RULES AND REGULATIONS
Title 51--PUBLIC OFFICIALS
STATE ETHICS COMMISSION
[51 PA. CODE CHS. 17 AND 21]
Procedure
[31 Pa.B. 2925] The State Ethics Commission (SEC) amends Chapters 17 and 21 (relating to statements of financial interests, content; and investigations) to read as set forth in Annex A. The amendments are promulgated under the authority of 65 Pa.C.S. §§ 1101--1113 (relating to the Public Official and Employee Ethics Act) (act).
Notice of proposed rulemaking was published at 30 Pa.B. 3467 (July 8, 2000), with an invitation to submit written commentary within 30 days.
Purpose
These amendments are made in accordance with section 1107(1) of the act (relating to powers and duties of commission) which directs the SEC to promulgate rules and regulations necessary to carry out the provisions of the act.
The amendments implement the act which directs the SEC to administer the act to public officials, public employees, candidates for public office and other persons involved in an official capacity with the foregoing persons.
The amendments are promulgated to address three specific matters of concern. First, amendments are promulgated to insert general or cross references to Chapters 31 and 35 (relating to general provisions; and reporting) (lobbying disclosure regulations) to correspond with references appearing in that part. Second, the reporting thresholds in Chapter 17 are promulgated to conform with the existing statutory thresholds in section 1105(b) of the act (relating to statements of financial interests). Third, a new section on confidentiality is promulgated to be added to Chapter 21 which includes the eight statutory exceptions to confidentiality plus two additional exceptions. The two additional exceptions are promulgated under section 1108(k)(9) of the act (relating to investigations by commission) which authorizes the SEC to promulgate other exceptions to confidentiality as it may direct by regulation.
Summary
The amendments amend the reporting thresholds to conform with the existing statutory thresholds in section 1105(b) of the act and add a new section on confidentiality which includes the existing eight statutory exceptions to confidentiality plus two new additional exceptions.
Comments and Responses
Written comments and suggestions were received from the Executive Director of Pennsylvania State Association of Township Supervisors who proposed that the exceptions to confidentiality should be further defined and clarified.
A meeting on the commentary took place on December 18, 2001, attended by staff of the standing committees, Independent Regulatory Review Commission (IRRC)and staff of the SEC. The two exceptions to confidentiality were redrafted to narrow the scope of their application. The commentary was considered by the members of the SEC in a public meeting on February 27, 2001, wherein the SEC considered and accepted the modifications.
Affected Parties
These amendments will affect public officials, public employees, candidates and third parties who have involvement with the foregoing individuals.
Fiscal Impact and Paperwork Requirements
These amendments have no fiscal impact upon the Commonwealth.
Effective Date
The amendments will take effect upon final publication in the Pennsylvania Bulletin.
Sunset Date
The effectiveness of these regulations will be reviewed by the SEC periodically. Thus, no sunset date is necessary.
Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), the SEC submitted a copy of the notice of proposed rulemaking, published at 30 Pa.B. 3467 (July 8, 2000), to IRRC and the Chairpersons of the House Judiciary Committee and the Senate Committee on Rules and Executive Nominations for review and comment. The SEC received commentary from counsels for the Senate Majority Caucus and Senate Democratic Leader and then from IRRC.
On April 16, 2001, the SEC submitted the final-form regulations to the Office of Attorney General and IRRC. Approval as to form and legality was obtained from the Office of Attorney General on May 2, 2001. IRRC, at a public meeting on May 17, 2001, considered and approved the regulations.
Contact Person
The contact persons responsible for information on the SEC's process for adoption of the final-form regulations are John J. Contino, Executive Director, or Vincent J. Dopko, Chief Counsel, 309 Finance Building, P. O. Box 11470, Harrisburg, PA 17108-1470, (717) 783-1610.
Order
The SEC finds that the final-form regulations are necessary and appropriate for the administration and enforcement of the act. Acting under the authority of the act, the SEC orders that:
(a) The regulations of the SEC, 51 Pa. Code Chapters 17 and 21, are amended by adding § 17.11 to read as set forth at 30 Pa.B. 3467 and by amending §§ 17.3--17.6 and by adding § 21.6 to read as set forth in Annex A, with ellipses referring to the existing text of the regulations.
(b) The Executive Director of the SEC shall submit this order, 30 Pa.B. 3467 and Annex A to the Office of Attorney General for approval as to form and legality as required by law.
(c) The Executive Director of the SEC shall certify this order, 30 Pa.B. 3467 and Annex A and deposit them with the Legislative Reference Bureau as required by law.
(d) This order shall take effect upon publication in the Pennsylvania Bulletin.
DANEEN E. REESE,
Chairperson(Editor's Note: For the text of the order of the Independent Regulatory Review Commission, relating to this document, see 31 Pa.B. 2855 (June 2, 2001).)
Fiscal Note: Fiscal Note 63-7 remains valid for the final adoption of the subject regulations.
Annex A
TITLE 51. PUBLIC OFFICERS
PART I. STATE ETHICS COMMISSION
CHAPTER 17. STATEMENTS OF FINANCIAL INTERESTS, CONTENT § 17.3. Creditors.
(a) Each creditor to whom is owned 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.
* * * * * § 17.4. Income.
(a) The name and address of a direct or indirect source of income, including employers, in the aggregate of $11,300 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.
* * * * * § 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.
* * * * * § 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.
* * * * *
CHAPTER 21. INVESTIGATIONS § 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 proceed-ings regarding information that was already in their possession or the disclosure of their own statements.
[Pa.B. Doc. No. 01-984. Filed for public inspection June 8, 2001, 9:00 a.m.]
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