NOTICES

STATE ETHICS COMMISSION

Gaming Act List

[40 Pa.B. 2859]
[Saturday, May 29, 2010]

 Pursuant to Sections 1201(h)(14.1), 1512(a.5), and 1512.1(e) of the Pennsylvania Race Horse Development and Gaming Act (''Gaming Act''), 4 Pa.C.S. §§ 1201(h)(14.1), 1512(a.5), and 1512.1(e), the Pennsylvania State Ethics Commission (''Commission'') is required to biennially publish lists of the following:

 • All employment positions of the Pennsylvania Gaming Control Board with duties that would subject the individuals in those positions to the provisions of Section 1201(h)(13) of the Gaming Act (pertaining to post-employment restrictions);

 • All employment positions of independent contractors of the Pennsylvania Gaming Control Board with duties that would subject the individuals in those positions to the provisions of Section 1201(h)(13.1) of the Gaming Act (pertaining to restrictions following contract termination);

 • All State, county, municipal and other government positions that meet the definition of ''executive-level public employee'' as set forth in Section 1103 of the Gaming Act or the definition of ''public official'' as set forth in Section 1512(b) of the Gaming Act (pertaining to restrictions, requirements and penalties set forth in Sections 1512(a), (a.1), (a.2), (a.3), and (a.4) of the Gaming Act); and

 • All positions within the Pennsylvania State Police, the Office of Attorney General and the Pennsylvania Department of Revenue with duties that would subject the individuals in those positions to the provisions of Section 1512.1(a) of the Gaming Act (pertaining to post-employment restrictions).

 In accordance with the requirements of the Gaming Act, the lists are being published herewith in the PA Bulletin and on the website of the State Ethics Commission in the e-Library at http://www.ethics.state.pa.us.

 The aforesaid lists are based in part upon information provided to the Commission. The lists are subject to change and will be continually updated on the Commission's website.

 Status as an executive-level public employee or public official has significance under various provisions of the Gaming Act, including but not limited to Section 1512.

 A person who is an executive-level public employee or public official as defined by the Gaming Act, or who is a member of such a person's immediate family (spouse, minor child, or unemancipated child), is subject to significant restrictions and may be subject to penalties as set forth in Sections 1512(a), (a.1), (a.2), (a.3), and (a.4) of the Gaming Act.

 Positions identified on the list within the Gaming Control Board, the Office of Attorney General, the Pennsylvania State Police, and the Pennsylvania Department of Revenue may be subject to specific post employment restrictions as set forth in the Gaming Act.

 Employees of Independent Contractors serving in identified positions are subject to certain employment restrictions following termination of a contract with the PA Gaming Control Board.

JOHN J. CONTINO, Esq., 
Executive Director

THE GAMING ACT, AS MOST RECENTLY AMENDED BY ACT 1 OF 2010 DEFINES EXECUTIVE LEVEL PUBLIC EMPLOYEE AND PUBLIC OFFICIAL AS FOLLOWS:

 ''Executive-level public employee.'' The term shall include the following:

 (1) Deputy Secretaries of the Commonwealth and the Governor's Office executive staff.

 (2) An employee of the executive branch whose duties substantially involve licensing or enforcement under this part, who has discretionary power which may affect or influence the outcome of a Commonwealth agency's action or decision or who is involved in the development of regulations or policies relating to a licensed entity. The term shall include an employee with law enforcement authority.

 (3) An employee of a county or municipality with discretionary powers which may affect or influence the outcome of the county's or municipality's action or decision related to this part or who is involved in the development of law, regulation or policy relating to matters regulated under this part. The term shall include an employee with law enforcement authority.

 (4) An employee of a department, agency, board, commission, authority or other governmental body not included in paragraph (1), (2), or (3) with discretionary power which may affect or influence the outcome of the governmental body's action or decision related to this part or who is involved in the development of regulation or policy relating to matters regulated under this part. The term shall include an employee with law enforcement authority.

 ''Law enforcement authority.'' The power to conduct investigations of or to make arrests for criminal offenses.

 4 Pa.C.S. § 1103.

 ''Public official.'' The term shall include the following:

 (1) The Governor, Lieutenant Governor, a member of the Governor's cabinet, Treasurer, Auditor General and Attorney General of the Commonwealth.

 (2) A member of the Senate or House of Representatives of the Commonwealth.

 (3) An individual elected or appointed to any office of a county or municipality that directly receives a distribution of revenue under this part.

 (4) An individual elected or appointed to a department, agency, board, commission, authority or other governmental body not included in paragraph (1), (2) or (3) that directly receives a distribution of revenue under this part.

 (5) An individual elected or appointed to a department, agency, board, commission, authority, county, municipality or other governmental body not included in paragraph (1), (2) or (3) with discretionary power which may influence or affect the outcome of an action or decision and who is involved in the development of regulation or policy relating to a licensed entity or who is involved in other matters under this part.

 The term does not include a member of a school board or an individual who held an uncompensated office with a governmental body prior to January 1, 2006, and who no longer holds the office as of January 1, 2006. The term includes a member of an advisory board or commission which makes recommendations relating to a licensed facility.

 4 Pa.C.S. § 1512(b).

   

STATE GOVERNMENT TABLE OF CONTENTS

Aging
Agriculture
Attorney General
Auditor General
Banking
Commonwealth Financing Authority (DCED)
Corrections
Department of Community and Economic Development (DCED)
Department of Conservation and Natural Resources (DCNR)
Education (PDE)
Environmental Protection (DEP)
Executive Board
Executive Offices
Fish and Boat Commission
Game Commission
General Services (DGS)
Governor's Office
Governor's Office of the Budget
Health Department
House of Representatives
Independent Regulatory Review Commission
Insurance Department
Judiciary
Labor and Industry (L&I)
Lieutenant Governor's Office
Liquor Control Board (PLCB)
Military and Veterans' Affairs (DMVA)
PA Emergency Management Agency
PA Gaming Control Board
Independent Contractors of the PA Gaming Control Board
PA Higher Education Assistance Agency
Public Welfare (DPW)
Revenue
Senate
State Department
State Employees Retirement System (SERS)
State Ethics Commission
State Police (PSP)
Transportation (PennDOT)
Treasury Department

 GENERAL ASSEMBLY

Public Officials:

MEMBERS OF THE PA HOUSE OF REPRESENTATIVES

MEMBERS OF THE PA SENATE

Executive Level Public Employees:

The following positions are covered insofar as they have duties and responsibilities
relating to gaming issues or licensing:

House of Representatives:	Executive Director, Majority Gaming Oversight Committee
	Research Analyst, Majority Gaming Oversight Committee
	Legislative Assistant, Majority Gaming Oversight Committee
	Counsel, Republican Legal Department
	Research Analyst, Republican Gaming Oversight Committee
PA Senate:	Counsel (Majority) for Senate Community, Economic Development and Recreation Committee
	Executive Director (Majority) of Senate Community, Economic Development and Recreation Committee
	Executive Director (Minority) of Senate Community, Economic Development and Recreation Committee
	Counsel (Minority) for Senate Community, Economic Development and Recreation Committee

 PA JUDICIARY

Public Officials:

An individual elected or appointed to a Dept., Agency, Bd., Commission, Auth., or other governmental body that directly receives a distribution of revenue under the Gaming Law, an individual elected or appointed to a Dept., Agency, Bd., Comm., Auth., County Municipality, or other governmental body with discretionary power which may influence or affect the outcome of an action or decision AND who is involved in the development of regulation or policy relating to a licensed entity OR is involved in other matters under the Gaming Law.

 • Justices of the Supreme Court of Pennsylvania

 • Judges of the Superior Court of Pennsylvania

 • Judges of the Courts of Common Pleas for the following Pennsylvania counties:

Allegheny
Bucks
Carbon
Dauphin
Delaware
Erie
Lackawanna
Lebanon
Lehigh
Luzerne
Monroe
Northampton
Philadelphia
Pike
Washington
Wayne

 • All Judges of the Philadelphia Municipal Court

 • District Justices of the Pittsburgh Municipal Court

 • Magisterial District Judges that serve the following Magisterial Districts:

3-2-04	11-3-08
3-2-10	12-3-05
3-2-11	22-3-01
06-3-05	27-3-05
07-2-12	32-1-21
11-1-04	43-3-01
11-2-01	43-4-02
52-3-04

 STATE ETHICS COMMISSION

Biennially publish lists of: (1) all positions of employment with the Gaming Control Board or with independent contractors to the Board that are subject to certain ''revolving door/post-termination'' provisions within the Gaming Act; (2) all state, county, municipal and other government positions meeting the definitions of the terms ''public official'' or ''executive-level public employee'' set forth in the Gaming Act; and (3) all positions within the Pennsylvania State Police, the Office of Attorney General, and the Department of Revenue that are subject to certain ''revolving door/post-termination'' provisions within the Gaming Act; make a determination, upon request, as to whether a particular individual/person would be subject to various ''revolving door/post-termination'' provisions within the Gaming Act; determine whether to extend deadlines by which executive-level employees, public officials, party officers, or their immediate family members would be required to divest themselves of financial interests that they would be prohibited from holding under the Gaming Act; be available to consult with the Gaming Control Board upon request regarding the post-employment restrictions of the Gaming Act.

Public Officials:

COMMISSION MEMBERS

Executive Level Public Employees:

The following positions are covered insofar as they have duties and responsibilities
relating to gaming issues or licensing:

Executive Director
Deputy Executive Director/Director of Investigations
Chief Counsel
Assistant Counsels
Director for Administration

 PA GAMING CONTROL BOARD

Public Officials:

§ 1512 (b): ''Public Official'' (5) - An individual elected or appointed to a department, agency, board, commission, authority or other governmental body not included in paragraphs (1), (2), or (3) with discretionary power which may affect/influence the outcome of a governmental body's action or decision related to the Gaming Act AND who are involved in the development of regulation or policy relating to a licensed entity OR who are involved in other matters under the Gaming Act; and (6) members of any advisory board or commission that makes recommendations relating to a licensed facility.

GAMING CONTROL BOARD CHAIRPERSON

GAMING CONTROL BOARD MEMBERS

Executive Level Public Employees:

§ 1512 (b): ''Executive Level Public Employee'' (4) - An employee of a department agency, board, commission, authority or other governmental body not included in paragraphs (1), (2), or (3) with discretionary power which may affect or influence the outcome of the governmental body's action or decision and who is involved in the development of regulation or policy relating to a licensed entity or who is involved in other matters under this part.

Assistant Chief Counsel 1
Assistant Chief Counsel 2
Assistant Chief Counsel 3
Assistant Enforcement Counsel
Assistant Enforcement Counsel 2
Audit Manager
Auditor
Auditor/Financial Examiner
Casino Compliance Representative
Casino Compliance Senior Supervisor
Casino Compliance Supervisor
Chief Counsel
Chief Enforcement Counsel
Compliance Examiner
Compliance Manager
Deputy Chief Counsel
Deputy Chief Enforcement Counsel
Deputy Director Investigations and Enforcement
Deputy Director Regulatory Review
Director, Bureau of Gaming Laboratory
Director, Bureau of Licensing
Director, Casino Compliance
Director, Communications
Director, Compulsive and Problem Gambling
Director, Gaming Operations
Director, Office of Hearings and Appeals
Director, Racetrack Gaming
Director, Regulatory Review
Electronics Engineer
Executive Director
Financial Investigations Supervisor
Forensic Accountant
Gaming Operations Liaison
Hearing Officer
Interim Deputy Executive Director
Investigative Intake Manager
Investigator
Investigator Supervisor
Legislative Liaison
Licensing Manager
Manager, Gaming Laboratory
Regional Director, Investigations and Enforcement
Senior Auditor
Senior Counsel
Senior Hearing Officer
Statistician
Technical Field Representative

 PA GAMING CONTROL BOARD

Executive Level Public Employees:

§ 1201 (h)(13): Employee(s) whose duties substantially involve licensing, enforcement, development of law, promulgation of regulations, or development of policy, relating to gaming under this part or who has other discretionary authority which may affect or influence the outcome of an action, proceeding or decision under this part.

Assistant Chief Counsel 1
Assistant Chief Counsel 2
Assistant Chief Counsel 3
Assistant Enforcement Counsel
Assistant Enforcement Counsel 2
Audit Manager
Auditor
Auditor/Financial Examiner
Casino Compliance Representative
Casino Compliance Senior Supervisor
Casino Compliance Supervisor
Chief Counsel
Chief Enforcement Counsel
Compliance Examiner
Compliance Manager
Deputy Chief Counsel
Deputy Chief Enforcement Counsel
Deputy Director Investigations and Enforcement
Deputy Director Regulatory Review
Director, Bureau of Gaming Laboratory
Director, Bureau of Licensing
Director, Casino Compliance
Director, Communications
Director, Compulsive and Problem Gambling
Director, Gaming Operations
Director, Office of Hearings and Appeals
Director, Racetrack Gaming
Director, Regulatory Review
Electronics Engineer
Executive Director
Financial Investigations Supervisor
Forensic Accountant
Gaming Control Board Chairperson
Gaming Control Board Member
Gaming Operations Liaison
Hearing Officer
Interim Deputy Executive Director
Investigative Intake Manager
Investigator
Investigator Supervisor
Legislative Liaison
Licensing Analyst - Enterprise Unit
Licensing Manager
Manager, Gaming Laboratory
Regional Director, Investigations and Enforcement
Senior Auditor
Senior Counsel
Senior Hearing Officer
Statistician
Technical Field Representative

 PA GAMING CONTROL BOARD
 
INDEPENDENT CONTRACTORS

 The duties of the following independent contractor(s) doing business with the Pennsylvania Gaming Control Board, and the following employment positions with such independent contractor(s), substantially involve consultation relating to licensing, enforcement, development of law, promulgation of regulations or development of policy, relating to gaming under the Gaming Act. Inclusion on this list does not represent a disposition of all possible issues as to whether the restrictions of Section 13.1 of the Gaming Act would apply in a given instance:

1A.  Independent Contractor
KPMG, LLP
One Mellon Center
500 Grant Street
Pittsburgh, PA 15219

1B.  Employee Positions:
The identification of the positions will be determined per the terms and conditions of the contract, as required by the PA Gaming Control Board as said services are provided. To date, no services have been provided.

 OFFICE OF ATTORNEY GENERAL
Establish gaming unit within Attorney General's Office to investigate
and prosecute violations of the Gaming Act

Public Officials:

Position	Organizational Unit	Position Number	ID of Related Obj	Job ID	Job Code

Attorney General

AT Ex Off

237618

141000

3092500

392500

Executive Level Public Employees:

Position	Organizational Unit	Position Number	Job ID	Job Code

Chief Dep. Atty. Gen.	144200 AT Legal Review	1346	00993500	99350
Chief Dep. Atty. Gen.	147613 AT Org. Crime Sect.      Norristown	197624	00993500	99350
First Dep. Atty. Gen.	141000 AT Exec. Offices	237934	03092600	U9260
Spec. Agent 6 Oag	146050 AT Criminal Invest.	50263707	00997302	99732
Spec. Agent 5	146100 AT Bur. of Crim. Inv.	50273550	00997301	99731
Spec. Agent 3 Oag	147934 AT Gaming Enf. N.      Huntingdon	50331745	00997200	99720
Spec. Agent 2 Oag	147934 AT Gaming Enf. N.      Huntingdon	50331746	00997100	99710
Spec. Agent 2 Oag	147913 AT Gaming Enf. Norristown	50331747	00997100	99710
Spec. Agent 2 Oag	147913 AT Gaming Enf. Norristown	50331748	00997100	99710
Exec. Dep. Atty. Gen.	14600  AT Criminal Law Div.	50939	03092900	U9290
Dep. Atty. Gen. 4	144200 AT Legal Rev. Section	91713	00993300	99330

 

DEPARTMENT OF COMMUNITY AND ECONOMIC DEVELOPMENT
COMMONWEALTH FINANCING AUTHORITY

Receive gross revenue and/or local share assessments from licensed gaming entities, to be distributed to the Commonwealth Financing Agency or counties and municipalities containing licensed facilities for certain projects; administer PA Gaming Economic Development and Tourism Fund; receive information and submit reports to various individuals regarding distributions of local share assessments to counties and municipalities.

Public Officials:

SECRETARY OF DEPARTMENT OF COMMUNITY AND ECONOMIC DEVELOPMENT

Executive Level Public Employees:

The following positions are covered insofar as they have duties and responsibilities
relating to gaming issues or licensing:

Position Number	Organizational Unit	Job ID	Job Code	Position Name

00002478	00249400 CE Bus Fncng	03008603	U0863	Deputy Secretary Business Assistance
00004941	00247100 CE Chf Cnsl	03010207	U1027	Chief Counsel Ogc
00011960	00247321 CE Tourism Film and Ecnmc Dvpt Mrktg	03009009	U0909	Deputy Secretary Tourism Film and Economic Development Marketing
00017736	00249400 CE Bus Fncng	00159800	15980	Economic Development Analyst 2
00019096	00249400 CE Bus Fncng	00159800	15980	Economic Development Analyst 2
00033337	00249400 CE Bus Fncng	00159800	15980	Economic Development Analyst 2
00035288	00249421 CE Small Bus Fncng	00086400	08640	Administrative Officer 2
00037174	00249400 CE Bus Fncng	00086600	08660	Administrative Officer 4
00075035	00247100 CE Chf Cnsl	00071301	07131	Attorney 3 Non Supervisory Office of General Counsel
00083003	00249400 CE Bus Fncng	00160000	16000	Economic Development Analyst 1
00095249	00249400 CE Bus Fncng	00159800	15980	Economic Development Analyst 2
00108892	00249400 CE Bus Fncng	00160000	16000	Economic Development Analyst 1
00109491	00249400 CE Bus Fncng	00167700	16770	Director Center For Business Financing
00128972	00247100 CE Chf Cnsl	00071502	07152	Attorney 4 Supervisory Office of General Counsel
00216261	00246000 CE Dep Sec Ad	03008600	U0860	Deputy Secretary Administration Dced
00221859	00249400 CE Bus Fncng	00082600	08260	Executive Assistant
00232187	00247000 CE Ex Off	03008605	U0865	Executive Deputy Secretary Dced
00232191	00240050 CE Ctr for Lcl Govt	00168601	16861	Local Government Policy Manager
00232199	00246000 CE Dep Sec Ad	03000401	U0041	Acting Deputy Secretary
00232203	00240200 CE Cmy Rgnl Off Scrantn	00159800	15980	Economic Development Analyst 2

Position Number	Organizational Unit	Job ID	Job Code	Position Name

00232205	00240150 CE Ctr Loc Govt Phila	00168600	16860	Local Government Policy Specialist
00232206	00240500 CE Cmy Dvpt Rgnl Off Pgh	00163100	16310	Community Development Regional Director
00232209	00240250 CE Ctr Lcl Govt Scranton	00168600	16860	Local Government Policy Specialist
00232214	00240550 CE Ct Loc Govt Pgh	00168600	16860	Local Government Policy Specialist
00232228	00247004 CE Leg Aff	00072403	07243	Legislative Liaison 3
00232239	00240050 CE Ctr for Lcl Govt	00165407	16547	Deputy Director Local Government Center
00232259	00240050 CE Ctr for Lcl Govt	00168601	16861	Local Government Policy Manager
00232262	00240050 CE Ctr for Lcl Govt	00165406	16546	Ex Dir Governors Center Local Government Services
00238762	00247002 CE Plcy and Tchlgy	00168200	16820	Executive Policy Specialist 2
00241542	00247000 CE Ex Off	03000300	U0030	Department Head

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