to (258146) and (342987) to (342988).

Filing

The requirement of actual receipt to accomplish filing of reports applies only to Statewide candidates; local candidates can comply by having their filing postmarked before the deadline. In re Nomination Petition of McMonagle, 793 A.2d 174 (Pa. Cmwlth. 2002).

This section cited in 51 Pa. Code § 31.1 (relating to definitions); 51 Pa. Code § 51.1 (relating to definitions).

History

Authority: The provisions of this § 11.
Source: The provisions of this Chapter 11 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 11.2 Construction.

Because public confidence in government can best be sustained by assuring the people of the impartiality and honesty of public officials, this title shall be liberally construed to promote complete financial disclosure as specified in the act.

History

Authority: The provisions of this § 11.
Source: The provisions of this Chapter 11 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 11.3 Statute of limitations.

The Commission may investigate a violation of the act within 5 years of its occurrence. The occurrence transpires when an act is complete or requires no further action.

The provisions of this § 11.3 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 11.3 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (342988).

History

Authority: The provisions of this § 11.
Source: The provisions of this Chapter 11 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

Chapter 13 Opinions and Advices of Counsel

51 Pa. Code § 13.1 General provisions.

(a) An advice or an opinion may be requested by a public official or public employee as to his own conduct or by the authorized representative of the person, his present employer, or appointing authority of the person through majority action of the appointing authority, if applicable.

(b) The requester shall provide the following information in writing:

(1) The name, address and phone number of the person who is the subject of the request and if different, the name, address and phone number of the person initiating the request.

(2) The name of the governmental body with which the subject serves and the name or title of the person’s public office or position.

(3) If the requester is the appointing authority, employer or representative of the subject of the request, the nature of the relationship.

(4) The nature and duties of the subject’s office or job. Include an organization chart, bylaws of the organization, if available, and a job description.

(5) List the relevant facts and circumstances surrounding the request.

(c) The requester may ask that an opinion or advice be issued under either 65 Pa.C.S. § 1107(10) or (11) (relating to powers and duties of commission).

(d) The Commission will decide, within 14 days, whether an opinion or advice should be issued and will so advise the requester.

(e) If a requester seeks an opinion and is advised that an advice should be issued or if the requester seeks an advice and is advised that an opinion should be issued, the requester may either withdraw the request by notifying the Commission within 14 days of the date of receiving notice under subsection (d) or may elect to have the opinion or advice issued as docketed by the Commission.

(f) Advices and opinions are matters of public record except as provided in this section.

(g) A requester may seek a confidential advice or opinion in writing at the time of the request or within 7 days of notification of docketing as an advice or opinion.

(h) A confidential advice or opinion will be publicly filed but will contain deletions and changes to preserve the confidentiality of the requester’s or subject’s identity.

(i) The files relating to a confidential advice or opinion will not be public and will so remain unless released by the requester or the public official or public employee who is the subject of the advisory.

(j) If a Petition for Review or other legal pleading is filed in a court of law regarding a confidential advice or opinion, the files will become public on the date that the Commission record is transmitted to court or on the date the responsive pleading, motion, application or other legal document is filed by the Commission, whichever date comes first, unless the court directs otherwise.

(k) Documents and submissions to the Commission relating to a request for an opinion or an appeal of an advice shall be made at least 7 days prior to the meeting of the Commission during which the appeal or opinion will be reviewed.

The provisions of this § 13.1 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 13.1 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (342989) to (342990).

This section cited in 51 Pa. Code § 13.5 (relating to public access).

History

Authority: The provisions of this § 13.
Source: The provisions of this Chapter 13 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 13.2 Advice of counsel.

(a) Advice of counsel will be based exclusively on one or more of the following authorities:

(1) Prior Commission opinions.

(2) The act.

(3) This title.

(4) Court opinions interpreting the act.

(b) The Chief Counsel will issue the advice on behalf of the Commission within 21 working days after receipt of the request, but the time may be extended for good cause.

(c) Clarification of an advice may be requested in cases where the original advice was incomplete, inconsistent or unclear.

(d) Requests for clarification shall be filed within the 30-day period normally applicable for appealing an advice to the Commission.

(e) The timely filing of a request for clarification will toll the applicable period for appealing an advice to the Commission.

(f) Supplemental advice may be requested in cases in which additional facts are present or circumstances have changed from those in the original request.

(g) An advice of counsel may be appealed to the Commission by the requester or the subject of the request.

(h) An appeal from an advice to the Commission shall be in writing and filed within 30 days of the issuance of the advice.

(i) An appeal from an advice will be considered by the Commission after which an opinion will be issued either affirming, modifying or reversing the original advice.

(j) Reconsideration may be requested under § 21.29 (relating to finality; reconsideration) of an opinion disposing of an appeal of an advice if the request is filed within 30 days of the issuance of the opinion.

(k) An advice shall be a complete defense in an enforcement proceeding initiated by the Commission, and evidence of good faith conduct in another civil or criminal proceeding, if the requester, at least 21 working days prior to the alleged violation, requested written advice from the Commission in good faith, disclosed truthfully the material facts and committed the acts complained of either in reliance on the advice or because of the failure of the Commission to provide advice within 21 working days of the request or the later extended time.

The provisions of this § 13.2 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 13.2 amended May 5, 1995, effective May 6, 1995, 25 Pa.B. 1777; amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (342990) and (258151).

History

Authority: The provisions of this § 13.
Source: The provisions of this Chapter 13 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 13.3 Opinions.

(a) Opinions shall be issued under the provisions of 65 Pa.C.S. § 1107(10) (relating to powers and duties of commission).

(b) Requests for Commission opinions will be considered in accordance with the procedures outlined in § § 23.1—23.6.

(c) A party may request that the Commission reconsider an opinion in accordance with § 21.29 (relating to finality; reconsideration). The request shall be filed within 30 days of the service of the opinion and contain a detailed explanation of the reasons in support of the request.

(d) Reconsideration may be granted in the discretion of the Commission under § 21.29(e).

(e) A person who acts in good faith on an opinion issued to him by the Commission will not be subject to criminal or civil penalties for so acting, if the material facts are as stated in the opinion request.

The provisions of this § 13.3 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 13.3 amended May 5, 1995, effective May 6, 1995, 25 Pa.B. 1777; amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (258151).

History

Authority: The provisions of this § 13.
Source: The provisions of this Chapter 13 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 13.4 Intervention.

(a) A person who is not a party in an advice or opinion request or reconsideration thereof, may file a petition to intervene if the person has an interest. One or more of the following criteria will be utilized to determine whether a person has an interest:

(1) A right conferred by Federal or State law.

(2) An interest which may be affected and which is not adequately represented.

(3) An issue of public importance.

(b) A person shall apply for intervention within 14 days prior to the Commission meeting if the opinion will be reviewed or decided. The Commission may grant an application at any time prior to the meeting, but only for good cause shown.

(c) An application for intervention shall include the facts which establish the nature of the alleged right or interest and the grounds for intervention. The application shall also address the facts if they are deficient or incorrectly stated, and the relevant issues of law. The application may cite authority in support of the advocated position.

(d) The Commission will review applications for intervention to determine whether a grant of intervention is appropriate.

(e) A person may file an amicus brief which shall be received within 14 days prior to the Commission meeting.

History

Authority: The provisions of this § 13.
Source: The provisions of this Chapter 13 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 13.5 Public access.

(a) Subject to § 13.1(h) and (i) (relating to general provisions), the Commission’s advisories, letters requesting advisories, files and information submitted to the Commission relating to a request are public records and will be available for public inspection and reproduction during normal business hours.

(b) The Commission will transmit, free of charge, copies of each order, advice and opinion which has become a matter of public record quarterly to the law library of each county, one public library in each county, the State Library, the State Senate Library, each authority appointing Commission members under this act, the County Commissioners Association of Pennsylvania, the Pennsylvania State Association of Boroughs, the Pennsylvania State Association of Township Supervisors, the Pennsylvania State Association of Township Commissioners, the Pennsylvania School Boards Association and the Pennsylvania League of Cities and Municipalities.

(d) A digest and index of Commission opinions may be published and disseminated annually.

The provisions of this § 13.5 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 13.5 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (258152).

History

Authority: The provisions of this § 13.
Source: The provisions of this Chapter 13 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

Chapter 15 Statements of Financial Interests, Applicability

51 Pa. Code § 15.1 Federal officials, employees and candidates.

(a) Federal officials, employees and candidates are not required to file the Statement of Financial Interests with regard to their Federal position.

(b) Federal officials, employees and candidates who serve with the Commonwealth or a political subdivision as part of an exchange or comparable program are required to file a Statement of Financial Interests.

The provisions of this § 15.1 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 15.1 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (275989).

History

Authority: The provisions of this § 15.
Source: The provisions of this Chapter 11 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 15.2 Public officials and public employees.

(a) Public officials and employees shall file a Statement of Financial Interests for the preceding calendar year by May 1 of each year during which they hold office or a position and by May 1 of the year after they leave the position.

(b) A public official may not take the oath of office, continue upon his duties or receive compensation for holding office unless a Statement of Financial Interests has been filed.

(1) Executive branch public officials, board and commission members shall file with the Governor’s office.

(2) Legislative branch public officials shall file with either the Chief Clerk of the House of Representatives or the Secretary of the Senate, depending upon in which body the official serves.

(3) Independent agency public officials and other public officials shall file with their agency.

(d) Public employees of the Commonwealth shall file with the State agency with which they are employed.

(e) County and local officials, and employees, shall file with the governing body of the political subdivision in which they serve or are employed.

(f) In an election year, public officials and public employees who are also candidates, shall, in addition, file at the times and locations required by candidates.

(g) Full- or part-time solicitors are required to file Statements of Financial Interests.

(h) If a law firm or engineering firm is designated solicitor or engineer, the persons primarily responsible for providing the services in the firm are responsible for filing a Statement of Financial Interests.

The provisions of this § 15.2 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 15.2 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (275989) to (275990).

History

Authority: The provisions of this § 15.
Source: The provisions of this Chapter 11 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 15.3 Candidates and nominees.

(a) A candidate for State level public office shall file a Statement of Financial Interests with the Commission on or before the last day for filing a petition to appear on the ballot and a copy of the Statement shall be appended to the petition.

(b) A candidate for county or local level public office shall file a Statement of Financial Interests with the governing authority of the political subdivision wherein the candidate is seeking office on or before the last day for filing a petition to appear on the ballot and a copy of the Statement shall be appended to the petition.

(c) A candidate running for office as a substitute nominee shall file a Statement of Financial Interests on or before the last day for filing a substitute nomination certificate as follows:

(1) A nominee for State level office shall file the Statement with the Commission and a copy shall be appended to the substitute nomination certificate.

(2) A nominee for county or local level public office shall file the Statement with the governing authority of the political subdivision wherein the person is seeking office and a copy of the Statement shall be appended to the substitute nomination certificate.

(d) An independent candidate not running in a primary election shall file a Statement of Financial Interests on or before the last day for filing a petition to appear on the ballot for election. The filing shall be made in accordance with subsections (a) and (b).

(e) A write-in-candidate shall file a Statement of Financial Interests within 30 days of having been nominated or elected unless the person declines the nomination or office within that period of time.

(1) The Statement shall be filed with the Commission for State level public office and with the governing authority of the political subdivision wherein the person has been elected or nominated for county or local level public office.

(2) For the purposes of calculating the 30-day period during which the Statement of Financial Interests shall be filed, the time shall commence on the date that the appropriate board of elections certifies the individual as the winner of a nomination or election.

(f) A petition to appear on the ballot will not be accepted unless a copy of the Statement of Financial Interests is attached thereto.

(g) A nominee for public office shall file a Statement of Financial Interests for the preceding calendar year at least 10 days prior to the date of approval or rejection by the confirming body.

(1) A nominee for Commonwealth positions requiring Senate confirmation shall file with the Commission and the Secretary of the Senate.

(2) A nominee for county or local level public office shall file with the governing authority of the political subdivision in which the person is a nominee and, if different, with the official or body vested with the power of confirmation.

The provisions of this § 15.3 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 15.3 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (275990) to (275991).

History

Authority: The provisions of this § 15.
Source: The provisions of this Chapter 11 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

Chapter 17 Statements of Financial Interests, Content

51 Pa. Code § 17.1 General.

The person required to file shall list the following general identification information:

(1) The full name and address of the public official, public employee or candidate.

(2) [Reserved].

(3) The position sought or held, and name of the governmental body associated with the position sought or held.

(4) An occupation or profession.

The provisions of this § 17.1 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 17.1 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (279505).

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.2 Real estate.

(a) The person required to file shall list direct or indirect interests in real estate as follows:

(1) Real estate sold or leased to the Commonwealth or its agencies or political subdivisions.

(2) Real estate purchased or leased from the Commonwealth, or its agencies or political subdivisions.

(3) Real estate which is subject to condemnation proceedings by the Commonwealth or its agencies or political subdivisions.

(b) Real estate interests include ownership in the form of title, as fiduciary, by option agreement, partnership or corporate share, easement, trustee-beneficiary type interests or other forms of interest in realty.

(c) An indirect interest in real estate constitutes any business entity, the assets of which are 80% or more in real property.

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.3 Creditors.

(a) Each creditor to whom is owed in excess of $6,500 or the amount as adjusted under 65 Pa.C.S. § 1105(d) (relating to statement of financial interests) and § 19.5 (relating to reporting threshold adjustments) shall be reported.

(b) Mortgages, home equity loans or other loans secured by a primary or secondary residence of the person filing need not be reported.

(c) A joint obligation with other persons, for which the filer is responsible only for a proportional share that is less than the reporting threshold, is not required to be reported.

(d) The joint obligation of a husband and wife shall be reported if within the reporting threshold.

(e) An obligation within the reporting threshold for which a person acts as a guarantor for the person required to file shall be reported.

(f) Loans or credit between the person required to file and the person’s spouse, parents, children, brothers or sisters are excluded.

(g) No dollar amounts are required.

(h) The interest rate for a reportable obligation shall be indicated.

(i) A reportable creditor shall be identified by name and address.

The provisions of this § 17.3 amended under 65 Pa.C.S. § § 1105(b) and 1107(1).

The provisions of this § 17.3 amended June 8, 2001, effective June 9, 2001, 31 Pa.B. 2925. Immediately preceding text appears at serial page (275994).

This section cited in 51 Pa. Code § 19.5 (relating to reporting threshold adjustments).

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.4 Income.

(a) The name and address of a direct or indirect source of income, including employers, in the aggregate of $1,300 or more or the amount as adjusted under 65 Pa.C.S. § 1105(d) (relating to statement of financial interests) and § 19.5 (relating to reporting threshold adjustments) shall be reported, unless the disclosure would require the divulgence of confidential information protected by statute or existing professional codes of ethics or common law privileges.

(b) Income from the securities of a particular business equaling or exceeding the reporting threshold, capital gains and dividends equaling or exceeding the reporting threshold shall be listed.

(c) If the income generated equals or exceeds the reporting threshold, mutual funds and other financial plans for individuals may be reported as a single source if the individual has no authority to buy or sell particular assets in the fund.

(d) An individual or an individual and a spouse who have an investment portfolio with a broker, other than a mutual fund, shall list individually the income from each asset to which subsection (b) applies if the asset may be bought and sold by the individual or by the individual and a spouse.

The provisions of this § 17.4 amended under 65 Pa.C.S. § § 1105(b) and 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 17.4 amended June 8, 2001, effective June 9, 2001, 31 Pa.B. 2925; amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (279506) to (279507).

This section cited in 51 Pa. Code § 19.5 (relating to reporting threshold adjustments).

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.5 Gifts.

(a) The name and address of the source of a gift valued in the aggregate at $250 or more or the amount as adjusted under 65 Pa.C.S. § 1105(d) (relating to statement of financial interests) and § 19.5 (relating to reporting threshold adjustments) shall be reported.

(b) The amount of the gift as well as the circumstances surrounding it shall be reported.

(c) A gift from a spouse, parent, parent by marriage, sibling, child, grandchild, other family member or friend is not required to be reported when the circumstances surrounding the gift indicate the motivation for the action was a personal or family relationship.

(d) The term ‘‘friend,’’ under this section, does not include a registered lobbyist or an employee of a registered lobbyist.

The provisions of this § 17.5 amended under 65 Pa.C.S. § § 1105(b), 1107(1) and 1108(k)(9); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 17.5 amended June 8, 2001, effective June 9, 2001, 31 Pa.B. 2925; amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (279507).

This section cited in 51 Pa. Code § 19.5 (relating to reporting threshold adjustments).

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.6 Expense reimbursement.

(a) The name and address of the source and the amount of a payment for or reimbursement of actual expenses for transportation and lodging or hospitality received in connection with public office or employment where the actual expenses for transportation and lodging or hospitality exceed $650, or the amount as adjusted under 65 Pa.C.S. § 1105(d) (relating to statement of financial interests) and § 19.5 (relating to reporting threshold adjustments), in the course of a single occurrence shall be reported.

(b) This subsection does not apply to expenses reimbursed by a governmental body, or to expenses reimbursed by an organization or association of public officials or employees of political subdivisions which the public official or employee serves in an official capacity.

The provisions of this § 17.6 amended under 65 Pa.C.S. § § 1105(b) and 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 17.6 amended June 8, 2001, effective June 9, 2001, 31 Pa.B. 2925; amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (279507) to (279508).

This section cited in 51 Pa. Code § 19.5 (relating to reporting threshold adjustments).

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.7 Office, directorship and employment.

A person required to file a Statement of Financial Interests shall disclose the name and address of the business entity with which he is associated and the position held, and whether the person required to disclose is an officer, director, fiduciary or partner—limited or general.

The provisions of this § 17.7 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 17.7 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (279508).

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.8 Financial business interest.

(a) A financial interest in a legal entity engaged in business for profit shall be reported. Financial interest means more than either 5% of the equity of the business, or 5% of the assets of the economic interest in indebtedness.

(b) A financial interest in a business and employment by the same business shall be listed in both categories of the Statements of Financial Interests.

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.9 Transferred business interests.

(a) A financial interest in a business with which the reporting person is or has been associated during the preceding calendar year which has been transferred to a member of the person’s immediate family; that is, a parent, spouse, child, brother or sister, shall be reported.

(b) Financial interests comprise more than 5% of the equity of the business or more than 5% of the assets of the economic interest in indebtedness.

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.10 Reporting in multiple categories.

The required disclosure of information in one category does not excuse the nondisclosure of that information in other categories when so required. Therefore, the same information may be required in more than one category.

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 17.11 Application of lobbying disclosure regulations.

See, lobbying disclosure regulations, Chapters 31 and 35 (relating to general provisions; and reporting), as to the differentiation between ‘‘gift’’ and ‘‘transportation and lodging or hospitality received in connection with public office or employment’’ and the determination of the amounts for reporting.

The provisions of this § 17.11 issued under 65 Pa.C.S. § § 1105(b) and 1107(1).

The provisions of this § 17.11 adopted June 8, 2001, effective June 9, 2001, 31 Pa.B. 2925.

History

Authority: The provisions of this § 17.
Source: The provisions of this Chapter 17 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

Chapter 19 Statements of Financial Interests, Miscellaneous

51 Pa. Code § 19.1 Forms; filing.

(a) A person required to file a Statement of Financial Interests shall file Form SEC-1, as published and revised by the Commission.

(b) The Statement of Financial Interests form is available at the Commission, the State Board of Elections, the County Board of Elections and other locations as conditions warrant.

(d) A Statement of Financial Interests sent by a form of electronic transmission that has been approved by the Commission is considered to be filed on the date the Commission receives the electronic copy.

The provisions of this § 19.1 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 19.1 amended September 20, 1996, effective September 21, 1996, 26 Pa.B. 4524; amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (258153).

This section cited in 51 Pa. Code § 11.1 (relating to definitions).

History

Authority: The provisions of this § 19.
Source: The provisions of this Chapter 19 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 19.2 Period covered.

The Statement of Financial Interests requires information for the full calendar year immediately preceding the year in which the Statement of Financial Interests is filed.

History

Authority: The provisions of this § 19.
Source: The provisions of this Chapter 19 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 19.3 Late or deficient filings.

(a) If an audit or inspection determines that a required filing is deficient or that a required filing has not been made, the Commission will provide written notice to the individual required to file, detailing the deficiency and the penalties for deficient filing or failure to file.

(b) If a complaint is received alleging that a required filing is deficient or has not been made, the Commission may elect to proceed in the matter under this section rather than through the investigative procedures of Chapter 21 (relating to investigations).

(1) Upon election, the complainant will be notified of the decision as well as the final resolution of the matter.

(2) In determining whether to proceed under this section, the Commission may consider whether:

(i) The deficient filing or failure to file was intentional.

(ii) The filer had prior notice of the requirements of the act.

(iii) The filer has in the past complied with the act.

(c) The individual notified in accordance with subsection (a) has 20 days from the mailing date of the notice to correct deficiencies or to file a Statement of Financial Interests. If the individual fails to file or to correct his Statement within that time, the Commission will review the matter to determine whether a civil penalty is appropriate under the act.

(d) If the Commission determines that a penalty is appropriate, it will issue a rule to show cause, notifying the individual of his deficiency under the act and of the grounds for the rule and of his opportunity to respond in writing to the rule. If cause is not shown, the rule and penalty therein become absolute.

(e) The Commission may assess a penalty of not more than $25 per day for the time a Statement of Financial Interests remains delinquent or deficient, up to a maximum of $250 total.

(f) The penalty in subsection (d) is in addition to other penalties provided by law and the filing of a Statement of Financial Interests in accordance with subsection (a) does not otherwise vitiate the failure to comply with the act.

The provisions of this § 19.3 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 19.3 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (258154).

This section cited in 51 Pa. Code § 21.1 (relating to complaints).

History

Authority: The provisions of this § 19.
Source: The provisions of this Chapter 19 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 19.4 Availability of statements of financial interests.

(a) Statements of Financial Interests filed with the Commission under the act are available for public inspection and copying at a charge not to exceed actual cost at the office of the Commission in Harrisburg, Pennsylvania during the Commission’s regular business hours.

(b) A governmental body required to maintain Statements of Financial Interests shall make them available for public inspection and copying during regular business hours.

(c) Statements of Financial Interests more than 1 year old will be made available for public inspection and copying within 2 working days after the request has been made for the Statements. The Statements shall be kept on file for 5 years after the Commission or governmental body receives the Statements.

The provisions of this § 19.4 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 19.4 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (258154) to (258155).

History

Authority: The provisions of this § 19.
Source: The provisions of this Chapter 19 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 19.5 Reporting threshold adjustments.

(a) On a biennial basis commencing in January 1991, the Commission will review and may increase the threshold dollar amounts in § § 17.3(a), 17.4(a), 17.5(a) and 17.6(a).

(b) The Commission will base the increases upon a review of the National Consumer Price Index as published by the United States Department of Labor or other relevant indices.

(d) Upon final determination of the appropriate reporting increases, the Commission will publish a schedule of the increases in the Pennsylvania Bulletin in 2 successive months and take other action deemed necessary to disseminate the information.

(e) The effective date of threshold increases shall be delayed a sufficient period of time to allow publication of the information to afford affected individuals the opportunity to comply therewith and relevant Commission forms shall be revised accordingly.

This section cited in 51 Pa. Code § 17.3 (relating to creditors); 51 Pa. Code § 17.4 (relating to income); 51 Pa. Code § 17.5 (relating to gifts); 51 Pa. Code § 17.6 (relating to expense reimbursement); and 51 Pa. Code § 31.7 (relating to biennial review of exemption threshold and reporting threshold).

History

Authority: The provisions of this § 19.
Source: The provisions of this Chapter 19 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

Chapter 21 Investigations

51 Pa. Code § 21.1 Complaints.

(a) A complaint alleging a violation of the act shall contain the name, position or office held by the respondent and the basis of the complaint which would delineate the facts and circumstances of the alleged violation.

(b) A complaint shall be sworn and signed by the complainant.

(d) The Commission will acknowledge, in writing, the receipt of the complaint.

(e) The Commission through its Executive Director will review complaints and proceed only if the complaint:

(1) Contains sufficient information.

(2) Is sworn and signed.

(3) Is within the Commission’s jurisdiction.

(4) Concerns an alleged violation of the act having a greater than de minimis economic impact.

(f) A complaint not meeting the requirements of subsection (e) will be dismissed without prejudice to refile if the requirements are satisfied.

(g) Upon the receipt of a complaint which satisfies the criteria of subsection (e), the Commission, through its Executive Director, will initiate a preliminary inquiry. If the preliminary inquiry establishes reason to believe that the act was violated, the Commission, through its Executive Director, may initiate a full investigation.

(h) A complainant will be notified of the dismissal of a complaint under subsection (f).

(i) In the case of sworn complaints alleging a violation of the Statements of Financial Interests filing requirements, the Commission may elect to proceed under § 19.3 (relating to late or deficient filings), in which event this chapter does not apply.

(j) This section supersedes 1 Pa. Code § 35.9 (relating to formal complaints generally).

This section cited in 51 Pa. Code § 31.1 (relating to definitions); 51 Pa. Code § 43.2 (relating to Commission proceedings under section 1307 of the act); 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); and 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.2 Initiation of investigation by the Commission.

The Commission through its Executive Director may, on its own motion, conduct a preliminary inquiry regarding an alleged violation of the act.

This section cited in 51 Pa. Code § 43.2 (relating to Commission proceedings under section 1307 of the act); 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); and 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.3 Preliminary inquiries.

(a) A preliminary inquiry will be terminated or opened as a full investigation within 60 days of the initiation thereof. A preliminary inquiry is considered initiated at the time when it is officially docketed.

(b) The Commission will keep information, records and proceedings relating to a preliminary inquiry confidential. The Commission will, however, have the authority to refer the case to law enforcement officials during a preliminary inquiry or any time thereafter without providing notice to the subject of the inquiry.

(c) If, after preliminary inquiry, there is reason to believe that the act has been violated, the Executive Director will commence an investigation. An investigation will be considered commenced when the respondent is notified under § 21.5(b) (relating to conduct of investigations).

(d) The Commission, through its Executive Director, will close the preliminary inquiry if:

(1) The occurrence giving rise to the complaint is not within the purview of the act as having been committed and completed prior to the act.

(2) The occurrence giving rise to the complaint is clearly not within the purview of the act.

(3) The respondent is not a person subject to the act.

(4) There is no reason to believe that the act has been violated.

(5) The violation complained of has a de minimis economic impact.

(e) If the preliminary inquiry is closed, the Commission will notify the complainant and the respondent.

This section cited in 51 Pa. Code § 43.2 (relating to Commission proceedings under section 1307 of the act); 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act); and 51 Pa. Code § 63.5 (relating to investigative process for late or deficient filings).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.4 Frivolous complaints; complaints without probable cause, disclosure of complaints.

(a) If a public official or public employee has reason to believe a complaint is frivolous due to its having been filed in a grossly negligent manner without basis in law or fact, or without probable cause and made primarily for a purpose other than that of reporting a violation of the act, or that a person has publicly disclosed or caused to be disclosed that a complaint against the public official or public employee has been filed with the Commission, the public official or public employee shall notify the Commission and the Commission, through its Executive Director, will conduct an investigation.

(b) These matters will be processed by the Commission in accordance with Chapter 25 (relating to wrongful use of the act).

This section cited in 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); and 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.5 Conduct of investigations.

(a) Within 72 hours of the commencement of an investigation, the complainant will be provided notification thereof by first class mail.

(b) The respondent will be provided with a general statement of the alleged violation of the act and other applicable statutes under investigation. Service of the notice is complete upon mailing which will be by certified or registered mail.

(c) The complainant and respondent will be notified of the status of the investigation every 90 days until it is complete.

(d) The Commission may employ or be assigned staff, including attorneys, investigators and hearing officers, as may be required to properly investigate, review and dispose of complaints and investigations.

(e) The Executive Director, staff counsel, director of investigations and special investigators have the authority to conduct interviews, take statements, receive and inspect documents and records and otherwise obtain evidence and gather information by lawful means.

(f) Commission staff members identified in subsection (e) are designated to administer oaths or affirmations for the purpose of obtaining voluntary sworn statements with regard to matters which may properly come before the Commission.

(g) A person having possession or control of documents or records deemed relevant to an investigation that the Commission is authorized to conduct may be required to produce the materials for inspection by subpoena served by the members of the Commission staff designated in subsection (e). These Commission staff members have the right to retain or have access to subpoenaed documents and records for a reasonable period, and to make copies thereof.

(h) The Commission may authorize one or more members of the Commission staff designated in subsection (e) to obtain by subpoena the sworn statement of a person deemed to have information relevant to an investigation that the Commission is authorized to conduct.

(1) Sworn statements may be conducted by and before one or more of the staff members in subsection (e).

(2) Testimony received in the preparation of a sworn statement will be under oath or affirmation administered and recorded by a stenographer.

(3) The authority to question a witness appearing for a sworn statement will be limited to staff members taking the sworn statement, the hearing officer and counsel for the witness.

(4) Persons permitted to be in attendance at the preparation of a sworn statement will be limited to staff members of the Commission, the hearing officer, the witness, counsel for the witness and a stenographer.

(5) A witness giving a sworn statement may object to a question if it is irrelevant or privileged.

(6) A witness subpoenaed by the Commission is entitled to compensation as fixed by 42 Pa.C.S. § 5903 (relating to compensation and expenses of witnesses).

(i) Subpoenas issued under subsection (g) or subsection (h) will be authorized by the Commission and signed by the Chair or Vice Chair. Subpoenas may be served by a person empowered to do so or as designated by the Executive Director.

(j) Within 180 days of commencing the investigation, the Commission will do one of the following:

(1) Terminate the investigation and notify the complainant and respondent.

(2) Rule upon a request for an extension by the Executive Director, upon a showing of need, not to exceed 90 days.

(i) The granting of or denial of a request for an extension requires a majority vote of a quorum of the Commission.

(ii) A maximum of two extensions may be granted.

(iii) A findings report will be issued within 180 days after the commencement of an investigation or within the time period of a granted extension.

(3) Issue a findings report which sets forth the pertinent facts, and affords the respondent an opportunity to respond to the findings and to request an evidentiary hearing.

(k) The respondent shall file a response to the findings report of the Commission within 30 days, unless an application for an extension is made to the Commission and granted for good cause shown.

(1) The respondent shall admit or deny the allegations in the findings report by number. Anything not specifically denied or general denials will be deemed an admission of the individual factual finding.

(2) New matter raised by a respondent in his answer does not require a reply by the Commission.

(l) [Reserved].

(m) If an investigation conducted under the act indicates that no violation has been committed, the Commission will immediately terminate the investigation and send written notice of the determination to the complainant and the person who was the subject of the investigation.

(n) Subsection (h) supersedes 1 Pa. Code § § 35.142 and 35.145 (relating to subpoenas; and depositions).

The provisions of this § 21.5 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 21.5 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (342994) to (342995).

This section cited in 51 Pa. Code § 21.3 (relating to preliminary inquiries); 51 Pa. Code § 43.2 (relating to Commission proceedings under section 1307 of the act); 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); and 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibition activities under section 13A07 of the act).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.6 Confidentiality.

(a) As a general rule, a person may not disclose or acknowledge, to another person, any information relating to a complaint, preliminary inquiry, investigation, hearing or petition for reconsideration which is before the Commission. However, a person may disclose or acknowledge to another person matters held confidential in accordance with this chapter or 65 Pa.C.S. § 1108 (relating to investigations by commission), when the matters pertain to any of the following:

(1) Final orders of the Commission as provided in 65 Pa.C.S. § 1108(h).

(2) Hearings conducted in public under 65 Pa.C.S. § 1108(g).

(3) For the purpose of seeking advice of legal counsel.

(4) Filing an appeal from a Commission order.

(5) Communicating with the Commission or its staff, in the course of a preliminary inquiry, investigation, hearing or petition for reconsideration by the Commission.

(6) Consulting with a law enforcement official or agency for the purpose of initiating, participating in or responding to an investigation or prosecution by the law enforcement official or agency.

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

(8) Information, records or proceedings relating to a complaint, preliminary inquiry, investigation, hearing or petition for reconsideration which the person is the subject of.

(9) The publication or broadcast of information legally obtained by the news media regarding a confidential Commission proceeding.

(10) The divulgence by individuals who are interviewees or witnesses as to confidential Commission proceedings regarding information that was already in their possession or the disclosure of their own statements.

The provisions of this § 21.6 issued under 65 Pa.C.S. § § 1107(1) and 1108(k)(9).

The provisions of this § 21.6 adopted June 8, 2001, effective June 9, 2001, 31 Pa.B. 2925.

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.21 General.

(a) The Commission will conduct hearings upon the request of a respondent. A respondent shall request a hearing in their answer to the findings report or separately within 30 days of the issuance of the findings report. Failure to request a hearing within the time period will be deemed a waiver.

(1) The respondent may be granted an extension for filing an answer upon application to the Chief Counsel and for good cause shown. The Chief Counsel may grant an extension up to 30 days.

(2) Further requests shall be made to the Chair 2 weeks prior to the extended deadline. The Chair may grant a second extension if extraordinary circumstances are demonstrated in writing.

(3) Extensions granted will correspondingly advance other deadlines provided for in the act.

(4) A hearing will be held within 45 days after the respondent’s answer to the findings report unless the time is extended upon application for good cause shown.

(5) A notice of hearing will be issued to the respondent unless represented by counsel in which case to counsel within a reasonable period of time prior thereto. The notice will advise of the date, time and location of the hearing, and of the hearing rights, privileges, process and procedures in this section.

(6) Hearings will be conducted in Harrisburg, Pennsylvania. A request for a hearing in Philadelphia or Pittsburgh will be granted, if filed with the Commission within 7 days after the notice of hearing is mailed. Failure to request a hearing in those locations within the time period will be deemed a waiver of the right.

(b) Hearings will be conducted before one or more members of the Commission. The Commission may appoint a hearing officer for the conduct of the hearings.

The provisions of this § 21.21 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 21.21 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (342996) to (342997).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.22 Discovery.

(a) The respondent will be given access to evidence intended to be used by the Commission at the hearing, as well as exculpatory evidence developed during the investigation.

(b) Access to evidence does not include the original complaint or the name of the complainant, information which is otherwise privileged or information not within subsection (a).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.23 Scope of hearing.

(a) Hearings may be conducted as follows based upon the express agreement of the parties:

(1) Full evidentiary hearing.

(1.1) Limited hearing based on partially stipulated facts.

(2) Oral argument based on stipulated findings.

(3) Submission on briefs.

(4) [Reserved].

(b) The respondent has the right to a full hearing, if so requested.

(d) Motions for dismissal made by the respondent will be deferred to the full Commission for consideration.

(e) This section supersedes 1 Pa. Code § 35.126 (relating to presentation by the parties).

The provisions of this § 21.23 amended under 65 Pa.C.S. § 1107(1) and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 21.23 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (342998).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.24 Hearing officer.

(a) It is the duty of the hearing officer and he has the power to do one or more of the following:

(1) Schedule and conduct a hearing as required to resolve the matter and to provide the parties with proper notice of the hearing.

(2) Administer oaths or affirmations to witnesses.

(3) Rule on motions, objections or other matters arising during the hearing.

(4) Ensure that all parties have a full and fair opportunity to be heard.

(5) Ensure that a record of the proceedings is available for review by the Commission.

(6) Advise witnesses and parties to the hearing of the confidentiality requirements of the act.

(7) Advise witnesses or the respondents, when not represented by counsel, of their rights as witnesses.

(8) Issue subpoenas upon written request for the production of documents, records and persons needed for the proceeding. The hearing officer will be provided with the name and addresses of the persons and a description of the documents or records involved, and will be satisfied that the documents, records or testimony are relevant and are not protected by privilege.

(9) Arrange for the payment of witness fees and mileage expenses or pay other related expenses as required by law.

(b) The hearing officer will make the following available to the Commission to the extent applicable:

(1) A transcript of the hearing, including exhibits.

(2) Motions, briefs, memorandums or documents filed by a party to the proceeding.

The provisions of this § 21.24 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 21.24 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (342998) to (342999).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.25 Conduct of the hearing.

(a) The formal rules of evidence will not apply to hearings. Relevant probative evidence except properly objected-to hearsay will be admitted.

(b) Testimony shall be given under oath or affirmation and witnesses shall be subject to cross-examination.

(d) Each party may make an opening and closing statement.

(e) Parties to the proceeding will be afforded a full and fair opportunity to be heard and may be represented by counsel.

(f) The hearing will be closed to the public unless the respondent requests an open hearing.

(g) Witnesses summoned for hearings shall receive reimbursement for expenses under 42 Pa.C.S. § 5903 (relating to compensation and expenses of witnesses).

(h) Subpoenas may be issued at the request of the parties to the hearing on the approval of the Commission or hearing officer. Information subpoenaed shall be relevant and not privileged.

(i) The hearing and papers, records and disclosures therein will be confidential except for the contents of the final order as provided in § 21.29 (relating to finality; reconsideration).

(j) If one or more of the participants in a hearing become disrespectful, disorderly or disruptive, the hearing officer may continue the hearing to allow the full Commission to rule on the proper limitations or sanctions for the person whose behavior does not conform to minimum standards required for an orderly proceeding.

(k) Subsection (a) supersedes 1 Pa. Code § 35.161 (relating to form and admissibility of evidence). Subsection (b) supersedes 1 Pa. Code § 35.137 (relating to oral examination). Subsection (c) supersedes 1 Pa. Code § 35.125 (relating to order of procedure).

Admissions

Admissions which are contained in the pleadings are properly before the hearing Commission and are a necessary part of the record. There is no need for a party to move their admission, as they are already before the Commission. Bartholomew v. State Ethics Commission, 795 A.2d 1073 (Pa. Cmwlth. 2002).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.26 Motions.

(a) A motion filed prior to the issuance of a notice of hearing will be submitted to the Chair, Vice Chair or designated hearing officer who will rule on the matter unless in the exercise of his discretion the motion should be submitted to the Commission for a determination at the next scheduled executive session of the Commission.

(b) A motion filed will correspondingly advance other deadlines provided for in the act by an amount of time equal to the period between the date of filing of the motion and the date of disposition.

(c) A motion filed immediately prior to or at hearing will be submitted to the hearing officer. The hearing officer will rule on the motion except that which would involve a final determination which will be deferred and submitted to the Commission as part of the record for final disposition of the case.

(d) This section supersedes 1 Pa. Code § 35.177 (relating to scope and contents of motions).

The provisions of this § 21.26 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 21.26 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (343000).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.27 Briefs.

(a) The hearing officer or the parties may request that briefs, proposed findings of fact and conclusions of law be presented. The hearing officer will establish a schedule for the presentation of this material. The parties have the right to request a schedule for the filing of briefs. Failure to comply with this schedule without reasonable excuse, as determined by the hearing officer, shall operate as a waiver of the opportunity to present this material.

(b) The hearing officer will provide the specifications for briefs which will be in conformity with 1 Pa. Code Chapter 35 (relating to formal proceedings).

This section cited in 51 Pa. Code § 25.4 (relating to appeal of determination); 51 Pa. Code § 43.2 (relating to Commission proceedings under section 1307 of the act); 51 Pa. Code § 43.4 (relating to noninvestigative process for late or deficient filings); 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); 51 Pa. Code § 45.2 (relating to proceedings for imposing prohibition against lobbying); 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act); 51 Pa. Code § 63.4 (relating to noninvestigative process for late or deficient filings); 51 Pa. Code § 63.5 (relating to investigative process for late or deficient filings); and 51 Pa. Code § 65.2 (relating to procedures for imposing prohibition against lobbying for economic consideration).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.28 Decision.

At the conclusion of a hearing concerning an alleged violation and in a timely manner, the Commission will deliberate on the evidence to determine whether there has been a violation of the act.

(1) At least four members of the Commission present at a meeting must find a violation of the act by clear and convincing proof.

(2) The names of the members finding a violation and the names of those dissenting and abstaining will be listed in the order.

(3) The determination of the Commission, in the form of a final order and findings of fact, will be a matter of public record.

This section cited in 51 Pa. Code § 23.2 (relating to quorum); 51 Pa. Code § 25.4 (relating to appeal of determination); 51 Pa. Code § 43.2 (relating to Commission proceedings under section 1307 of the act); 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act); and 51 Pa. Code § 63.5 (relating to investigative process for late or deficient filings).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.29 Finality; reconsideration.

(a) An order disposing of an investigation will be a final order when issued. Public release of the order will occur 30 days after the date of issuance, unless reconsideration is requested within that 30-day time period.

(b) A party may ask the Commission to reconsider an order or opinion within 30 days of service of the order or opinion. The requester shall present a detailed explanation setting forth the reason why the order or opinion should be reconsidered.

(c) A request for reconsideration filed with the Commission will delay the public release of an order, but will not suspend the final order unless reconsideration is granted by the Commission.

(d) A request for reconsideration may include a request for a hearing before the Commission.

(e) Reconsideration may be granted at the discretion of the Commission if:

(1) A material error of law has been made.

(2) A material error of fact has been made.

(3) New facts or evidence are provided which would lead to reversal or modification of the order or opinion and if these could not be or were not discovered by the exercise of due diligence.

(f) If the Commission grants reconsideration the Commission may do one or more of the following:

(1) Order new hearings.

(2) Schedule and conduct oral argument.

(3) Take other action or issue an order or opinion in final disposition of the case.

(g) Pending reconsideration or request for reconsideration, an order will remain confidential.

(h) An order which becomes final in accordance with this section will be available as a public document, but the files and records relating thereto will remain confidential.

(i) This section supersedes 1 Pa. Code § § 35.231—35.233 and 35.241 (relating to reopening of record; and application for rehearing or reconsideration).

The provisions of this § 21.29 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 21.29 amended May 5, 1995, effective May 6, 1995, 25 Pa.B. 1777; amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (346867) to (346868).

This section cited in 51 Pa. Code § 13.2 (relating to advice of counsel); 51 Pa. Code § 13.3 (relating to opinions); 51 Pa. Code § 21.25 (relating to conduct of the hearing); 51 Pa. Code § 25.4 (relating to appeal of determination); 51 Pa. Code § 43.2 (relating to Commission proceedings under section 1307 of the act); 51 Pa. Code § 43.4 (relating to noninvestigative process for late or deficient filings); 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); 51 Pa. Code § 45.2 (relating to procedures for imposing prohibition against lobbying); 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act); 51 Pa. Code § 63.4 (relating to noninvestigative process for late or deficient filings); 51 Pa. Code § 63.5 (relating to investigative process for late or deficient filings); and 51 Pa. Code § 65.2 (relating to procedures for economic consideration).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 21.30 Effect of order.

In addition to deciding the case before it, the Commission may take one or more of the following actions, if appropriate. The Commission may:

(1) Order the respondent to make restitution or impose a monetary penalty in accordance with the act.

(2) Order the respondent to cease and desist from engaging in a particular activity deemed to be in contravention of the act.

(3) Order the respondent to take specified action to bring himself in compliance with the act.

(4) Refer the matter for review or with a specific recommendation for action to law enforcement, regulatory or other authorities with jurisdiction over the matters.

(5) Institute restitution order enforcement proceedings through the Office of Attorney General or the Commission’s legal staff.

This section cited in 51 Pa. Code § 43.2 (relating to Commission proceedings under section 1307 of the act); 51 Pa. Code § 43.5 (relating to investigative process for late or deficient filings); 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act); and 51 Pa. Code § 63.5 (relating to investigative process for late or deficient filings).

History

Authority: The provisions of this § 21.
Source: The provisions of this Chapter 21 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

Chapter 23 Commission

51 Pa. Code § 23.1 Meetings.

Meetings of the Commission will be held at the call of the Chair or any four members, at a time and location and for a purpose as may be determined by the Chair or the four other members.

The provisions of this § 23.1 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 23.1 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (275997).

This section cited in 51 Pa. Code § 13.3 (relating to opinions).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.2 Quorum.

A minimum of four members of the Commission will constitute a quorum. In a meeting, the majority vote of the quorum will constitute official action, except as provided in § § 21.28 and 23.22(e) (relating to decision; and prohibited activities).

This section cited in 51 Pa. Code § 13.3 (relating to opinions).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.3 Presiding officer.

(a) The Commission will elect a Chair and Vice Chair. The Chair will preside over Commission meetings. If the Chair is absent or that position is vacant, the Vice Chair will preside.

(b) If the Chair and Vice Chair will be absent from a Commission meeting, the Chair, or the Vice Chair if presiding, may designate a Commission member to preside for a scheduled meeting.

(c) If no designation is made under subsection (b), the Commission will elect from among its members, a presiding officer by a majority vote.

(d) The presiding officer will rule upon matters at the meeting and take action as may be necessary to ensure that the meeting proceeds in an orderly and proper manner.

The provisions of this § 23.3 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 23.3 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (275998).

This section cited in 51 Pa. Code § 13.3 (relating to opinions).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.4 Conduct of meetings.

(a) Statements. Persons in attendance before the Commission may be given a reasonable time in which to make relevant commentary. A person may be questioned during the presentation. The presentation may be terminated by the presiding officer if a reasonable time has expired or if the statement is irrelevant.

(b) Questioning. The authority to question an individual making a statement will be limited to the presiding officer, other members of the Commission and to the extent permitted by the presiding officer, staff members and the parties.

(c) Public meetings. Meetings of the Commission will be open to the general public at a time and place announced in advance under 65 Pa.C.S. § § 701—716 (relating to Sunshine Act).

(d) Executive session. Executive sessions of the Commission will be announced at public meetings of the Commission, including the time and reason for holding of an executive session.

The provisions of this § 23.4 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 23.4 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (275998).

This section cited in 51 Pa. Code § 13.3 (relating to opinions).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.5 Records of meetings.

Records of public meetings will be kept by the Executive Director and filed within a reasonable time following each Commission meeting. These records will be made available for public inspection during office hours.

This section cited in 51 Pa. Code § 13.3 (relating to opinions).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.6 Supplemental procedures.

The Commission may adopt supplemental procedures or guidelines to govern the administrative and internal operations of the Commission in its discretion by resolution of a majority of a quorum.

This section cited in 51 Pa. Code § 13.3 (relating to opinions).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.7 Election of Chair and Vice Chair.

(a) At the first meeting of every odd calendar year, a quorum of the Commission will elect a Chair and Vice Chair. Commission members who are nominated for these positions are not precluded from voting.

(b) The term of office for the Chair and Vice Chair is 2 years or until the election of the Chair and Vice Chair as set forth in subsection (a).

(d) Notice of the election will be public and announced during the final meeting of the Commission in the year preceding the year in which the terms of office of the serving officers expire.

(e) In the event of the completion of the term of office and non-reappointment, resignation, removal or incapacity of the Chair, the Vice Chair will serve the unexpired term of the Chair or will serve during the period of incapacity of the Chair.

(f) Upon the resignation, removal, completion of the term and non-reappointment, or in the event that the Vice Chair must assume the duties of the Chair, a majority of the quorum of the Commission may schedule a special election to elect a Vice Chair.

(g) Notice of a special election will be publicly announced at least 30 days prior to the election. Notice will be forwarded to the members of the Commission.

(h) The Chair, or Vice Chair may be removed as officers, but not as Commissioners, for just cause upon a majority vote of the Commission.

(i) A motion to remove a member of the Commission from the offices mentioned in subsection (h) may be made by a Commission member.

(j) A member may not be removed unless given reasonable notice and an opportunity to be heard.

The provisions of this § 23.7 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 23.7 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial page (275999).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.21 Code of conduct.

(a) Due to their special position, Commissioners have a higher duty than other public officials to avoid conflicts of interests. Respect for the act can be maintained only if Commission members are models of ethical behavior. The purpose of this section and § § 23.22 and 23.23 (relating to prohibited activities; and limitations on voting/recusal) is to guide the Commissioners so that their behavior meets the highest of ethical standards.

(b) The provisions of this section and § § 23.22 and 23.23 are in addition to the duties, responsibilities or obligations imposed upon the Commission members as public officials under the act.

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.22 Prohibited activities.

(a) A Commissioner may not be employed by the Commonwealth or a political subdivision of the Commonwealth in a capacity with or without compensation, including holding another public office or position.

(b) A Commissioner may not hold an office in a political party during his tenure or for 1 year prior to his appointment to the Commission, nor may a member hold office in a political committee during his tenure.

(c) A Commissioner, a spouse of a Commissioner or a member of a Commissioner’s immediate family residing in the Commissioner’s household may not actively participate in or contribute to a political campaign.

(1) Active participation in a campaign includes attempting to assist a candidate or nominee to obtain public office, soliciting support or information, distributing campaign materials or advertisements, fundraising, publicly supporting a candidate, participating in an organized effort for the purpose of helping a candidate or nominee or attending a fundraiser or dinner on behalf of a candidate.

(2) This section does not abridge the right of a Commissioner to vote or attend a debate, speech or similar event that is held primarily for the purpose of communicating a candidate’s platform or position on issues of public concern.

(d) A Commissioner may not directly or indirectly attempt to influence a decision by a governmental body, other than a court of law or as a representative of the Commission on a matter within the jurisdiction of the Commission.

(e) If a Commissioner violates 65 Pa.C.S. § 1106(d) (relating to State Ethics Commission), a majority of the Commission may declare the seat vacant.

(1) A motion to remove a Commissioner will be made by a Commission member.

(2) A Commissioner may not be removed prior to notice and an opportunity to be heard.

The provisions of this § 23.22 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 23.22 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (276000) to (276001).

This section cited in 51 Pa. Code § 23.2 (relating to quorum); and 51 Pa. Code § 23.21 (relating to code of conduct).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 23.23 Limitations on voting/recusal.

(a) A Commissioner is required to recuse himself from a matter which involves persons with whom the Commissioner has a direct involvement, personally or financially.

(1) A Commissioner is deemed to have a direct personal involvement with members of his immediate family as defined in the act, in-laws and close friends.

(2) A Commissioner has a direct financial involvement with an individual who owns a part of or is employed by a business with which the Commissioner is associated within the 2 years prior to the Commission’s review of a matter in question if the financial involvement was of more than a de minimis nature.

(3) If a Commissioner recuses himself from a matter he will:

(i) Remove himself from that segment of the Commission meeting wherein the matter is to be discussed and avoid casual discussion of the matter with other Commissioners.

(ii) Receive no further information from the Commission or the Commission staff regarding the matter.

(iii) Receive copies of minutes of the meeting containing deletions so as to not disclose the matter to the Commissioner.

(b) A Commissioner who has a potential conflict not addressed in subsection (a) will take one of the following courses of action:

(1) Disclose the matter to the Commission and seek its guidance as to whether it would be proper to participate and vote in a matter before the Commission.

(2) Disclose to the parties his potential conflict and solicit their express agreement that he may continue in his official capacity, subject to the approval of the Commission.

(3) Recuse himself.

(c) A Commissioner who recuses himself or is recused by the Commission or at the suggestion of one of the parties is subject to subsection (a)(3).

(d) A Commissioner’s participation involving parties with whom the Commissioner has had substantial prior contact may present a conflict under subsection (b) depending on the totality of the circumstances. Circumstances to be considered include whether the matter involves one or more of the following:

(1) A relative of the Commissioner.

(2) A former employer or employee.

(3) A person or business with which a Commissioner has or had financial dealings of more than a de minimis nature within the 2 years prior to the Commissioner’s review of the matter in question.

(4) A source of income reportable on the Statement of Financial Interests.

(5) The individual appointing authority of the Commissioner is a respondent.

(6) A person providing the Commissioner with funds, goods or services without compensation.

(7) A person with whom the Commissioner has a fiduciary relationship.

(8) A debtor or creditor of the Commissioner.

(e) A Commissioner recused from a matter shall direct that the individual recording the minutes at the meeting enter into the minutes the recusal and the reasons therefor.

(f) If the Commission cannot achieve a quorum because recusals reduce the number of Commissioners available to vote, the matter in question will be deferred until a meeting at which a quorum may be achieved.

The provisions of this § 23.23 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 23.23 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (276001) to (276002).

This section cited in 51 Pa. Code § 23.21 (relating to code of conduct).

History

Authority: The provisions of this § 23.
Source: The provisions of this Chapter 23 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

Chapter 25 Wrongful Use of the Act

51 Pa. Code § 25.1 Wrongful use of the act.

Wrongful use of the act is established by one or more of the following elements:

(1) The filing of a frivolous complaint which is a complaint filed in a grossly negligent manner without basis in law or fact.

(2) The filing of a complaint without probable cause, primarily for a purpose other than reporting a violation of the act.

(3) Disclosing publicly or causing to be publicly disclosed the fact that an individual is the subject of a complaint or Commission investigation.

This section cited in 51 Pa. Code § 25.2 (relating to initiation of proceedings).

History

Authority: The provisions of this § 25.
Source: The provisions of this Chapter 25 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 25.2 Initiation of proceedings.

(a) The Commission may initiate proceedings to determine whether there has been a wrongful use of the act through the filing of a notification by a public official/public employee as provided for in 65 Pa.C.S. § 1108(l) (relating to investigations by commission), which notification shall contain the following:

(1) A reference identifying the complaint/investigation involved.

(2) A detailed explanation as to the reasons, information, facts or evidence establishing the elements of wrongful use of act as outlined in § 25.1 (relating to wrongful use of the act).

(3) If applicable, identification of the person publicly disclosing the existence of Commission proceedings and the specific nature of the disclosure.

(4) Additional information necessary to the resolution of the matter.

(b) Failure to provide information as outlined in this section will be cause for dismissal of the notification.

The provisions of this § 25.2 amended under 65 Pa.C.S. § 1107(1); and section 204(3) of the Commonwealth Documents Law (45 P.S. § 1204(3)).

The provisions of this § 25.2 amended April 19, 2024, effective April 20, 2024, 54 Pa.B. 2077. Immediately preceding text appears at serial pages (258169) to (258170).

This section cited in 51 Pa. Code § 25.3 (relating to disposition).

History

Authority: The provisions of this § 25.
Source: The provisions of this Chapter 25 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 25.3 Disposition.

(a) Pursuant to a notification containing the requisite information outlined in § 25.2 (relating to initiation of proceedings), the Commission will initiate proceedings by conducting an investigation to determine whether there has been a wrongful use of act.

(b) The investigation will be conducted in a confidential manner.

(1) If the Commission determines a complaint has been filed in violation of the act, it will release the name and address of the complainant to the respondent after giving the complainant notice and an opportunity to be heard on the issue of whether the complainant wrongfully used the act.

(2) If the Commission determines that a complaint was proper, it will so notify the respondent who may appeal that determination and the Commission will schedule a hearing.

(d) Upon completion of the investigation, the Commission will make a preliminary determination as to wrongful use of the act. The Commission will notify the complainant and subject of the preliminary determination.

History

Authority: The provisions of this § 25.
Source: The provisions of this Chapter 25 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

51 Pa. Code § 25.4 Appeal of determination.

(a) Both the complainant and the subject have standing and either may appeal the preliminary determination to the Commission.

(1) Any appeal shall be filed with the Commission within 30 days of service of the preliminary determination.

(2) If there is no timely appeal filed, the Commission’s initial determination will become absolute and will become the final determination of the Commission in the matter as to wrongful use of the act.

(b) The issuance of Orders to Show Cause is governed by the following:

(1) If a subject appeals, the Commission will issue an Order to Show Cause requiring the respondent to set forth reasons why the rule should not be made absolute as to a finding of no wrongful use of the act. The answer to the rule shall contain specific factual averments which establish a basis for believing the act was wrongfully used. One or more of the following are inadequate to establish wrongful use:

(i) Dismissal of the complaint.

(ii) Dismissal for lack of probable cause.

(iii) Dismissal on jurisdictional grounds.

(2) The Commission will schedule a hearing for the subject’s appeal at which the subject shall bear the burden of proving wrongful use of the act by clear and convincing evidence. The investigative staff of the Commission will present the case opposing the subject’s appeal.

(c) If the complainant appeals, the Commission will issue a Rule to Show Cause requiring the complainant to file an answer to the averments in the Rule as to why the Rule should not be made absolute as to a finding of wrongful use of the act. The Commission will schedule a hearing for the complainant’s appeal. The investigative staff of the Commission will present the Commission’s case and will have the burden of proving wrongful use of the act by clear and convincing evidence.

(d) If the Commission makes a final determination that the act has been wrongfully used, it will release to the subject the name and address of the complainant solely for the purpose of initiating an action for wrongful use of the act. The complainant’s identity will not otherwise be publicly released.

(e) If the Commission makes a final determination that the act was not wrongfully used, it will issue a final determination setting forth the reasons and evidence for its finding.

(f) The procedures of § § 21.21—21.29 will apply to the hearing to the extent applicable.

The provisions of this § 25.4 amended May 5, 1995, effective May 6, 1995, 25 Pa.B. 1777. Immediately preceding text appears at serial pages (178998) to (178999).

History

Authority: The provisions of this § 25.
Source: The provisions of this Chapter 25 adopted April 23, 1993, effective April 24, 1993, 23 Pa.

Part III Lobbying Disclosure

Chapter 51 General Provisions

51 Pa. Code § 51.1 Definitions.

The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise: Act—65 Pa.C.S. Chapter 13A (relating to lobbying disclosure). Administrative action—The term includes one or more of the following:

(i) An agency’s proposal, consideration, promulgation or rescission of a regulation; development or modification of a guideline or a statement of policy; approval or rejection of a regulation; or procurement of supplies, services and construction under 62 Pa.C.S. (relating to procurement).

(ii) The review, revision, approval or disapproval of a regulation under the Regulatory Review Act.

(iii) The Governor’s approval or veto of legislation.

(iv) The nomination or appointment of an individual as an officer or employee of the Commonwealth.

(v) The proposal, consideration, promulgation or rescission of an executive order. Affiliated political action committee—

(i) Includes a ‘‘political action committee’’ as defined in section 1621(l) of the Election Code (25 P. S. § 3241(l)), which has an officer who:

(A) Is a chairperson or treasurer.

(B) Is one or more of the following:

(I) A principal.

(II) An officer or employee of a principal.

(III) A lobbyist.

(IV) An employee of a lobbyist.

(ii) The term does not include a Federal political action committee registered only with the Federal Election Commission, which is not required to register as a political committee in this Commonwealth under section 1624(a) of the Election Code (25 P. S. § 3244(a)).

(iii) If an employee of a registrant serves as the officer of a political action committee in what is clearly a personal capacity, and the goals and mission of that political action committee clearly have no relationship to the goals and mission of the registrant, the political action committee will not be considered an affiliated political action committee. Agency—The term includes the following:

(i) A department of the Executive Department of the Commonwealth, as described in Article IV, Section 1 of the Pennsylvania Constitution.

(ii) Any Commonwealth:

(A) Agency, as defined at 42 Pa.C.S. § 102 (relating to definitions), to include any executive agency or independent agency.

(B) Board.

(D) Authority. Amendment—The term means a change in any filing including:

(i) Any change in the information required for the registration statement under section 13A04(b) and (c) of the act (relating to registration) including any changes in the relationships between principals, lobbying firms and lobbyists such as:

(A) In the case of a principal, when engaging a new lobbyist or lobbying firm or when ceasing to engage a lobbyist or lobbying firm.

(B) In the case of a lobbying firm, when the lobbying firm is engaged by a new principal, when the lobbying firm engages a new lobbyist, when the lobbying firm ceases to be engaged by a principal or when the lobbying firm ceases to engage a lobbyist.

(C) In the case of a lobbyist, when the lobbyist is engaged by a new principal or new lobbying firm or when the lobbyist ceases to be engaged by a principal or lobbying firm.

(ii) Any change in the information required in the quarterly expense reports under section 13A05(b) of the act (relating to reporting).

(iii) Any change in the information required for a statement of limited knowledge under section 13A05(b)(6) of the act.

(iv) Any change in the information required for a notice of termination under section 13A04(e) of the act. See also § 53.6(d) (relating to termination) on amending a notice of termination. Anything of value—

(i) For the limited purpose of reporting gifts, transportation, lodging or hospitality under section 13A04 or 13A05 of the act, these terms include any tangible or intangible item of worth. See § 55.1(g)(6) (relating to quarterly expense reports).

(ii) The term includes any of the following:

(A) Gifts.

(B) Hospitality.

(D) Lodging.

(E) Services.

(F) Loans or the forgiveness of a loan.

(G) Money. Association—

(i) An ‘‘association’’ as defined in the Association Code in 15 Pa.C.S. § 102 (relating to definitions).

(ii) The term includes two or more persons associated in a common enterprise or undertaking and a corporation, a partnership, a limited liability company or a business trust.

(iii) The term does not include a testamentary trust or an inter vivos trust as defined in 20 Pa.C.S. § 711(3) (relating to mandatory exercise of jurisdiction through orphans’ court division in general). Attorney at law—An individual admitted to practice law by a court of record of the Commonwealth. Audit period—A time span of the previous calendar year. Bidder—As defined in 62 Pa.C.S. § 103 (relating to definitions). Board—The Disciplinary Board of the Supreme Court of Pennsylvania. Candidate—Any candidate for State office, as defined in section 1621(a) of the Election Code. Candidate political committee—A ‘‘candidate’s political committee’’ as defined in section 1621(m) of the Election Code, and a candidate’s political action committee (PAC) which includes any political committee formed by or on behalf of a specified candidate or authorized by the candidate. Child—The term includes adopted and biological children. Commonwealth business day—The time from midnight to the next midnight on a day when the Commonwealth offices are open. Commission—The State Ethics Commission of the Commonwealth. Compensation—Anything of value, including benefits, received or to be received from a principal by one acting as a lobbyist. Complaint—A complaint on a form prescribed by the Commission, or the equivalent of the form, which is signed and sworn under penalty of perjury and which otherwise meets, to the extent applicable, the criteria for complaints as defined under § § 11.1 and 21.1 (relating to definitions; and complaints). Conflict of interest—When, during a given session of the General Assembly one of the following occurs:

(i) The representation of one principal by a registrant is directly adverse to another principal.

(ii) The representation of one or more principals is materially limited by the lobbying firm’s or lobbyist’s responsibilities to another principal, a previous principal or a third person or by a personal interest of the lobbyist. Contractor—As defined in 62 Pa.C.S. § 103. Department—The Department of State of the Commonwealth. Direct communication—An effort, whether written, oral or by another medium, made by a lobbyist, lobbying firm or principal, directed to a State official or employee, the purpose or foreseeable effect of which is to influence legislative action or administrative action. The term may include personnel expenses and office expenses. Docket—The term includes the official listing of entries to the record of a matter before the Commission, and the initial, official assignment of a file number to a matter before the Commission; or the entry of an item on the record of a matter before the Commission. Economic consideration—

(i) The term includes anything of value offered or received.

(ii) The term includes compensation and reimbursement for expenses. Effort to influence legislative action or administrative action—Any attempt to initiate, support, promote, modify, oppose, delay or advance a legislative action or administrative action on behalf of a principal for economic consideration.

(i) The term includes engaging a lobbyist.

(ii) Monitoring of legislation, monitoring of legislative action or monitoring of administrative action is not lobbying. However, for an individual or entity that is not exempt, the costs of monitoring are subject to the reporting requirements of the act when the monitoring occurs in connection with activity that constitutes lobbying. Election Code—The Election Code (25 P. S. § § 2600—3591). Employee—An individual from whose wages an employer is required under the Internal Revenue Code (26 U.S.C.A.) to withhold Federal Income Tax. For the limited purpose of determining exemption under section 13A06(2) of the act (relating to exemption from registration and reporting), the term ‘‘employee’’ includes an ‘‘independent contractor’’ under the Internal Revenue Code, when the employee engages in the activity of gathering, commenting on and disseminating the news. Engaging a lobbyist—Contracting in any form with a lobbyist or lobbying firm for lobbying on behalf of a principal for economic consideration. Engaging in lobbying—Any act by a lobbyist, lobbying firm or principal that constitutes an effort to influence legislative action or administrative action in this Commonwealth, as defined in the definition of ‘‘lobbying’’ in section 13A03 of the act (relating to definitions). Entity—

(i) Something that has a separate and distinct existence, from its members, if any.

(ii) The term includes, but is not limited to, a governmental unit. Ethics Act—65 Pa.C.S. § § 1101—1113 (relating to Public Official and Employee Ethics Act). Filed—Registration statements, reports and other official statements or papers under the act are filed on the date they are received at the Department office whether filed electronically or delivered by United States mail, express carrier or hand-delivery. Documents filed with the Commission under the act are deemed filed on the date they are received at the Commission office whether filed electronically or delivered by United States mail, express carrier or hand-delivery or by fax. Fund—The Lobbying Disclosure Fund established in section 13A10(b) of the act (relating to registration fees; fund established; system; regulations). Gift—

(i) Anything that is received without consideration of equal or greater value.

(ii) The term does not include any of the following:

(A) A political contribution otherwise reportable as required by law.

(B) A commercially reasonable loan made in the ordinary course of business.

(i) The term includes the following:

(A) Meals.

(B) Beverages.

(ii) The term does not include:

(A) Gifts.

(B) Transportation or lodging. Immediate family—An individual’s spouse, child, parent, brother, sister, mother-in-law, father-in-law, brother-in-law, sister-in-law, son-in-law and daughter-in-law. Indirect communication—

(i) An effort, whether written, oral or by another medium, to encourage others, including the general public, to take action, the purpose or foreseeable effect of which is to directly influence legislative action or administrative action.

(ii) The term includes letter-writing campaigns, mailings, telephone banks, print and electronic media advertising, billboards, publications and educational campaigns on public issues.

(iii) The term does not include regularly published periodic newsletters primarily designed for and distributed to members of a bona fide association or charitable or fraternal nonprofit corporation.

(iv) The term may include personnel expenses and office expenses. Intentional—The term has the meaning set forth in 18 Pa.C.S. § 302(b) (relating to general requirements of culpability). Legislation—Bills, resolutions, amendments and nominations pending or proposed in either the Senate or the House of Representatives. The term includes any other matter which may become the subject of legislative action by either chamber of the General Assembly. Any other matter includes:

(i) Draft legislation.

(ii) Any bills, resolutions, amendments and nominations pending or proposed by any State official or employee. Legislative action—An action taken by a State official or employee involving the preparation, research, drafting, introduction, consideration, modification, amendment, approval, passage, enactment, tabling, postponement, defeat or rejection of any of the following:

(i) Legislation.

(ii) Legislative motions.

(iii) A veto by the Governor.

(iv) Confirmation of appointments by the Governor or of appointments to public boards or commissions by a member of the General Assembly. Lobbying—

(i) An effort to influence legislative action or administrative action in this Commonwealth.

(ii) The term includes the following:

(A) Direct or indirect communications.

(B) Office expenses.

(C) Providing any gift, hospitality, transportation or lodging to a State official or employee for the purpose of advancing the interest of the lobbyist, lobbying firm or principal. Lobbying firm—An entity that engages in lobbying for economic consideration on behalf of a principal other than the entity itself. Lobbyist—An individual, association, corporation, partnership, business trust or other entity that engages in lobbying on behalf of a principal for economic consideration. The term includes an attorney at law while engaged in lobbying. Membership in an association alone is not sufficient to make an association member a lobbyist. Marketplace transaction—Includes the costs for:

(i) Goods. The usual and normal charge for goods purchased in an arms-length transaction in the market in which they ordinarily would have been purchased.

(ii) Services. The hourly or piecemeal charge for the services at a commercially reasonable rate prevailing at the time the services were rendered. Materially correct—Being free from material misstatements, as it is used in section 13A08(f)(3) (relating to administration) of the act and in § 61.2(a) (relating to scope of compliance audits). Negligence—The absence of ordinary care that a reasonably prudent person would exercise in the same or similar circumstances. Offeror—As defined in 62 Pa.C.S. § 103. Office expense—An expenditure for an office, equipment or supplies utilized for lobbying. Person—Includes a corporation, partnership, limited liability company, business trust, other association, government entity, estate, trust, foundation or natural person. Personnel expense—An expenditure for salaries or other forms of compensation, benefits, vehicle allowances, bonuses and reimbursable expenses paid to lobbyists, lobbying staff, research and monitoring staff, consultants, lawyers, publications and public relations staff, technical staff, clerical and administrative support staff and includes individuals who engage in lobbying but are exempt from reporting under section 13A06 of the act. For an individual for whom lobbying is incidental to regular employment, the term means a good faith prorated estimate based on the value of the time devoted to lobbying. Political subdivision—The term as defined in section 1102 of the Ethics Act (relating to definitions). Principal—

(i) An individual, association, corporation, partnership, business trust or other entity, including a Commonwealth agency or political subdivision on whose behalf a lobbying firm or lobbyist engages in lobbying, or that engages in lobbying on the principal’s own behalf.

(ii) Membership in an association alone is not sufficient to make an association member a principal. Reception—

(i) An event attended by invited State officials or State employees that is hosted by a registered lobbyist, lobbying firm or principal in which items such as appetizers, beverages or light fare are served for afternoon or evening events and items such as coffee, juice, pastries or bagels are served for morning events. A related hospitality event will not be considered or included as part of a reception.

(ii) The cost per individual shall be based on the invoiced amount for prospective attendees, irrespective of the actual number of attendees, and may not be greater than $75 unless the reception takes place in a high-cost locality as classified by the Internal Revenue Service in Publication 1542, in which case the cost per individual may not exceed $125. On a biennial basis, beginning April 11, 2009, the Department will have the authority to review these amounts, and subject to the concurrence of the Commission, to increase them if it is deemed appropriate. For purposes of determining the cost per individual herein, the guidelines found in § 55.1(k)(6) (relating to quarterly expense reports) are not applicable.

(iii) The term does not include an event subject to the reporting requirements under Article XVI of the Election Code (25 P. S. § § 3241—3260(b)).

(iv) This definition will not be interpreted as eliminating the obligation of the principal, lobbying firm or lobbyist to maintain records for purposes of disclosing total hospitality expenses in quarterly expense reports. Registrant—A registered lobbyist, registered lobbying firm or a registered principal. Regulation—Any rule, regulation or order in the nature of a rule or regulation, including formal and informal opinions of the Attorney General, of general application and future effect, promulgated by an agency under statutory authority in the administration of a statute administered by or relating to the agency, or prescribing the practice or procedure before the agency. Regulatory Review Act—71 P. S. § § 745.1—745.12. Reporting period—Any of the following periods:

(i) January 1 through March 31.

(ii) April 1 through June 30.

(iii) July 1 through September 30.

(iv) October 1 through December 31. Respondent—The subject of a complaint, notice of alleged noncompliance, investigation or formal proceeding before the Commission. Service (of official papers)—Official papers are deemed served by the Commission, or by a division thereof, on the date of mailing if delivered by United States mail; the pickup date if delivered by express carrier; or the date received from the Commission if hand-delivered. State budget process—The consideration and passage of acts relating to expenditures of funds and the generation of revenues by the General Assembly. Statement of policy—The term includes a guideline, as defined in 1 Pa. Code § 1.4 (relating to definitions). State official or employee—An individual elected or appointed to a position in State government or employed by State government, whether compensated or uncompensated, who is involved in legislative action or administrative action. Sua sponte—Being done on one’s own volition. Termination—That point in time when the registration of a lobbyist, lobbying firm or principal ends in this Commonwealth, as provided at section 13A04(e) of the act. Total resources—

(i) Includes all receipts by the principal during the reporting period.

(ii) The term includes dues and grants received by the principal. Transportation and lodging or hospitality received in connection with public office or employment—Transportation, lodging or hospitality received in the course of, or incident to, the performance of official duties or responsibilities, or received on the basis of the status of the recipient as a public official or employee or State official or employee as those terms are defined under the Ethics Act or the act, respectively. Vendor—

(i) An offeror, bidder or contractor that, for economic consideration, sells or provides a service or supply or engages in construction.

(ii) The term does not include an attorney at law, a lobbyist or a lobbying firm.

This section cited in 51 Pa. Code § 63.2 (relating to Commission proceedings regarding prohibited activities under section 13A07 of the act).

51 Pa. Code § 51.2 Filing deadlines to fall on Commonwealth business days.

When the deadline for filing a registration statement, report, answer, brief or other official paper, under the act, with either the Department or Commission, falls on a weekend or holiday, or on another day that the office of the filing location is closed or closes early, the deadline for the filing will be extended to the following Commonwealth business day.

51 Pa. Code § 51.3 Registration periods and reporting periods.

(a) Registration under section 13A04 of the act (relating to registration) shall be biennial. The first registration period which commenced January 1, 2007, continues through December 31, 2008. Subsequent registrations shall commence on January 1 of each odd numbered year.

(b) Reporting under section 13A05 of the act (relating to reporting) shall be quarterly within each calendar year: for January through March; April through June; July through September; and October through December. Quarterly expense reports shall be filed on or before the 30th day after the quarterly reporting period ends.

51 Pa. Code § 51.4 Delinquency.

(a) A registration statement or report required to be filed under section 13A04 or 13A05 of the act (relating to registration; and reporting) is delinquent if not received by the Department on the date due as follows:

(1) Hard copy filings must be received by 5 p.m in the office. For quarterly expense reports, from 5 p.m. until 12 a.m. midnight, a hard copy filing may be filed with the Department’s designee. The filing location and the Department’s designee will be on the Department’s web site.

(2) Electronic filings may be filed until 12 a.m. midnight.

(b) A failure to timely file a registration statement, a quarterly expense report, a separate expense report, a notice of termination or an amendment to one of these filings constitutes a failure to register or report as required by the act; delinquency continues until the filing is received by the Department in proper form.

(c) A registration statement will not be considered delinquent if the Department receives a registration statement electronically by the due date and the required photograph (in the case of a lobbyist’s registration statement) and the filing fee, if due, are received by the Department within 5 calendar days of the Department’s receipt of the original electronic filing, in accordance with § 51.10(b) (relating to electronic filing). If the 5 days end on a weekend or holiday, or on another day that the office of the filing location is closed or closes early, the deadline for the filing will be extended to the following Commonwealth business day.

This section cited in 51 Pa. Code § 53.1 (relating to biennial filing fee); 51 Pa. Code § 53.2 (relating to principal registration); 51 Pa. Code § 53.3 (relating to firm registration); and 51 Pa. Code § 53.4 (relating to lobbyist registration).

51 Pa. Code § 51.5 Deficiency.

(a) A registration statement, expense report or notice of termination required to be filed under section 13A04 or 13A05 of the act (relating to registration; and reporting) is deficient if one or more of the following exist:

(1) It does not fully and accurately include and disclose all that is required by the act and this part.

(2) It includes a false statement.

(3) It is illegible.

(4) The filer fails to use the appropriate form prescribed by the Department.

(5) The filer fails to date the registration statement, expense report or notice of termination.

(6) The filer fails to sign the expense report under oath or affirmation as set forth in § 51.9 (relating to signing and designation of certain filings).

(b) The filing of a deficient registration statement constitutes a failure to register as required by the act.

(d) The filing of a deficient notice of termination shall be ineffective.

(e) A deficient registration statement, expense report or notice of termination continues to be deficient until it is amended to fully and accurately disclose all of the information that is required to be disclosed by the act and this part.

51 Pa. Code § 51.6 Biennial review of exemption threshold, reporting threshold and filing fees.

(a) On a biennial basis commencing in January 2009, the Department will review the threshold under section 13A06 of the act (relating to exemption from registration and reporting) for registration under section 13A04 of the act (relating to registration) and the threshold for reporting under section 13A05(d) of the act (relating to reporting), and, if appropriate, will increase these amounts prospectively to rates deemed reasonable for assuring appropriate disclosure.

(b) On a biennial basis commencing in January 2009, the Department will review the filing fee established under section 13A10 of the act (relating to registration fees; fund established; system; regulations) and may by regulation under section 13A08(j) of the act (relating to administration), adjust this amount if the Department determines that a higher fee is needed to cover the costs of carrying out the provisions of the act.

(c) Changes to the thresholds made under this section will become effective prospectively as determined by the Department. Changes to the thresholds will not be effective until the beginning of a calendar quarter.

(d) The Department will publish adjusted threshold amounts in the Pennsylvania Bulletin by June 1, 2009, and by June 1 every 2 years thereafter, as necessary.

51 Pa. Code § 51.7 Forms, records and Department publications.

(a) Blank forms for filing or amending registration statements, quarterly expense reports, separate quarterly expense reports, lobbyists’ statements of limitations of knowledge, or notices of termination under the act may be obtained by contacting the Department at: Bureau of Commissions, Elections and Legislation, 210 North Office Building, Harrisburg, Pennsylvania 17120, (717) 787-5280; or by visiting the Department’s office during business hours on Commonwealth business days. Forms are also available at the Department’s web address: www. dos.state.pa.us.

(b) Paper filers may attach additional forms prescribed by the Department if more space is required.

(c) Completed registration statements, quarterly expense reports, separate quarterly expense reports, lobbyists’ statements of limitations of knowledge, and notices of termination filed with the Department will remain on file for 4 years and will be available for public inspection at the office of the Department in Harrisburg, Pennsylvania during business hours on Commonwealth business days. The Department will provide copies of these documents for the cost of the copying. Documents that are maintained and reproducible in an electronic format are available in that format upon request, at cost. All registrations and reports will also be available on the Department’s web site at www.dos.state.pa.us.

(d) Payments to the Commonwealth for charges under subsection (c) shall be deposited into the Fund established by section 13A10(b) of the act (relating to registration fees; fund established; system; regulations).

(e) Under section 13A08(d) of the act (relating to administration), the Department will prepare and publish the following in a searchable electronic format:

(1) An annual report of lobbying activities in this Commonwealth.

(2) An annual listing of principals, which will identify affiliated political action committees, lobbying firms and lobbyists that are registered to lobby for the principals.

(3) An annual listing of lobbying firms and lobbyists not associated with lobbying firms, which will identify affiliated political action committees and the principals for whom the lobbying firm or lobbyist is registered to lobby.

(4) An annual listing of registered lobbyists for each lobbying firm, which will identify affiliated political action committees and principals.

(5) A biennial directory of all registered lobbyists, which will include photographs, as well as registered lobbying firms.

(i) The directory will be produced and distributed on or before May 1 of each odd-numbered year.

(ii) Revenue received by the Commonwealth from sales of this directory will be deposited into the Fund established by section 13A10(b) of the act.

(6) Paper copies of the directory and annual reports will be made available to the public at a price not to exceed the actual cost of production.

(7) Any of the items in paragraphs (1)—(4) may, at the discretion of the Department, be supplemented or be combined in a single publication.

This section cited in 51 Pa. Code § 53.3 (relating to lobbying firm registration); and 51 Pa. Code § 53.6 (relating to termination).

51 Pa. Code § 51.8 Amended filings.

(a) Filings under the act may be amended.

(b) When there is a change in information required for the registration statement under section 13A04(b)(3) of the act (relating to registration), an amended registration statement will be filed with the Department within 14 days of the end of the year in which the change occurs.

(c) When amending registration statements or quarterly expense reports, principals, lobbyists and lobbying firms need only complete those portions of their registration statements or quarterly expense reports requiring amendment, in addition to the identification of the principal, lobbyist or the lobbying firm filing the amendment.

(d) Amended registration statements must conform to the additional requirements detailed in § 53.5 (relating to amended registration statements).

(e) Amended filings will not affect the Commission’s authority to conduct investigations, hearings or other proceedings under the act.

51 Pa. Code § 51.9 Signing and designation of certain filings.

(a) Signing of certain filings.

(1) Quarterly expense reports, separate quarterly expense reports, lobbyists’ statements of limitations of knowledge and amendments to these forms filed with the Department must be signed originals bearing the signature of the filer. See § 51.10 (relating to electronic filing) for requirements when filing electronically.

(i) A document will be deemed to be a signed original if it is filed electronically under § 51.10 or if it bears an original manual signature in ink.

(ii) Except as noted in subsection (b)(2), principals, lobbying firms or lobbyists that are individuals shall sign their own filings.

(iii) Filings by a principal that is a firm, association, corporation, partnership, business trust or business entity shall be signed by a named officer or other individual who has the authority to sign documents on its behalf.

(iv) Filings by a lobbyist that is a firm, association, corporation, partnership, business trust or business entity shall be signed by a named officer or other individual who has the authority to sign documents on its behalf.

(v) The signature must appear on the line indicated on the form as prescribed by the Department.

(2) Registration statements are not required to be signed.

(3) Registration statements, quarterly expense reports, separate expense reports, notices of termination and amendments to these filed under the act must include an affirmation subject to 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities) that the information provided therein is true and correct to the best of the filer’s knowledge, information and belief.

(4) A lobbyist who signs a principal’s quarterly expense report or amendment, shall do so under an affirmation subject to 18 Pa.C.S. § 4904 that the information provided therein is true and correct to the best of the lobbyist’s knowledge, information and belief.

(5) A lobbyist attaching a statement to a principal’s quarterly expense report or an amendment, describing the limits of the lobbyist’s knowledge concerning the expenditures contained therein, shall do so under an affirmation subject to 18 Pa.C.S. § 4904 that the information provided in the statement is true and correct to the best of the lobbyist’s knowledge, information and belief.

(b) Designation of certain filings. A principal, lobbying firm or lobbyist may designate another individual or firm to complete any of its filings on the following conditions:

(1) The principal, lobbying firm or lobbyist designating another individual or firm to complete any of its filings is still responsible for the timely filing and accuracy of the information in the filing.

(2) When a principal, lobbying firm or lobbyist designates another individual or firm to complete a form on its behalf, the principal, lobbying firm or lobbyist shall make that designation on the registrant’s registration statement.

(3) A signature of an individual not included on a registrant’s registration statement filed with the Department is not a valid signature as to the registrant.

(4) Signing a principal’s quarterly expense report on behalf of the principal does not satisfy the requirements of section 13A05(b)(4) of the act (relating to reporting), pertaining to attestation of principal expense reports by lobbying firms and lobbyists not associated with lobbying firms.

This section cited in 51 Pa. Code § 51.5 (relating to deficiency); 51 Pa. Code § 51.10 (relating to electronic filing); 51 Pa. Code § 53.5 (relating to amended registration statements); and 51 Pa. Code § 55.1 (relating to expense reports).

51 Pa. Code § 51.10 Electronic filing.

(a) Forms that are required to be filed under the act may be filed electronically. The use of an electronic signature shall have the same force and effect as a manual signature.

(1) Lobbyists, lobbying firms and principals shall be deemed to comply with section 13A10(c) of the act (relating to registration; fees; fund established; system; regulations) for the remainder of the calendar year if they submit a registration statement, an amended registration statement or an expense report electronically using the Department’s online filing on its web site.

(2) In submitting a registration statement, an amended registration statement or an expense report electronically using the Department’s online filing on its web site, the applicant will be deemed to agree to all of the following:

(i) For any registration statement, amended registration statement or notice of termination that the applicant files with the Department electronically, the typing of the applicant’s name in the electronic submission constitutes the applicant’s affirmation as set forth in § 51.9(a)(3) (relating to signing and designation of certain filings).

(ii) For any quarterly expense report, separate quarterly expense report or amended quarterly expense report that the applicant files with the Department electronically, the electronic signature constitutes the applicant’s signature under oath or affirmation as set forth in § 51.9(a)(3).

(iii) The use of the electronic signature to ‘‘sign’’ a quarterly expense report, or amendment filed by another constitutes the applicant’s affirmation as set forth in § 51.9(b).

(iv) The use of the electronic signature to attach a statement to a quarterly expense report, or an amendment to the quarterly expense report filed by another constitutes the applicant’s affirmation as set forth in § 51.9(b).

(b) A registration statement or an amended registration statement that is submitted to the Department electronically is filed on the date the Department receives the document electronically if the Department receives the required photograph (in the case of a lobbyist’s registration statement) and the biennial filing fee, if due, within 5 calendar days.

(1) If the Department does not receive the required photograph (in the case of a lobbyist’s registration statement) and the biennial filing fee, if due, within 5 calendar days from the date of receiving the document electronically, the registration statement or amended registration statement is filed on the date the Department receives all the required items.

(2) The failure to submit a photograph or to pay a biennial filing fee as required by the act and this part constitutes a failure to register as required by the act.

This section cited in 51 Pa. Code § 51.4 (relating to delinquency); and 51 Pa. Code § 51.9 (relating to signing and designation of certain filings).

51 Pa. Code § 51.11 Parent corporations and subsidiaries.

(a) Subject to the requirements of subsection (b), a parent corporation and its subsidiaries may register and report under the act on a consolidated basis if they meet the eligibility standards of the Internal Revenue Service, in 26 U.S.C.A. § 1501, for filing a consolidated corporate tax return.

(b) When registration and reporting is on a consolidated basis, the registration statements, quarterly expense reports, separate quarterly expense reports, and notices of termination must disclose with particularity all of the required information as to the parent corporation and the subsidiaries.

(c) If a parent corporation and its subsidiaries file separately, each shall pay the registration fee and file all subsequent quarterly expense reports separately until the filing of a notice of termination.

Chapter 53 Registration and Termination

51 Pa. Code § 53.1 Biennial filing fee.

(a) Under section 13A10(a) of the act (relating to registration fees; fund established; system; regulations), a principal, lobbying firm or lobbyist required to be registered under the act shall pay a biennial filing fee of $100 to the Department, made payable to the ‘‘Commonwealth of Pennsylvania.’’ As of January 1, 2011, the biennial filing fee will be $200. As of January 1, 2015, the biennial filing fee will be $300.

(1) The biennial filing fee shall be tendered to the Department with the filing of the principal’s, lobbying firm’s or lobbyist’s first registration statement in each registration period. However, if the Department receives the filing fee within 5 calendar days of the filing of a registration statement, the registration will not be considered delinquent, in compliance with § 51.4 (relating to delinquency).

(2) The biennial filing fee will be a flat fee for the registration period in which paid. A registrant will not be required to pay more than one biennial filing fee in any given biennial registration period, unless a registrant terminates and attempts to reregister during the same biennial registration period.

(3) A separate biennial filing fee shall be paid for each principal, lobbying firm or lobbyist required to be registered, even if employed by a firm, association, corporation, partnership, business trust or business entity that is also required to register and that has paid or will pay the fee.

(4) The biennial filing fee is nonrefundable and nontransferable.

(5) Filing fees expire at the end of each registration period, regardless of when paid.

(b) The failure to pay a biennial filing fee as required by the act and this section will constitute a failure to register as required by the act.

The provisions of this § 53.1 amended under 65 Pa.C.S. § 13A08(j).

The provisions of this § 53.1 amended July 9, 2010, effective July 10, 2010, 40 Pa.B. 3825; amended December 12, 2014, effective December 13, 2014, the increased fees will be implemented for the 2015-2016 biennial registration period, 44 Pa.B. 7671. Immediately preceding text appears at serial page (350851).

History

Authority: The provisions of this § 53.
Source: The provisions of this § 53.

51 Pa. Code § 53.2 Principal registration.

(a) Unless exempt under section 13A06 of the act (relating to exemption from registration and reporting), a principal shall register with the Department within 10 days of the earlier of the following:

(1) Contracting in any form with an individual or entity for lobbying.

(2) Engaging in lobbying.

(b) Lobbying by a principal on the principal’s own behalf constitutes acting in the capacity of a principal.

(1) A principal that is required to register and that engages in lobbying solely on its own behalf need only register as a principal. However, a principal that engages in lobbying on behalf of others also would be required to register as a lobbyist or lobbying firm.

(2) Unless exempt under section 13A06 of the act, members or employees of a principal who engage in lobbying on behalf of the principal shall register as lobbyists under § 53.4 (relating to lobbyist registration).

(c) A principal shall register by filing a registration statement with the Department, on a form prescribed by the Department as required under § 51.7(a) (relating to forms, records and Department publications), which discloses at least the following information:

(1) The name, permanent address, daytime telephone number, email address, if available, and name and nature of the business of the principal.

(2) The name, registration number and acronyms of all ‘‘affiliated political action committees’’ as defined in section 13A03 of the act (relating to definitions).

(3) The name and permanent business address of each individual, registered or unregistered, who will for economic consideration engage in lobbying on the principal’s behalf. The principal need not list individuals exempt under section 13A06 of the act.

(4) If the principal is an organization or association, the number of its dues-paying members in the past calendar year.

(5) The name, permanent business address, daytime telephone number, fax number and email address of every lobbying firm which represents the principal.

(6) The registration number of the principal when available.

(d) For each address that is to be disclosed on a registration statement, the filer shall include the permanent business address. If the filer has more than one permanent business address, indicate the primary business address of the filer.

(e) The registration statement must include the principal’s consent to receive service of notices, other official mailings or process at addresses listed in the registration statement on file with the Department.

(f) The registration statement must include a statement that the principal has received, read and understands the requirements and prohibitions of the act.

(g) The registration statement must also include a statement that the information on the principal’s statement is true, correct and complete to the best of the registrant’s knowledge, information and belief, and the affirmation is being made subject to 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities).

(h) A principal will not be considered registered until the completed registration statement and the biennial filing fee, in proper form as required by the act and this section, are received by the Department. However, if the Department receives the filing fee within 5 calendar days of the filing of a registration statement, the registration will not be considered delinquent, in compliance with § 51.4 (relating to delinquency).

(i) Unless terminated, a registration statement filed under the act is effective from the date of filing through the final day of the registration period then in effect. The principal shall file a new registration statement after that date, to the extent the principal is required to be registered under the act and this section.

(j) A person who is a principal as defined in section 13A03 of the act (relating to definitions) consents to receive service of process, even if that person is located out-of-State under 42 Pa.C.S. § 5322 (relating to the bases of personal jurisdiction over persons outside this Commonwealth).

History

Authority: The provisions of this § 53.
Source: The provisions of this § 53.

51 Pa. Code § 53.3 Lobbying firm registration.

(a) Unless exempt under section 13A06 of the act (relating to exemption from registration and reporting), a lobbying firm shall register with the Department within 10 days of the earlier of one of the following:

(1) Contracting in any form to engage in lobbying.

(2) Engaging in lobbying.

(b) Lobbying by a lobbying firm on a principal’s behalf constitutes acting in the capacity of a lobbying firm.

(1) A lobbying firm that is required to register and that engages in lobbying on its own behalf shall also register with the Department as a principal.

(2) Unless exempt under section 13A06 of the act, members or employees of a lobbying firm who engage in lobbying on behalf of the lobbying firm shall register as lobbyists with the Department under § 53.4 (relating to lobbyist registration).

(c) A lobbying firm shall register by filing a registration statement with the Department, on a form prescribed by the Department as required under § 51.7(a) (relating to forms, records and Department publications), which discloses at least the following information:

(1) The name, permanent address, daytime telephone number, email address if available, and name and nature of business of the lobbying firm.

(2) The name, registration number and acronyms of all ‘‘affiliated political action committees’’ as defined in section 13A03 of the act (relating to definitions).

(3) The name and permanent business address of each individual, registered or unregistered, who will for economic consideration engage in lobbying on the principal’s behalf. The lobbying firm need not list individuals exempt under section 13A06 of the act.

(4) The name, permanent business address, daytime telephone number and registration number when available of every principal that the lobbying firm represents.

(5) The registration number of the lobbying firm when available.

(e) The registration statement must include the lobbying firm’s consent to receive service of notices, other official mailings or process at addresses listed in the registration statement on file with the Department.

(f) The registration statement must include a statement that the lobbying firm, through its authorized representative, has received, read and understands the requirements and prohibitions of the act.

(g) The registration statement must also include a statement that the information on the lobbying firm’s statement is true, correct and complete to the best of the registrant’s knowledge, information and belief, and the affirmation is being made subject to 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities).

(h) A lobbying firm will not be considered registered until the completed registration statement and the biennial filing fee, in proper form as required by the act and this section, are received by the Department. However, if the Department receives the filing fee within 5 calendar days of the filing of a registration statement, the registration will not be considered delinquent, in compliance with § 51.4 (relating to delinquency).

(i) Unless terminated, a registration statement filed under the act is effective from the date of filing through the final day of the registration period then in effect. The lobbying firm shall file a new registration statement after that date, to the extent the lobbying firm is required to be registered under the act and this section.

(j) A person who is a lobbying firm as defined in section 13A03 of the act consents to receive service of process, even if that person is located out-of-State under 42 Pa.C.S. § 5322 (related to bases of personal jurisdiction over persons outside this Commonwealth).

History

Authority: The provisions of this § 53.
Source: The provisions of this § 53.

51 Pa. Code § 53.4 Lobbyist registration.

(a) Unless exempt under section 13A06 of the act (relating to exemption from registration and reporting), a lobbyist shall register with the Department within 10 days of the earlier of one of the following:

(1) Contracting in any form to engage in lobbying.

(2) Engaging in lobbying.

(b) When a firm, association, corporation, partnership, business trust or business entity is engaged as a lobbyist or lobbying firm, it and each of its members or employees that engage in lobbying on behalf of the principal shall register with the Department, unless exempt under section 13A06 of the act.

(d) A lobbyist shall register by filing a registration statement with the Department on a form prescribed by the Department, as required under § 51.7(a) (relating to forms, records and Department publications), which includes and discloses at least the following information:

(1) The name, permanent business address, email address, if available, and daytime telephone number of the lobbyist. The filer shall also indicate if the lobbyist is a licensed attorney, and, if so, whether the attorney is licensed in this Commonwealth.

(2) A recent passport-sized (approximately 2 inches x 2 inches) photograph of the lobbyist, the specifications of which will be determined by the Department and published on its web site.

(3) The name, permanent business address, daytime telephone number and registration number when available of each principal the lobbyist represents.

(4) The name, registration number and acronyms of all ‘‘affiliated political action committees,’’ as defined in section 13A03 of the act (relating to definitions).

(5) The name and registration number when available of every lobbying firm with which the lobbyist has a relationship involving economic consideration.

(6) The name, registration number and acronym of any non-Federal candidate’s political committee of which the lobbyist is an officer who must be included in a registration statement under section 1624(b)(2) and (3) of the Election Code (25 P. S. § 3244(b)(2) and (3)), regarding registration.

(7) The registration number of the lobbyist when available.

(e) For each address that is to be disclosed on a registration statement, the filer shall include the permanent business address. If the filer has more than one permanent business address, indicate the primary business address of the filer.

(f) The registration statement must include the lobbyist’s consent to receive service of notices, other official mailings or process at addresses listed in the registration statement on file with the Department.

(g) The registration statement must include a statement that the lobbyist has received, read and understands the requirements and prohibitions of the act.

(h) The registration statement must also include a statement that the information on the lobbyist’s statement is true, correct and complete to the best of the registrant’s knowledge, information and belief, and the affirmation is being made subject to 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities).

(i) A lobbyist registering on behalf of an association will not be required to register on behalf of each member of that association. However, if a lobbyist represents a member in a separate capacity, both the lobbyist and the member shall file the appropriate registrations.

(j) A lobbyist will not be considered registered until the completed registration statement, the biennial filing fee and a photograph of the lobbyist, in proper form as required by the act and this section, are received by the Department. However, if the Department receives the filing fee and a photograph of the lobbyist within 5 calendar days of the filing of a registration statement, the registration will not be considered delinquent, in compliance with § 51.4 (relating to delinquency). If the 5 days end on a weekend or holiday, or on another day that the office of the filing location is closed or closes early, the deadline for the filing will be extended to the following Commonwealth business day.

(k) Unless terminated, a registration statement filed under the act is effective from the date of filing through the final day of the registration period then in effect. The lobbyist shall file a new registration statement after that date, to the extent the lobbyist is required to be registered under the act and this section.

(l) A person who is a lobbyist as defined in section 13A03 of the act (relating to definitions) consents to receive service of process, even if that person is located out-of-State under 42 Pa.C.S. § 5322 (related to bases of personal jurisdiction over persons outside this Commonwealth).

This section cited in 51 Pa. Code § 53.3 (relating to lobbying firm registration).

History

Authority: The provisions of this § 53.
Source: The provisions of this § 53.

51 Pa. Code § 53.5 Amended registration statements.

(a) A principal required to be registered under the act shall file an amended registration statement whenever there is a change in the information required to be disclosed on the principal’s registration statement. The amended registration statement shall be filed with the Department within 14 days after the change occurs, except that if the change is solely as to the number of dues-paying members in the past calendar year, the amended registration statement shall be filed with the Department within 14 days of the end of the year in which the change occurs.

(b) A lobbyist or lobbying firm required to be registered under the act shall file an amended registration statement whenever there is a change of or in the information required to be disclosed on the lobbyist’s or the lobbying firm’s registration statement. The amended registration statement shall be filed within 14 days after the change occurs.

(c) Principals, lobbyists and lobbying firms shall amend only those portions of their registration statements that need to be amended, in addition to the identification of the principal, lobbyist and the lobbying firm, as provided in § 51.8 (relating to amended filings).

This section cited in 51 Pa. Code § 51.8 (relating to amended filings).

History

Authority: The provisions of this § 53.
Source: The provisions of this § 53.

51 Pa. Code § 53.6 Termination.

(a) A lobbyist, lobbying firm or a principal may terminate its registration by filing with the Department a completed notice of termination on a form prescribed by the Department as required under § 51.7(a) (relating to forms, records and Department publications).

(b) A separate notice of termination is required for each registration statement.

(c) A notice of termination must identify the registration number of the principal, lobbying firm or lobbyist terminating registration.

(d) A notice of termination may be amended, but cannot be withdrawn.

(e) A registration statement cannot be revived or otherwise made effective after a notice of termination as to the registration statement has been filed.

(f) Lobbying may not occur after the filing of a notice of termination unless the lobbying is under a separate registration statement which has already been filed with the Department and which, at the time of the lobbying, has not been terminated.

(g) After a review of the notice of termination, the Department will issue to the lobbyist, lobbying firm or principal who filed the notice of termination a letter stating that the registrant has terminated registration. The letter will be issued within 15 days after the Department’s receipt of the notice of termination.

(h) The filing of a notice of termination or a termination report, or the issuance of a Department letter stating that the registrant has terminated registration, does not affect the Department’s authority to conduct audits, or the Commission’s, the Attorney General’s or the Board’s authority to conduct investigations, hearings or other proceedings under the act and this part.

(i) Nothing in this subsection shall be construed to exempt a lobbyist, lobbying firm or principal from any of the requirements in section 13A05 of the act (relating to reporting).

History

Authority: The provisions of this § 53.
Source: The provisions of this § 53.

51 Pa. Code § 53.7 Public inspection and copying.

(a) The Department will make completed registration statements and notices of termination, which have been filed with the Department, available for public inspection and provide copies of these documents at a price not in excess of the actual cost of copying.

(b) The Department will make all registrations and notices available on a publicly accessible Internet web site. Documents maintained and reproducible in an electronic format will be provided in that format upon request.

(c) The Department will make electronically submitted documents available either on paper or electronically. The Department will make documents submitted on paper available both on paper and electronically.

This section cited in 51 Pa. Code § 53.6 (relating to termination).

History

Authority: The provisions of this § 53.
Source: The provisions of this § 53.

Chapter 55 Reporting

51 Pa. Code § 55.1 Quarterly expense reports.

(a) A quarterly expense report is required to be filed as set forth in this section when the total lobbying expenses of a registered principal, registered lobbying firm or registered lobbyist lobbying on the principal’s behalf, together, exceed $2,500 in a quarterly reporting period. The threshold of $2,500 includes any economic consideration paid by a principal to a lobbying firm or lobbyist for lobbying. Individuals exempt under section 13A06 of the act (relating to exemption from registration and reporting) need not register or report.

(b) For a quarterly reporting period in which the total lobbying expenses of a registered principal, registered lobbying firm or registered lobbyist lobbying on the principal’s behalf, together, are $2,500 or less, a statement to that effect shall be filed with the Department by checking the appropriate block on the quarterly expense report form.

(c) For purposes of determining whether the reporting threshold has been met, and for filing reports required under section 13A05 of the act (relating to reporting), section 13A05(b)(2.1) of the act permits filers to use any reasonable methods of estimation and allocation.

(d) The principal shall file a quarterly expense report or statement of failure to meet the reporting threshold on or before the 30th day after the quarterly reporting period ends.

(e) Under section 13A05(b)(6) of the act and as detailed in subsection (n), a lobbyist or lobbying firm required to be registered under the act shall file a separate quarterly expense report or a separate amended quarterly expense report if during the reporting period, the lobbyist or the lobbying firm engaged in lobbying which was not contained in any report filed by a principal represented by the lobbyist or lobbying firm. The deadline for filing a separate report shall be the 30th day after the due date of the principal’s report. The following apply to filing a separate expense report by a lobbyist or a lobbying firm:

(1) If within 30 days of the due date, a principal amends its quarterly expense report in compliance with § 51.8(c) (related to amended filings), a lobbyist or lobbying firm need not file a separate quarterly expense report as to the principal’s expenses.

(2) The filing of a separate quarterly expense report by a lobbyist or lobbying firm does not relieve a principal of any reporting requirements.

(f) Quarterly expense reports, statements of failure to meet the reporting threshold, separate quarterly expense reports by lobbyists or lobbying firms and amendments to these shall be filed on forms prescribed by the Department.

(g) A quarterly expense report of a principal required to be registered under the act must include at least the following information:

(1) The names and, when available, the registration numbers of all lobbyists or lobbying firms that are required to be registered, by whom the lobbying is conducted on behalf of the principal. If a lobbyist is a lobbying firm, association, corporation, partnership, business trust or business entity, its name and the names of the individuals who lobby on behalf of the principal shall be included. Individuals exempt under section 13A06 of the act need not be included.

(2) The general subject matter or issue being lobbied shall be indicated by checking the appropriate block on the form or completing the category designated ‘‘other.’’ A principal, lobbying firm or lobbyist engaged in procurement may include this subject under the ‘‘other’’ category. Examples of items that need not be reported include:

(i) A listing indicating which lobbyists are lobbying on which matters.

(ii) The specific bill numbers for which the lobbying is being done.

(iii) The specific contents of any communications or the identity of those with whom the communications take place.

(3) The total costs of all lobbying for the period. The total must include all office expenses, personnel expenses, expenditures related to gifts, hospitality, transportation and lodging to State officials or employees, and any other lobbying costs.

(i) The total amount reported under this paragraph shall be allocated in its entirety among the following categories:

(A) The costs for gifts, hospitality, transportation and lodging given to or provided to State officials or employees or their immediate families.

(B) The costs for direct communication.

(ii) Registrants shall use a good faith effort to allocate expenses required to be reported under this subsection to one of the three categories listed herein. A given expense may not be included in more than one category. When allocating expenses:

(A) Gifts should not include expenses for the following:

(I) Direct communication or indirect communication.

(II) Personnel expenses and office expenses, as defined in the act and this section.

(III) Services to a constituent or other member of the public based upon a referral or recommendation by a legislator or other State official or employee made within the scope of his office or employment.

(IV) Information received by a legislator or other State official or employee within the scope of his office or employment, except to the extent that the medium in which the information was received has a fair market value itself.

(B) Hospitality should not include expenses for the following:

(I) Personnel expenses and office expenses, as defined in the act and this section.

(II) Direct communication or indirect communication.

(I) Gifts or hospitality.

(II) Transportation or lodging.

(D) Indirect communication should not include expenses for the following:

(I) Gifts or hospitality.

(II) Transportation or lodging.

(iii) Lobbying costs include the amount of economic consideration paid by principals to lobbying firms or lobbyists for lobbying. Although a registrant is only required to report the amount of economic consideration that is attributable to lobbying in the Commonwealth, the entire amount shall be reported unless the principal, lobbying firm or lobbyist maintains records that establish the portion attributable to lobbying, as well as the portion attributable to nonlobbying services.

(iv) Monitoring of legislation, monitoring of legislative action or monitoring of administrative action is not lobbying. However, for an individual or entity which is not exempt, the costs of monitoring are subject to the reporting requirements of the act when the monitoring occurs in connection with activity that constitutes lobbying.

(4) The information required to be disclosed under section 13A05(b)(3) of the act, as detailed by paragraph (3)(i), and subsections (j) and (k).

(5) The name, permanent business address and daytime telephone number of any individual, association, corporation, partnership, business trust or other business entity which contributed more than 10% of the total resources for lobbying received by the principal during the reporting period. The term ‘‘total resources’’ includes all contributions to the principal during the reporting period. The term also includes dues and grants received by the principal.

(6) The total costs for gifts, hospitality, transportation and lodging, given to or provided to State officials or employees or their immediate families, except that any cost under this paragraph which is of a value not exceeding $10 need not be reported under section 13A05(b)(3) of the act. If the same or similar gift, hospitality or transportation or lodging is provided to more than one State official or employee, the aggregate economic value of which is more than $10, that value shall be included in the appropriate totals reported under section 13A05(b)(2) of the act.

(h) A registered principal that attempts or that retains a lobbying firm or lobbyist to attempt to influence an agency’s preparing, awarding of a bid, entering into or approving a contract pursuant to 62 Pa.C.S. (relating to procurement) shall ensure that the related expenses are included in calculating the totals referenced by subsection (g)(3).

(1) There is no prohibition against lobbyists or vendors being paid fees for procurement lobbying contingent upon the successful outcome of their lobbying.

(2) With certain exceptions, provided in 31 U.S.C. § 1352 (relating to limitation on the use of appropriated funds to influence certain Federal contracting and financial transactions), Federal funds cannot be spent by any recipient of a Federally-funded contract to pay any person for lobbying a Federal agency, employee or member of Congress.

(i) Within the total costs of all lobbying for the period reported in subsection (g)(3), the amount spent for office and personnel expenses must include salaries and other forms of compensation, benefits, vehicle allowances, bonuses and reimbursable expenses for those involved in lobbying, and costs for offices, equipment and supplies utilized for lobbying.

(1) Any reasonable method may be used to determine how to allocate among direct and indirect communications.

(2) Because the definitions of ‘‘gift’’ and ‘‘hospitality’’ in section 13A03 of the act (relating to definitions) do not explicitly include personnel expenses and office expenses, if a principal sponsors an event for public officials and employees, the principal’s expenses for mailing invitations, and the time its staff spends planning this event should be reported as direct or indirect communications.

(3) Reportable personnel costs include costs for expenditures for salaries or other forms of compensation, benefits, vehicle allowances, bonuses and reimbursable expenses paid to lobbyists, lobbying staff, research and monitoring staff, consultants, lawyers, publications and public relations staff and technical staff, as well as clerical and administrative support staff and individuals who engage in lobbying but who are exempt from reporting under section 13A06 of the act.

(4) Compensation, benefits and expenses of any nature shall be included if paid in furtherance of lobbying. These expenses include transportation, food and lodging paid for any individuals in furtherance of lobbying.

(5) If compensation is to be reported by or for an individual or entity whose lobbying is incidental to regular employment, it shall be sufficient to report a prorated estimate based on the value of the time devoted to lobbying.

(j) A quarterly expense report must also identify, by name, position and each occurrence, the State officials or employees, or both, who received from a principal, lobbying firm or lobbyist anything of value which must be included in the statement of financial interests under section 1105(b)(6) or (7) of the Ethics Act (relating to statement of financial interests) as implemented by section 1105(d) of the Ethics Act.

(1) For purposes of the act, the amount referred to in section 1105(b)(7) of the Ethics Act shall be considered an aggregate amount per calendar year.

(2) Each occurrence must include the date and the circumstances of the gift and the payment or reimbursement for transportation, lodging or hospitality.

(3) The reporting of the provision of gifts in the aggregate of $250 or more per calendar year to a State official or employee must identify:

(i) The name and position of the State official or employee, including the governmental body of the State official or employee.

(ii) The name and address of the source of the gift.

(iii) The value of the gift.

(iv) The circumstances of the gift, including the nature of the gift.

(4) The reporting of the provision of transportation/lodging/hospitality in the aggregate exceeding $650 per calendar year to a State official or employee in connection with public office or employment must identify the following:

(i) The name and position of the State official or employee, including the governmental body of the State official or employee.

(ii) The name and address of the source of the payment.

(iii) The value of the transportation, lodging or hospitality.

(5) For purposes of the act, the amount referred to in section 1105(b)(7) of the Ethics Act does not include the cost of a reception which the State official or employee attends in connection with public office or employment. However, a principal, lobbying firm or lobbyist shall maintain records for purposes of disclosing the total costs of a reception as hospitality expenses in quarterly expense reports, in compliance with section 13A05(b)(2)(i) of the act and subsection (g)(3)(i).

(6) For purposes of the act, there is no requirement under section 13A05 to disclose anything of value received from immediate family when the circumstances make it clear that motivation for the action was the personal or family relationship.

(k) For purposes of reporting the value of gifts or transportation, lodging or hospitality to be disclosed under section 13A05 of the act, the following apply:

(1) Any gift, transportation, lodging or hospitality item that is returned unused, declined or is fully reimbursed to the registrant within 30 days of the date of receipt need not be reported. For a gift, the date of receipt is the date the State official or employee first has possession or control of the gift. For purposes of calculating the 30 days for fully reimbursing an item of transportation, lodging or hospitality, the date of receipt is the date the State official or employee actually receives the benefit of the item.

(2) The valuation of a complimentary ticket to a fundraiser must be based upon the reasonable value of the gifts, hospitality, transportation or lodging received by the State official or employee. This provision does not apply to expenditures and other transactions subject to reporting under section 1626 of the Election Code (25 P. S. § 3246).

(3) The value of gifts, transportation, lodging or hospitality must equal the costs to the registrant if the items or services to be valued were in fact obtained by the registrant in marketplace transactions.

(4) When paragraph (3) is not applicable, the value of the gifts, transportation, lodging or hospitality must equal the fair market values as determined by the replacement costs, that is, the costs of purchasing the same or similar items or services in marketplace transactions.

(5) When paragraphs (3) and (4) are not applicable, the registrant may use any reasonable method to determine the value of gifts, transportation, lodging or hospitality.

(6) When more than one individual is benefited incident to an occasion or transaction, the registrant may calculate the value of the gifts, transportation, lodging or hospitality provided to a particular individual by one of the following:

(i) Calculating the actual benefit provided to that individual.

(ii) Dividing the totals of expenditures common to more than one beneficiary including that individual by the number of recipients, and adding the resulting figures (quotients) together with the value of all other gifts, transportation, lodging or hospitality provided to that individual.

(iii) Allocating a portion of the total expenditures common to more than one beneficiary to each individual based upon each individual’s participation and adding that value to the value of all other gifts, transportation, lodging or hospitality provided to that individual.

(l) The filer of the quarterly expense report or amended quarterly expense report shall give written notice to each State official or employee of the State official’s or employee’s inclusion in the report at least 7 days prior to the submission of the report to the Department. The notice must include the information which will enable the public official or employee to comply with section 1105(b)(6) and (7) of the Ethics Act. The notice may not include the cost of a reception that the State official or employee attends in connection with State office or employment.

(m) A lobbying firm or lobbyist not associated with a lobbying firm, required to be registered under the act, shall sign the quarterly expense reports or amended quarterly expense reports submitted by the principals represented to attest to the validity and accuracy of the reports to the best of the lobbying firm’s or lobbyist’s knowledge. If the principal is unable to secure the signature of a lobbyist or authorized representative of a lobbying firm, the principal shall attach a statement to the report, setting forth the attempts made and the reasons for the inability to obtain the signature. The statement must be on a form prescribed by the Department as required under § 51.7(a) (relating to forms, records and Department publications).

(1) A lobbying firm or lobbyist may attach a statement to the quarterly expense report or amended quarterly expense report of any principal, describing the limits of the lobbyist’s or lobbying firm’s knowledge concerning the expenditures contained in the report. Lobbying firms’ or lobbyists’ statements as to limitations of knowledge must be on a form prescribed by the Department as required under § 51.7(a), and describe the limitations and the reasons for the limitations with specificity.

(2) An individual in a lobbying firm, a lobbyist or any other individual may also sign the quarterly expense report of the principal on behalf of the principal, attesting to the accuracy of the report, with authorization by the principal on its registration statement. The registration statement will designate all individuals who may sign expense reports on behalf of the principal.

(i) If an individual or lobbyist signs a principal’s quarterly expense report on the principal’s behalf without authorization by the principal on its registration statement, the quarterly expense report will not be considered a valid filing by the principal.

(ii) A principal that authorizes an individual to sign the quarterly expense reports of the principal on behalf of the principal on its registration statement is still responsible for the accuracy and timely filing of the quarterly expense report.

(iii) When an individual signing the principal’s quarterly expense report, attesting to the accuracy of the report, is an official or employee of the principal who also serves as one of the principal’s registered lobbyists as indicated on the report, that signatory shall still be required to affirm the accuracy of the report as a lobbyist of the principal, as provided by section 13A05(b)(4) of the act.

(n) When a lobbying firm or lobbyist is required to file a separate report under subsection (e), the following apply:

(1) The deadline for filing any separate quarterly expense report or separate amended quarterly expense report shall be the 30th day after the due date of the principal’s report.

(2) Separate quarterly expense reports and separate amended quarterly expense reports shall be filed on a form prescribed by the Department as required under § 51.7(a).

(3) A separate quarterly expense report or separate amended quarterly expense report must contain the identity of the principal for whom the lobbying was performed.

(4) A separate quarterly expense report must include the information required by section 13A05(b)(2), (3) and (7) of the act.

(5) A separate quarterly expense report or separate amended quarterly expense report may include a statement which specifies the limitations of the lobbying firm’s or the lobbyist’s knowledge and the reasons for the limitations.

(6) A lobbying firm or lobbyist filing a separate quarterly expense report or separate amended quarterly expense report shall provide it to the principal contemporaneously with filing it with the Department.

(7) A lobbying firm or lobbyist filing a separate quarterly expense report or separate amended quarterly expense report shall give written notice to each State official or employee of the State official’s or employee’s inclusion in the report at least 7 days prior to the submission of the report to the Department. The notice must include the information which will enable the State official or employee to comply with section 1105(b)(6) and (7) of the Ethics Act.

(8) An individual in a lobbying firm, a lobbyist or any other individual may also sign the quarterly expense report of the lobbying firm or lobbyist on behalf of the lobbying firm or lobbyist, attesting to the accuracy of the report, with authorization by the lobbying firm or lobbyist on the lobbying firm’s or lobbyist’s registration statement. The registration statement will designate all individuals who may sign expense reports on behalf of the lobbying firm or lobbyist.

(i) If an individual or lobbyist signs a lobbying firm’s or lobbyist’s quarterly expense report on the lobbying firm’s or lobbyist’s behalf without authorization by the lobbying firm or lobbyist on the lobbying firm’s or lobbyist’s registration statement, the quarterly expense report will not be considered a valid filing by the lobbying firm or lobbyist.

(ii) A lobbying firm or lobbyist that authorizes an individual to sign the quarterly expense report of the lobbying firm or lobbyist on the lobbying firm’s or lobbyist’s registration statement is still responsible for the accuracy and timely filing of the quarterly expense report.

(o) Whenever any person makes an expenditure for indirect communication under this section, for the purpose of disseminating or initiating a communication, such as a mailing, telephone bank, automated telephone calls, print or electronic media advertisement, billboard, publication or education campaign, the communication must clearly and conspicuously state the name of the person who made or financed the expenditure for the communication.

This section cited in 51 Pa. Code § 63.2 (relating to commission proceedings regarding prohibited activities under section 13A07 of the act).

51 Pa. Code § 55.2 Records maintenance, retention and availability.

(a) A registrant shall maintain records reasonably necessary to substantiate the filings of lobbying activity made under sections 13A04 and 13A05 of the act (relating to registration; and reporting).

(1) The Department will prescribe standardized forms for reports, which shall be used by all principals, lobbying firms and lobbyists required to be registered under the act.

(2) In maintaining records, registrants may use any reasonable methods of estimation and allocation.

(3) Records of lobbying activity may be kept under any reasonable accounting basis, which includes:

(i) Cash basis. Revenue and related assets are recognized when received and expenses are recognized when payment is disbursed. For example, payroll costs are reported when paid, not when the associated hours are worked.

(ii) Accrual basis. Income is recognized when earned and expenses when incurred. For example, payroll is recognized when the associated hours are worked regardless of when payment is made.

(iii) Modified accrual basis. Recognizes an economic transaction or event as revenues in the operating statement when the revenues are both measurable and available to liquidate liabilities of the current period. Available means collectible in the current period or soon enough thereafter to be used to pay liabilities of the current period. Similarly, expenditures are generally recognized when an event or transaction is expected to draw on current spendable resources.

(4) Records of lobbying activity shall be maintained in sufficient detail to enable the registrant to fully comply with the act and this part.

(5) The records must identify the general subject matter or issue being lobbied. The specific contents of a particular communication, or the identity of those with whom the communications take place, need not be recorded or maintained.

(6) A registrant should keep its records on the same accounting basis for the 2-year period covering its registration under the act. If a registrant changes its accounting basis, then it should make an internal record noting the date of the change and the reason for the change.

(b) A registrant may keep records of all lobbying activity separate from records of the registrant’s nonlobbying activity. A registrant may keep records related to registering and reporting under the act separate from other records relating to lobbying.

(1) Records that integrate both lobbying and nonlobbying activities shall be retained and made available for inspection or audit under this section and Chapter 61 (relating to compliance audits).

(2) An expenditure incurred partially in connection with lobbying may be prorated by any reasonable accounting method, but the method used shall be described in detail in the records maintained as to the expenditure.

(3) A registrant may value time spent lobbying in using any of the following examples of viable options as long as the method selected is a reasonable method of estimation and allocation:

(i) A registrant may employ a good faith estimate by using any reasonable method of estimation and allocation.

(ii) A registrant may keep a record of all of the time spent lobbying.

(iii) A registrant may use the entire fee expended for lobbying.

(c) A registrant shall retain the documents used in recordkeeping reasonably necessary to substantiate the filings to be made under section 13A04 or 13A05 of the act for 4 years from the date of filing.

(1) The documents to be used in recordkeeping include, but are not limited to: books, journals, ledgers, accounts, statements, invoices, bills, vouchers, receipts, charge slips, cancelled checks, payroll check stubs, time sheets, tax returns and related forms, contracts, subcontracts, business diaries and calendars and other related written or computerized records.

(2) Original source records received by the registrant shall be retained in their original form to the extent possible.

(3) Records prepared by the registrant under this section may be in written or computerized/electronic formats.

(4) Computerized/electronic records shall be maintained to enable the Department, the Commission, the Office of Attorney General or the Board to access in readable form all of the information reasonably necessary to substantiate the registration statements or reports.

(5) Affidavits may be used if actual records are lost, stolen or destroyed through no fault of the registrant, or are otherwise unavailable, and cannot be recreated from other sources. An affidavit must be as complete and detailed as is reasonably possible, and include the specific reasons for the unavailability of the actual records.

(d) Reportable expenditures shall be supported by original source documents to the extent they are available. If an original source document is not available to support a reportable expenditure, the registrant shall upon payment of the expenditure promptly prepare a written voucher, journal entry or other written or electronic form of record to document the expenditure. The record must include a notation of the reason an original source document was not available.

(e) The documents and records maintained and retained to substantiate expenditures must reflect for each reportable item, the following information:

(1) The full names of the payor and payee.

(2) The date of the transaction.

(3) The dates and forms of payments.

(4) The full name and official position of each State official or employee who was a beneficiary, and the amount of the expenditure reasonably attributable to each of them.

(5) The number of immediate family members of a State official or employee, who were beneficiaries, and the amount of the expenditures reasonably attributable to them.

(6) A description of the goods or services or other consideration for which the expenditure was made or incurred.

(f) Contributions of resources which are reportable under section 13A05(b)(5) of the act shall upon receipt be promptly documented by the registered principal through the preparation of a written receipt, an entry in a journal maintained by the principal, or other written or electronic form of record.

(g) Documents and records maintained and retained to substantiate contributions of resources reportable under section 13A05(b)(5) of the act must reflect for each reportable item, the following information:

(1) The full names of the donor and donee.

(2) The amount or value and date of the contribution.

(3) In the case of a nonmonetary contribution, a description of the goods, services or other forms of resources provided.

(4) Instructions, directions, conditions, restrictions, limitations or controls provided or imposed by the donor as to the use or disposition of the contribution.

(h) Upon written request by the Office of Attorney General, the Department, the Commission or the Board, documents reasonably necessary to substantiate filings made under sections 13A04 and 13A05 of the act shall be made available for inspection and copying within 30 days.

(1) The Office of Attorney General, the Department, the Commission or the Board may extend this 30-day deadline in connection with its own requests, when circumstances compelling an extended deadline are established.

(2) Computerized/electronic records shall be provided in readable form.

51 Pa. Code § 55.3 Public inspection and copying.

(a) The Department will make completed expense reports, which have been filed with the Department, available for public inspection and provide copies of these documents at a price not in excess of the actual cost of copying.

(b) The Department will make all reports available on a publicly accessible Internet web site. Documents maintained and reproducible in an electronic format shall be provided in that format upon request.

51 Pa. Code § 55.4 Reliance on documents

(a) Reliance on manual. A registrant’s establishment and maintenance of records, as well as the filing of quarterly expense reports based on those records, in accordance with any manual or interim guidelines adopted by the Committee shall serve as evidence of the registrant’s good faith effort to comply with the act during the time when the manual or guidelines are in effect.

(b) Reliance on instructions for forms. A registrant’s completion of registration statements and quarterly expense reports in accordance with instructions published by the Department shall serve as evidence of the registrant’s good faith effort to comply with the act during the time when the instructions are in effect.

Chapter 57 Exemption from Registration and Reporting

51 Pa. Code § 57.1 General rule.

(a) Unless specified in § 57.2 (relating to qualifications for exemption), a person, principal, lobbying firm or lobbyist that qualifies for any exemption under § 57.2 will not be required to register or report with respect to any activity covered by the exemption. However, if an individual does not qualify for an exemption in § 57.2(a), then the activity described in the exemption shall be included within the reports otherwise required by the act.

(b) Upon losing exempt status, a person, principal, lobbying firm or lobbyist is immediately subject to the registration and reporting requirements of the act.

(c) Upon losing exempt status, a principal is not required to retroactively file reports for previous quarterly reporting periods in which the exemption applied.

(d) Upon losing exempt status, a lobbying firm or lobbyist is not required to retroactively sign or file reports for previous quarterly reporting periods in which the exemption applied.

51 Pa. Code § 57.2 Qualifications for exemption.

(a) Exemption from registration. The following persons and activities shall be exempt from registration under section 13A04 of the act (relating to registration) and reporting under section 13A05 of the act (relating to reporting):

(1) The exemption in section 13A06(1) of the act (relating to exemption from registration and reporting) is limited to an individual or entity whose only lobbying activities consist of preparing testimony and testifying before a committee of the General Assembly or participating in an agency administrative proceeding. Participating in an administrative proceeding includes, but is not limited to, preparing and delivering comments on regulations or preparing and delivering comments at agency advisory committee meetings. To the extent an individual or entity, which is otherwise required to register and report under the act, engages in those activities, the individual or entity does not qualify for the exemption under this subsection.

(2) The exemption in section 13A06(2) of the act is limited to an individual or entity which is engaged in the business of publishing or broadcasting, regardless of the medium used, while engaged in the gathering and dissemination of news and comment on the news to the general public in the ordinary course of business. The term ‘‘individual’’ in this subsection includes employees and independent contractors.

(i) To qualify for this exemption, the individual or entity shall satisfy all of the following criteria:

(A) Regularly report or comment on government news or current events.

(B) Receive compensation or revenue for the publications or broadcasts.

(D) Be independent of any principal, lobbying firm or lobbyist that is engaged in lobbying activities under the act.

(E) Be independent of any organization or entity that is not a news organization.

(ii) To the extent an individual or entity, which is otherwise required to register and report under the act, engages in activities other than the publishing or broadcasting of news or comment on the news, the other activities will not be afforded an exemption under this subsection.

(3) The exemption in section 13A06(3) of the act is limited to an individual who does not receive any economic consideration for lobbying.

(4) The exemption in section 13A06(4) of the act is limited to an individual whose economic consideration for lobbying, from all principals represented, does not exceed $2,500 in the aggregate during any reporting period.

(5) The exemption in section 13A06(5) of the act is limited to an individual who engages in lobbying on behalf of the individual’s employer if the lobbying activity represents less than 20 hours during any reporting period.

(6) The exemption in section 13A06(6) of the act is limited to a principal whose total expenses for lobbying purposes do not exceed $2,500 during any reporting period.

(7) The exemptions in section 13A06(7), (8), (9) and (10) of the act (as referenced in section 13A05(b)(8)) exclude Commonwealth governmental entities and political subdivisions as well as elected officials, appointed officials and employees of the entities or subdivisions from the registration and reporting requirements of the act to the extent that the lobbying activities are performed by the governmental entities or by their officials/employees in an official capacity. Specifically, these sections exempt lobbying by a governmental entity on its own behalf and lobbying by an official/employee of the entity acting in an official capacity so that neither the official/employee nor the governmental entity would be required to register or report as to those activities under the act. The governmental entity would be required to register and report as a principal if other lobbyists or lobbying firms would engage in lobbying on behalf of the governmental entity and the total expenditures for those lobbying activities would not bring the governmental entity within the exemption in section 13A06(6) of the act.

(8) The exemption in section 13A06(11) of the act is limited to an individual representing a bona fide church or bona fide religious body of which the individual is a member, or the bona fide church or bona fide religious body itself, when the lobbying is solely for the purpose of protecting the constitutional right to the free exercise of religion. Lobbying on issues beyond the scope of the free exercise of religion does not qualify for this exemption no matter who engages in the lobbying.

(9) The exemption in section 13A06(12) of the act applies to an individual who is not otherwise required to register and who serves on an advisory board, working group or task force at the request of an agency or the General Assembly. This exemption is limited to the scope of the individual’s service on the advisory board, working group or task force.

(10) The exemption in section 13A06(13) of the act applies to the activity of participating as a party or as an attorney at law or representative of a party, case or controversy in any administrative adjudication pursuant to 2 Pa.C.S. (relating to administrative law and procedure). This activity is exempt whether performed by an individual or entity, but will not operate to exclude from reporting other activities performed by individuals or entities that are otherwise required to register and report under the act.

(11) The exemption in section 13A06(14) of the act applies to expenditures and other transactions subject to reporting under Article XVI of the Election Code (25 P. S. § § 3241—3260b).

(b) Vendor activities. The exemption in section 13A06(15) of the act applies to vendor activities under 62 Pa.C.S. § § 514 and 516 (relating to small procurements; and emergency procurement) and efforts directly related to responding to publicly advertised invitations to bid and requests for proposals. This exemption also includes:

(1) The following vendor activities in response to public procurement actions initiated by the Commonwealth:

(i) Submission of supplier pricing requests and sealed quotes, bids and proposals in response to a Request for Quotes, Invitation For Bids, Request for Proposals or other competitive procurement process.

(ii) Submission of questions; participation in a site visit; prebid or preproposal conference; and communications concerning the procurement process between the vendor’s and the covered agency’s contracting officer designated by the competitive procurement document related to an active procurement.

(iii) Submission of a response to a Request for Expressions of Interest or Request For Information seeking formal expression of interest or identification of vendor capabilities for a potential future procurement.

(2) Activities and communications necessary or incidental to performing an existing contract or the demonstration of products or services authorized by an existing contract to covered agencies that may order from the contract.

(3) Participation in trade shows, conventions or product demonstrations open to the public or held for an open community when Commonwealth representatives are among the attendees.

(4) Participation in an open, public forum for vendors conducted by the Commonwealth.

This section cited in 51 Pa. Code § 57.1 (relating to general rule).

Chapter 59 Opinions and Advices of Counsel

51 Pa. Code § 59.1 Ethics Act regulations in Part I as to opinions and advices of counsel.

(a) The Commission will provide advices of counsel and opinions in accordance with the procedures in section 1107 of the Ethics Act (relating to powers and duties of commission) and Chapter 13 (relating to opinions and advices of counsel).

(b) A person who acts in good faith based upon a written advice or opinion of the Commission issued as to that person will not be held liable for a related violation of the act if the material facts are as stated in the request.

(c) A respondent or defendant who reasonably relies upon advices or opinions of the Commission shall have an affirmative defense under section 13A09(g)(1) of the act (relating to penalties).

51 Pa. Code § 59.2 Standing requirements.

(a) The following shall have standing to request an advisory under the act:

(1) A principal, lobbying firm, lobbyist, State official or employee, the Department, the Board or the authorized representative of any of the aforesaid.

(2) Individuals, entities or their authorized representatives regarding their status or duties under the act.

(b) A principal or lobbying firm shall have standing to request an advisory regarding the status, duties or activities of its employees.

(c) An unauthorized request for an advice or opinion as to the conduct of another shall be considered a ‘‘third-party request’’ and will not be entertained.

(d) The Department and the Board will have standing to request an advisory as to questions or issues regarding their respective duties and authority under the act.

51 Pa. Code § 59.3 Prospective conduct to be reviewed.

An advice or opinion will only be issued as to prospective conduct, pertinent to the subject of the request.

Chapter 61 Compliance Audits

51 Pa. Code § 61.1 Lotteries.

(a) Each year, the Department will randomly select, at a public drawing 60 days following the close of each fourth quarter reporting period, 3% of all principals, 3% of all lobbying firms and 3% of all lobbyists who have completed registration statements and expense reports filed with the Department under the act.

(b) A lobbyist, lobbying firm or principal will not be selected for a random audit in consecutive audit periods.

51 Pa. Code § 61.2 Scope of compliance audits.

(a) The audits will be conducted in accordance with generally accepted auditing standards and will test as to whether each registration statement or expense report is materially correct.

(b) An audit will be limited in time to the previous calendar year. However, where the audit falls in the second year of a registration period, the audit shall include the registration statement filed in the previous year. Lobbying activities performed prior to January 1, 2007, will not be audited under the act.

51 Pa. Code § 61.3 Audit procedures.

The following general procedures will be employed for audits conducted under section 13A08(f) of the act (relating to administration):

(1) The Department, at least 30 days prior to the initiation of the audit, will advise each audit subject by letter that the audit subject was randomly selected for audit and further advised of the time, date, place and general scope as well as a tentative time frame for completion of the audit. The letter will contain a request for documents deemed necessary for conduct of the audit.

(2) The independent auditor will obtain the subject’s reports on file with the Department applicable to the audit period. Lobbying activities performed prior to January 1, 2007, will not be audited under the act.

(3) The independent auditor will initiate the audit by way of conference (in person or by telephone) between the auditor and the audit subject or the designated representative thereof.

(4) The registrant who is the audit subject shall cooperate fully in the audit, which shall be conducted in accordance with generally accepted auditing standards.

(5) If the independent auditor believes that the audit subject is not cooperating, the independent auditor shall inform the Department in writing.

(6) The independent auditor will offer to conduct an audit exit conference with the audit subject, or the designated representative thereof, prior to the issuance of a final report.

51 Pa. Code § 61.4 Audit report.

(a) The certified public accountants or certified public accounting firms, selected under section 13A08(f)(1) (relating to administration) and § 61.6 (relating to duty of the Department to contract for an audit), that are responsible for performing compliance audits will, at the conclusion of each audit, prepare an audit report which must include findings.

(b) An audit report may include recommendations as to recordkeeping, reporting and other related practices arising from the audit.

(c) Upon completion, the independent auditor shall send a copy of the audit report and the findings of fact by certified mail to the audit subject. The independent auditor shall issue the audit report within 1 year of being notified of the selection of the audit subject.

(1) Issuance of the audit report will be deemed complete upon mailing to the audit subject.

(2) Within 30 days of issuance of the audit report, the audit subject may file with the Department a statement setting forth the subject’s position as to the audit report.

(d) Audit reports and any related responses shall be submitted to the Department for review and may form the basis for further proceedings or referrals under the act or the Ethics Act.

51 Pa. Code § 61.5 Confidentiality.

The audit report and findings will be confidential except that the Department will make an audit report and findings available to the Commission if the Commission is investigating an alleged violation of this chapter involving the audited registration or expense report within the requirements of the act and Chapters 53 and 55 (relating to registration and termination; and reporting). The Commission will include the relevant portion of an audit as part of its findings of fact in a Commission order that results from an investigation arising out of an audit.

51 Pa. Code § 61.6 Duty of the Department to contract for an audit.

Every 2 years, the Department will contract for the services of one or more certified public accountants or certified public accounting firms. The contract will be awarded in a manner consistent with 62 Pa.C.S. Part I (relating to Commonwealth Procurement Code), and no certified public accountant or certified public accounting firm will be eligible to obtain a contract for 2 successive contract periods.

This section cited in 51 Pa. Code § 61.4 (relating to report).

Chapter 63 Investigations, Hearings and Referrals

51 Pa. Code § 63.1 Commission referrals.

(a) If the Commission has reason to believe that an intentional violation of the act has been committed, it will refer all relevant documents and other information to the Office of Attorney General and, if the lobbyist or principal is an attorney at law, to the Board.

(b) The Commission may refer any alleged violation of section 13A07(f) of the act (relating to prohibited activities) to the Office of Attorney General for both investigation and prosecution.

(c) The Commission will refer any alleged violation of section 13A07(d) or (f) of the act to the Board if the subject of the alleged violation is an attorney at law.

(d) Under section 13A09(b) of the act (relating to penalties) and § 63.4(16) (relating to noninvestigative process for late or deficient filings), if the Commission finds that a failure to register or report was intentional, it will refer the matter to the Attorney General for investigation and prosecution and, if the person is an attorney at law, to the Board.

(e) Nothing contained in the act or this part will prohibit the Office of Attorney General from independently initiating an investigation or prosecution under the act pursuant to its authority by law, and the Office of Attorney General need not await a referral from the Commission before initiating such an investigation or prosecution.

(f) Nothing contained in the act or this part will restrict the Board’s authority to discipline an attorney-at-law who is acting as a lobbyist or principal.

(g) Except for a matter under section 13A07(d)(8) of the act, a referral by the Commission or the Office of Attorney General to the Board will not preclude the referring agency from also conducting its own enforcement proceeding under the act.

51 Pa. Code § 63.2 Commission proceedings regarding prohibited activities under section 13A07 of the act.

(a) Upon receipt of a complaint as defined in § 51.1 (relating to definitions), the Commission, through its Executive Director, will conduct a preliminary inquiry into an alleged negligent or unintentional violation of section 13A07 of the act (relating to prohibited activities). A preliminary inquiry will not be conducted for matters under the act that are required to be referred to the Board for the Board’s exclusive review pursuant to section 13A07(d)(8) or for matters involving section 13A07(f) that the Commission, in its discretion, chooses to refer to the Office of Attorney General for investigation.

(b) Except for matters required to be referred to the Board for its exclusive review pursuant to section 13A07(d)(8) of the act, the Commission, upon the motion of the Executive Director, may conduct a preliminary inquiry into an alleged negligent or unintentional violation of section 13A07 of the act.

(c) Preliminary inquiries will be conducted in accordance with the procedures for preliminary inquiries set forth in section 1108 of the Ethics Act (relating to investigations by commission) and § 21.3 (relating to preliminary inquiries), to the extent applicable.

(d) The Commission, through its Executive Director, may initiate an investigation and hold a hearing concerning alleged negligent or unintentional violations of section 13A07 of the act by a lobbyist, lobbying firm or principal, in accordance with sections 1107 and 1108 of the Ethics Act (relating to powers and duties of commission; and investigations by commission) and, to the extent applicable, the related provisions in § § 21.1—21.3, 21.5 and 21.21—21.27.

(1) If the respondent does not submit a timely request for a hearing, the Investigative Division will have an additional 7 days beyond the respondent’s deadline in which to submit a written request for a hearing.

(2) The Commission may sua sponte schedule a hearing if it is determined that a hearing is needed to resolve any contested facts to make a final determination.

(e) The Commission will decide cases, issue orders and rule upon requests for reconsideration concerning alleged negligent or unintentional violations of section 13A07 of the act, in accordance with sections 1107 and 1108 of the Ethics Act and, to the extent applicable, the related provisions in § § 21.28—21.30 (relating to decision; finality; reconsideration; and effect of order).

(f) At least four members of the Commission present at a meeting must find a violation by clear and convincing proof.

51 Pa. Code § 63.3 Commission proceedings regarding late or deficient filings. 13A04 or 13A05 of the act.

(a) Commission proceedings under sections 13A04 or 13A05 of the act (relating to registration; and reporting) may be initiated based upon one or more of the following:

(1) Receipt of a complaint.

(2) Information submitted by the Department, at its discretion, including, but not limited to, referrals or other information pertaining to late or incomplete filings, the failure to file required registration statements and the failure to file quarterly expense reports.

(3) A referral by the Department of any information arising from an audit, which, in the view of the Department, is appropriate for the Commission to consider.

(4) Reviews of filings conducted by Commission staff.

(5) On the motion of the Commission’s Executive Director, which is based upon a reasonable belief that a violation of section 13A04 or 13A05 of the act may have occurred.

(b) The Commission, through its Executive Director, will initiate proceedings involving sections 13A04 or 13A05 of the act under either the noninvestigative procedures in § 63.4 (relating to noninvestigative process for late or deficient filings) or under the investigative procedures in § 63.5 (relating to investigative process for late or deficient filings).

(1) In each case, the Executive Director of the Commission will elect the process to be followed based upon factors which include, but are not limited to:

(i) The complexity of the matter.

(ii) Whether an investigation is needed to fully review the matter.

(iii) Whether the filer has had prior notice of the requirements of the act.

(iv) Whether the filer has in the past complied with the act.

(2) The election of the process to be followed will not be controlled by the manner in which the alleged negligent violation or noncompliance comes to the attention of the Commission.

(3) If a formal complaint is received alleging a failure to register or report as required by the act, or the filing of a registration or report containing a false statement, the Commission through its Executive Director may elect to proceed in the matter under the noninvestigative procedures of § 63.4 rather than through the investigative procedures of § 63.5.

(4) A complainant will be notified of the Executive Director’s election of the process to be followed.

(5) Information received under subsection (a) may form the basis for proceedings under either the noninvestigative procedures of § 63.4, or, on the motion of the Commission’s Executive Director, the investigative procedures of § 63.5.

(c) If the Department makes a referral to the Commission based on an audit, the Commission will handle the referral through the investigative process.

51 Pa. Code § 63.4 Noninvestigative process for late or deficient filings.

The noninvestigative process for matters under section 13A04 or 13A05 of the act (relating to registration; and reporting) will include the following procedures:

(1) Prior to the issuance of a notice of alleged noncompliance pursuant to section 13A09 of the act (relating to penalties), the Executive Director of the Commission will issue a warning notice to the lobbyist, lobbying firm or principal that has allegedly failed to register or report as required by the act. The warning notice may encompass multiple alleged failures to comply with the act. The warning notice will state the nature of the alleged noncompliance and the administrative and criminal penalties for failing to register, failing to file a report, or filing a report that contains a false statement or that is incomplete.

(2) The recipient of the warning notice shall have 30 days from the mailing date of the warning notice in which to cure the alleged noncompliance. The Investigative Division, may extend the 30-day time period for curing the alleged noncompliance. If the alleged noncompliance is not cured within the 30-day period or any extension thereof, the Investigative Division of the Commission may file with the Commission a notice of alleged noncompliance. The notice will be served upon the respondent by the Investigative Division. A notice of alleged noncompliance may encompass multiple alleged failures to comply with the act.

(3) The notice of alleged noncompliance will set forth the pertinent factual averments in numbered paragraph form and will state the nature of the alleged noncompliance and the administrative and criminal penalties for failing to register, failing to file a report, or filing a report that contains a false statement or that is incomplete. A notice of alleged noncompliance will also advise of the right to appeal from the notice, to file a written answer to the notice and to request a hearing before the Commission. A notice of alleged noncompliance will set forth the time and manner in which to file an appeal, file a written answer and request a hearing.

(4) An answer to the notice of alleged noncompliance must be filed (received at the Commission) within 30 days of service of the notice upon the respondent, and the notice of alleged noncompliance will include a statement to this effect. Filing of an answer is deemed to be both an appeal and a request for a hearing.

(5) An answer to the notice of alleged noncompliance must specifically admit or deny each of the factual averments made in the petition, set forth the facts and state concisely the matters of law upon which the respondent relies. Matters not specifically denied will be deemed admitted. The notice of alleged noncompliance will include a statement to this effect.

(6) Failure to file an answer within the 30-day period or the filing of general denials will be deemed an admission of the averments of the notice of alleged noncompliance. The notice of alleged noncompliance will include a statement to this effect.

(7) To the extent that a respondent does not file an answer, a request by the respondent for a hearing must be in writing and be received at the Commission within 30 days of service of the notice of alleged noncompliance upon the respondent. Failure to submit a timely request for a hearing will be deemed a waiver of a hearing, so that a final order may be entered against the respondent without a hearing.

(8) If the recipient of a notice of alleged noncompliance fails to file a written answer or otherwise fails to file an appeal or a request for a hearing, the notice of alleged noncompliance is deemed admitted and the Commission may find the respondent to be in noncompliance and impose a penalty or penalties pursuant to the act. Furthermore, filing a notice of appeal will automatically constitute a request for a hearing.

(9) If the respondent does not file an answer or otherwise submit a timely request for a hearing, the Investigative Division will have an additional 7 days beyond the respondent’s deadline in which to submit a written request for a hearing.

(10) The Commission may sua sponte schedule a hearing if it is determined that a hearing is needed to resolve contested facts to make a final determination.

(11) If a hearing is requested by the respondent or Investigative Division or is scheduled by the Commission, the respondent will be given access to evidence intended to be used by the Investigative Division at the hearing, as well as exculpatory evidence obtained by the Investigative Division.

(12) Access to evidence does not include an original complaint or the name of a complainant, information which is otherwise privileged, or information not within paragraph (11).

(13) A hearing under section 13A09(b) of the act as to a negligent failure to register or report will be public and will be conducted by the Commission in accordance with sections 1107(14) and 1108(e) of the Ethics Act (relating to powers and duties of commission; and investigations by Commission), and to the extent applicable, the related provisions of Part I (relating to State Ethics Commission). The Investigative Division bears the burden of proof.

(14) The hearing officer or the parties may request that briefs be presented. The filing of briefs must be in accordance with the procedures for filing briefs under § 21.27 (relating to briefs) to the extent applicable.

(15) After the opportunity for a hearing has been provided, and following the submission of any briefs, the Commission will determine, based upon the record before it, whether the respondent was required to register or report under the act; whether the failure to register or report was negligent; and if the failure was negligent, the amount of the administrative penalty to be imposed. At least four members of the Commission present at a meeting must find a violation by clear and convincing proof.

(16) If the Commission finds that the failure to register or report was intentional, it will refer the matter to the Attorney General for investigation and prosecution, and if the person is an attorney at law, the Commission will also refer the matter to the Board.

(17) The determination of the Commission will be in the form of a final order with findings and reasons for the adjudication.

(18) At any time prior to a final adjudication by the Commission, the Investigative Division will have authority to negotiate settlements and to enter into settlement agreements to resolve matters under this section. Settlement agreements will be subject to review and approval by the Commission. Settlement agreements may include arrangements for deferral or termination of proceedings prior to any adjudicative disposition, or terms for an adjudicative disposition, including penalties provided by the act.

(19) Requests for reconsideration may be submitted to the Commission. The Commission will consider and rule upon requests for reconsideration under the procedures in § 21.29(b) and (d)—(f) (relating to finality; reconsideration) to the extent applicable.

(20) The Commission will notify the Board of any administrative/civil penalty imposed by the Commission against an attorney at law for failure to register or report.

(21) A complainant will be notified of the final resolution of the matter.

(22) The official record of the case before the Commission will be publicly available.

(23) The files of the Investigative Division will not be publicly available.

This section cited in 51 Pa. Code § 63.1 (relating to commission referrals); 51 Pa. Code § 63.3 (relating to Commission proceedings regarding late or deficient filings); and 51 Pa. Code § 63.4 (relating to noninvestigative process for late or deficient filings).

51 Pa. Code § 63.5 Investigative process for late or deficient filings.

The investigative process for matters under section 13A04 or 13A05 of the act (relating to registration; and reporting) will include the following procedures:

(1) The Commission, through its Executive Director, may conduct a preliminary inquiry into any alleged negligent violation of section 13A04 or 13A05 of the act. Preliminary inquiries will be conducted under the procedures for preliminary inquiries in section 1108 of the Ethics Act (relating to investigations by commission) and, to the extent applicable, § 21.3 (relating to preliminary inquiries).

(2) The Commission, through its Executive Director, may initiate an investigation and hold a hearing concerning alleged negligent violations of section 13A04 or 13A05 of the act, in accordance with sections 1107 and 1108 of the Ethics Act (relating to powers and duties of commission; and investigations by commission) and, to the extent applicable, the related provisions in § § 21.1—21.3, 21.5 and 21.21—21.27.

(i) If the respondent does not submit a timely request for a hearing, the Investigative Division will have an additional 7 days beyond the respondent’s deadline in which to submit a written request for a hearing.

(ii) The Commission may sua sponte schedule a hearing if it is determined that a hearing is needed to resolve any contested facts to make a final determination.

(iii) A person has a duty to comply with a lawfully issued subpoena, even if that person is located out-of-State pursuant to 42 Pa.C.S. § 5322 (relating to the bases of personal jurisdiction over persons outside this Commonwealth).

(3) At any time prior to a final adjudication by the Commission, the Investigative Division will have authority to negotiate settlements and to enter into settlement agreements to resolve matters under this section. Settlement agreements will be subject to review and approval by the Commission. Settlement agreements may include arrangements for deferral or termination of proceedings prior to any adjudicative disposition, or terms for an adjudicative disposition, including penalties provided by the act.

(4) The Commission will decide cases, issue orders and rule upon requests for reconsideration concerning alleged negligent violations of section 13A04 or 13A05 of the act, in accordance with sections 1107 and 1108 of the Ethics Act and, to the extent applicable, the related provisions in § § 21.28—21.30 (relating to decision; finality; reconsideration; and effect of order). At least four members of the Commission present at a meeting must find a violation by clear and convincing proof.

This section cited in 51 Pa. Code § 63.3 (relating to Commission proceedings regarding late or deficient filings).

51 Pa. Code § 63.6 Administrative penalties for late or deficient filings.

Following a noninvestigative process under § 63.4 (relating to noninvestigative process for late or deficient filings), or an investigative process under § 63.5 (relating to investigative process for late or deficient filings), if the Commission finds negligent failure to register or report as required by the act, the Commission may, upon the vote of at least four of its members present, levy one or more administrative penalties as provided for in this section.

(1) Each negligent failure to register or report as required by the act is punishable by an administrative penalty of up to $50-per-day for each day the registration statement or report is delinquent or deficient.

(2) An administrative penalty will be calculated from the first day the registration statement or report is delinquent or deficient, through the date a complete and accurate registration statement or report is filed or the Commission decides the matter, whichever occurs first.

(3) In determining whether to impose an administrative penalty that is less than $50-per-day, the Commission may consider factors including the following:

(i) Whether the respondent contacted the Commission or took any meaningful measures to attempt to remedy the delinquency, deficiency or false statement.

(ii) Whether the respondent has raised any justifiable excuse such as, for example, the following:

(A) The unavailability of records due to loss, theft or destruction through no fault of the respondent.

(B) Incapacitating physical or mental illness, hospitalization, accident involvement, or death of a person required to register or report, a person whose participation is essential to the filing, or a member of the immediate family of the person.

(iii) Whether the record establishes that the matter involved the first instance that the respondent was subject to the registration/reporting requirements of the act.

(iv) Whether Commission records indicate that the Commission has previously notified the respondent, in writing, of other delinquent, deficient, or false registration statements or reports.

(v) Whether proceedings have previously been initiated against the respondent under the act, either by the Commission or by the Office of Attorney General.

(vi) Whether there are any other factors that should be considered as aggravating or mitigating factors in the case.

(4) The imposition of an administrative penalty by the Commission will not preclude a criminal prosecution for intentional violation of the act.

51 Pa. Code § 63.7 Commission decisions as to late or deficient filings.

The determination of the Commission will be in the form of a final order with findings and reasons for the adjudication.

Chapter 65 Prohibition Against Lobbying as a Sanction.

51 Pa. Code § 65.1 Basis for prohibition against lobbying for economic consideration.

(a) Under sections 13A07 and 13A09 of the act (relating to prohibited activities; and penalties), the Commission may prohibit a lobbyist from lobbying for economic consideration for up to 5 years when the lobbyist has done one or more of the following:

(1) Violated section 13A07(d) of the act.

(2) Violated section 13A07(f) of the act.

(b) Under section 13A09(e)(4) of the act, the Commission may prohibit a person from lobbying for economic consideration for up to 5 years when the person has done one or more of the following:

(1) Intentionally failed to register or report as required by the act, as provided in section 13A09(e)(1) of the act.

(2) As a registrant, filed a report under the act with knowledge that the report contained a false statement or was incomplete, as provided in section 13A09(e)(2) of the act.

(3) Otherwise intentionally violated the act, as provided in section 13A09(e)(3).

(4) Failed to comply with section 13A04, 13A05 or 13A07 of the act (relating to registration; reporting; and prohibited activities) after notice of noncompliance and after a hearing, if requested, as provided in section 13A09(d).

(c) For the limited purpose of the imposition of a prohibition against lobbying for economic consideration, the respondent shall be deemed to have been notified of noncompliance when served with both of the following:

(1) A findings report, notice of alleged noncompliance or other form of process which meets the requirements of section 13A09(a) of the act.

(2) A Commission order or court order finding the respondent in noncompliance with, or in violation of, the act.

(d) For the limited purpose of the imposition of a prohibition against lobbying for economic consideration, the respondent shall be deemed to have failed to comply after notice of alleged noncompliance if the respondent has not satisfied the requirements of the act within 30 days of the issuance of a Commission order or court order finding the respondent in noncompliance/violation, or within another time for compliance as specified by the order.

(e) The prohibition against lobbying for economic consideration will not be imposed unless the defendant/respondent has been afforded the opportunity for a hearing as to whether the prohibition should be imposed.

(f) At any time prior to a final determination by the Commission as to the imposition of a prohibition against lobbying for economic consideration, the Investigative Division of the Commission will have authority to negotiate settlements and to enter into settlement agreements to resolve matters under this chapter. Settlement agreements will be subject to review and approval by the Commission. Settlement agreements may include arrangements for deferral or termination of proceedings prior to any disposition, or terms for a disposition, including the duration of any prohibition against lobbying for economic consideration to be imposed under the act.

(g) The record of the underlying proceeding on violation/noncompliance, as well as relevant evidence of mitigating or aggravating factors, shall be admissible in a Commission proceeding involving the imposition of a prohibition against lobbying for economic consideration. At the hearing, the Commission will determine initially whether the defendant or respondent violated the act. If the Commission makes an initial determination that the defendant or respondent violated the act, the defendant/respondent may thereafter present argument regarding an appropriate penalty.

51 Pa. Code § 65.2 Procedures for imposing prohibition against lobbying for economic consideration.

(a) Giving consideration to the factors in subsection (b)(14), the Commission, through its Executive Director, may institute proceedings to seek the imposition of a prohibition against lobbying for economic consideration.

(b) The procedures for the imposition of a prohibition against lobbying for economic consideration will be as follows:

(1) The proceedings will be initiated with the Commission through the filing of a petition by the Investigative Division. The petition will be served upon the respondent by the Investigative Division.

(2) The petition will set forth the pertinent factual averments in numbered paragraph form, and will notify the respondent of the opportunity to file a written answer and to request a hearing in the matter. If the basis for the petition is the failure to comply with a Commission order, the petition will be docketed to the same number as the base case before the Commission. If the basis for the petition is the failure to comply with a court order, the petition will be docketed to the same number as the base case before the Commission if there was one, and if not, to a new number.

(3) An answer to the petition shall be filed (received at the Commission) within 30 days of service of the petition upon the respondent.

(4) An answer to the Investigative Division’s petition must specifically admit or deny each of the averments made in the petition, and set forth the facts and state concisely the matters of law upon which the respondent relies. Matters not specifically denied will be deemed admitted.

(5) Failure to file an answer within the 30-day period or the filing of general denials will be deemed an admission of the averments of the petition seeking the prohibition.

(6) A request by the respondent for a hearing must be in writing and be received at the Commission within 30 days of service of the petition upon the respondent. The Commission will schedule a hearing at least 30 days after the filing of an answer.

(i) A request for a hearing may be set forth within an answer to the petition or it may be submitted separately.

(ii) Failure to submit a timely request for a hearing will be deemed a waiver of a hearing, so that a final order may be entered against the respondent without a hearing.

(7) If the respondent does not submit a timely request for a hearing, the Investigative Division will have an additional 7 days beyond the respondent’s deadline in which to submit a written request for a hearing.

(8) The Commission may sua sponte schedule a hearing if it is determined that a hearing is needed to resolve contested facts to make a final determination.

(9) The Investigative Division of the Commission will give the respondent access to evidence intended to be used by the Investigative Division at the hearing, as well as exculpatory evidence obtained by the Investigative Division.

(10) Access to evidence does not include an original complaint or the name of a complainant, information which is otherwise privileged or information not within paragraph (9).

(11) A hearing under this chapter will be public and be conducted by the Commission in accordance with sections 1107(14) and 1108(e) of the Ethics Act (relating to powers and duties of commission; and investigations by commission), and to the extent applicable, the related provisions of Part I (relating to State Ethics Commission). The Investigative Division bears the burden of proof.

(12) The hearing officer or the parties may request that briefs be presented. The filing of briefs shall be in accordance with the procedures for filing briefs under § 21.27 (relating to briefs), to the extent applicable.

(13) After the opportunity for a hearing has been provided, and following the submission of briefs, the Commission will determine, based upon the record before it, whether and for how long a prohibition against lobbying for economic consideration is to be imposed against the respondent.

(i) If a lobbyist or person has been found to be in noncompliance or in violation of the act in a proceeding before the Commission, for which noncompliance or violation the penalty of prohibition against lobbying for economic consideration may be imposed, the finding of noncompliance or violation will be res judicata, and the Commission’s further determination will be limited to the amount of time, if any, that the lobbyist or person shall be prohibited from lobbying for economic consideration.

(ii) To the extent any factual matters remain to be proven, the matters will be proven by clear and convincing evidence.

(iii) A prohibition against lobbying for economic consideration may only be imposed by a vote of at least four members of the Commission present at a meeting.

(14) In determining whether and for how long a prohibition against lobbying for economic consideration is to be imposed against a respondent, the Commission may consider factors including the following:

(i) Whether the respondent contacted the Commission or took any meaningful measures to attempt to remedy the violation or failure to comply.

(ii) Whether the respondent has raised a justifiable excuse.

(iii) Whether the record establishes that the matter involved the first instance that the respondent was subject to the requirements of the act.

(iv) Whether other proceedings have been initiated against the respondent under the act, either by the Commission or by the Office of Attorney General.

(v) Whether there are other factors that should be considered as aggravating or mitigating factors in the case.

(15) The determination of the Commission will be in the form of a final order with findings and reasons for the adjudication.

(16) Requests for reconsideration may be submitted to the Commission. The Commission will consider and rule upon requests for reconsideration under the procedures in § 21.29(b) and (d)—(f) (relating to finality; reconsideration), to the extent applicable.

(17) The official record of the case, including a consent agreement, before the Commission will be publicly available.

(18) The files of the Investigative Division will not be publicly available.

(c) If a lobbyist or person is convicted in a criminal proceeding for a violation of the act for which the penalty of prohibition against lobbying for economic consideration may be imposed, the conviction will be res judicata, and the Commission’s determination will be limited to the amount of time, if any, that the lobbyist or person shall be prohibited from lobbying.

Chapter 67 Prohibited Activities.

51 Pa. Code § 67.1 Prohibited activities.

A list of prohibited activities and penalties can be found in section 13A07 of the act (relating to prohibited activities).

Chapter 69 Severability.

51 Pa. Code § 69.1 Severability.

If any provision or clause of this part or the application thereof to any person or circumstances is held invalid, the invalidity will not affect other provisions or applications of this part which can be given effect without the invalid provision or application, and to this end the provisions of this part are severable.