PRINTER'S NO. 5
THE GENERAL ASSEMBLY OF PENNSYLVANIA
SENATE RESOLUTION
No.
5
Session of
2023
INTRODUCED BY L. WILLIAMS, JANUARY 3, 2023
INTRODUCED, JANUARY 3, 2023
A RESOLUTION
Adopting Ethical Conduct Rules of the Senate.
RESOLVED, That Ethical Conduct Rules of the Senate be adopted
for the governing of the 207th and 208th Regular Session.
2023-2024
ETHICAL CONDUCT RULES OF THE SENATE
Rule 1. Preliminary provisions.
As used in these rules, the following words and phrases shall
have the meanings given to them in this rule unless the context
clearly indicates otherwise:
"Campaign activity." An activity on behalf of a political
party, candidate, political committee or campaign, which is
intended to advance the interests of a specific party,
candidate, political committee or campaign for elective office,
including any of the following:
(1) Organizing a campaign meeting, campaign rally or
other campaign event, including a fundraiser where campaign
contributions are solicited or received.
(2) Preparing or completing responses to candidate
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questionnaires that are intended solely for campaign use.
(3) Preparing a campaign finance report.
(4) Conducting background research on a candidate.
(5) Preparing or conducting a campaign poll.
(6) Preparing, circulating or filing a candidate
nominating petition or papers.
(7) Participating in, preparing, reviewing or filing a
legal challenge to a nominating petition.
(8) Preparing, distributing or mailing any campaign
literature, campaign signs or other campaign material,
including television and radio ads, website construction, e-
mails, facsimiles and robocalls, on behalf of any candidate
for elective office.
(9) Managing a campaign for elective office.
(10) Participating in, preparing, reviewing or filing
any documents in any recount, challenge or contest of any
election.
(11) Posting campaign-related information on a website,
including social media websites or other electronic media
websites.
"Campaign contribution." A monetary or in-kind contribution
made to an electoral candidate campaign.
"Candidate." As defined in section 1621 of the act of June
3, 1937 (P.L.1333, No.320), known as the Pennsylvania Election
Code.
"Cash gift."
(1) Any of the following:
(i) United States or foreign currency.
(ii) A money order.
(iii) A check.
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(iv) A prepaid debit or credit card.
(v) A gift card or certificate.
(2) The term does not include:
(i) An expenditure or other transaction subject to
reporting under Article XVI of the act of June 3, 1937
(P.L.1333, No.320), known as the Pennsylvania Election
Code.
(ii) A commercial loan made in the ordinary course
of business.
(iii) A transaction involving reasonable
consideration of equal or greater value.
(iv) A cash gift from a parent, sibling, spouse,
child, stepchild, stepparent, stepsibling, grandparent,
grandchild, parent-in-law, sibling-in-law or other close
relative when the circumstances make it clear that the
motivation for the action was a personal or family
relationship.
(v) A cash gift available to the public or offered
to members of a group or class in which membership is not
related to being a Senator or Senate employee.
(vi) An award or prize given to competitors in any
contest or event open to the public, including random
drawings.
"Commercial loan made in the ordinary course of business." A
loan from a bank or other financial institution on terms
generally available to the public.
"De minimis." An economic consequence which has an
insignificant effect.
"Lobbyist." Any individual, firm, association, corporation,
partnership, business trust or other entity that is registered
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as a lobbyist under 65 Pa.C.S. Ch. 13A (relating to lobbying
disclosure).
"Newsletter." A printed document more than one page in
length that addresses more than one subject and is printed in
quantities of 25,000 copies or more.
"Official action." An administrative action or legislative
action, as those terms are defined in 65 Pa.C.S. § 13A03
(relating to definitions).
"Official Senate contact lists." Any list containing
individuals, companies or vendors, including names, addresses,
telephone numbers or e-mail addresses that are procured,
compiled, maintained or produced with Senate funds.
"Own time." A Senate employee's time that is distinct from
Senate work time and includes all leave.
"Principal." Any individual, association, corporation,
partnership, business trust or other entity that is registered
as a principal under 65 Pa.C.S. Ch. 13A.
"Senate employee." A person employed by the Senate,
including the Chief Clerk and the Secretary of the Senate.
"Senate employee in a supervisory position." A Senate
employee who has a general supervisory role within: a caucus; an
individual Senator's office; or a Senate services office.
"Senate office." All Senate offices and Senate conference or
meeting rooms located in the Capitol complex or any similar
space contained within a district office.
"Senate resources." Senate-owned or Senate-leased equipment
including telephones, computer hardware or software, copiers,
scanners, fax machines, file cabinets or other office furniture,
cell phones, personal digital assistants or similar electronic
devices and office supplies.
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"Senate work time." Publicly paid work time consisting in
the aggregate of 75 hours every two weeks for full-time
employees and a lesser amount of publicly paid hours every two
weeks for part-time employees.
"Senator." A person elected to serve in the Pennsylvania
Senate from each of the fifty Senatorial districts.
Rule 2. Practice.
(a) Work time.--No campaign activity may be conducted by a
Senate employee on Senate work time. The following shall apply:
(1) Senate employees are permitted to engage in campaign
activities on their own time, as volunteers or for pay.
(2) Senate employees may work irregular hours often
depending upon the time the Senate is in session. As a
result, a staffer's own time can occur during what may be
considered "normal" business hours.
(3) Sick leave, family and medical leave, work-related
disability leave, parental leave, short-term disability
leave, civil leave or military leave cannot be requested by a
Senate employee to perform campaign activities.
(4) No Senate employee may be allowed any amount of
Senate work time for time spent doing campaign activities.
(5) Senate employees, with the permission of their
employing Senator, may reduce their Senate hours with a
commensurate reduction in pay (and benefits, as required) to
perform campaign activities. These arrangements must be
memorialized in writing and filed with the Chief Clerk.
(6) Any Senate employee who has reduced his or her
Senate hours to perform campaign activities shall keep a
daily written log outlining Senate hours and related work
responsibilities.
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(b) Office and resources.--No campaign activity may be
conducted by a Senator or a Senate employee in a Senate office
or with Senate resources.
(1) De minimis campaign activities may be unavoidable
for a Senator or Senate employee in the course of their
official duties. Examples include the following:
(i) In responding to inquiries from the public, a
Senator or a Senate employee may need to address
questions that relate to a Senator's or other candidate's
campaign for elective office or a related legislative
record.
(ii) Scheduling assistance and information from the
Senator or a Senate employee may be provided to ensure
that no conflict occurs among the Senator's campaign
schedule, official schedule and personal schedule.
(iii) Engaging in political conversation in the
natural course of personal communication.
(2) Unsolicited campaign-related communication on a
personally owned cell phone, personal digital assistant or
similar electronic device may occur on a de minimis basis in
a Senate office but may not interfere with Senate work time.
(3) A Senator's official Senate website, social media
website or other electronic media website shall not contain a
link to a campaign website for any candidate. A Senator's
campaign website shall not contain a link to his or her
official Senate website. A Senate employee who is on Senate
work time and using Senate resources may post legislative
materials, media advisories, news releases and announcements
on a social media website or other electronic media website,
which is not a campaign website for any candidate, even if
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campaign-related information also exists on such a website. A
Senate employee who is on his or her own time and using
personal resources may post material involving or referring
to campaign activity on a social media website or other
electronic media website.
(c) Contributions.--The solicitation or receipt of campaign
contributions on Senate work time or with Senate resources is
prohibited.
(1) Solicitation or receipt of campaign contributions in
a Senate office or with Senate resources is prohibited at any
and all times.
(2) If an unsolicited contribution is sent to a Senate
office through the mail or in an unidentifiable form, the
employee who receives it shall turn it over to the campaign
within no more than seven days and immediately notify the
donor that campaign contributions should not be received at a
Senate office.
(3) No Senate employee may serve as an officer on a
campaign committee or a campaign finance committee on behalf
of any Senator, Senate candidate or Senate caucus.
(4) A Senate employee may help plan and may provide
assistance at a campaign event on his or her own time.
(d) Employees.--No Senate employee may be required to
perform any campaign activity or make any campaign contribution.
(1) No Senator, no Senate employee acting on the
Senator's behalf and no Senate employee in a supervisory
position may require a Senate employee to perform any
campaign activity on Senate work time or on the employee's
own time as a condition of employment.
(2) No Senator, no Senate employee acting on the
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Senator's behalf and no Senate employee in a supervisory
position may require any Senate employee to make a campaign
contribution as a condition of employment.
(3) A Senate employee who agrees or offers to
participate in any campaign activity on his or her own time
or who makes a campaign contribution may not do so in
consideration of receiving any additional Senate compensation
or employee benefit in the form of a salary adjustment,
bonus, compensatory time off, continued employment or any
other similar benefit.
(4) A Senate employee who declines to participate in a
campaign activity or to make a campaign contribution shall
not be sanctioned for that refusal.
(e) Newsletters.--No Senate-funded newsletter may be printed
or distributed within 60 days of the primary or general election
at which any Senate member is a candidate for the office of
Senate or any other elective office.
(1) This subsection shall apply to newsletters printed
by the Senate or by an outside vendor paid for with public
funds.
(2) The Chief Clerk of the Senate may not authorize the
reimbursement or payment of any money expended for print,
distribution or postage incurred after the 60-day deadline.
(3) Senators who are candidates for the office of the
Senate or any other elective office shall submit to the
Secretary of the Senate a final proof copy of any newsletters
no less than 90 days prior to the next occurring primary or
general election.
(f) Official Senate contact lists.--Official Senate contact
lists shall be used solely for legislative purposes.
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(1) Official Senate contact lists shall not be provided
to any candidate, political party, political committee,
campaign or campaign committee or used for any campaign
purpose.
(2) Senate time and resources shall not be used to
create, store or maintain any list that identifies the listed
individuals as campaign volunteers or contributors to any
candidate, political party, political committee, campaign or
campaign committee.
(3) No list may be developed by a Senator or a Senate
employee using Senate time and resources for the purpose of
monitoring or tracking campaign activity or campaign
contributions of any Senate employee.
(4) Official Senate contact lists may be purchased at
fair market value from a private source with Senate funds if
the lists are used solely for legislative purposes. An
official Senate contact list that is so acquired may not be
used or redirected in the same or a modified form for
campaign purposes.
(g) Non-work-related tasks.--No Senate employee may be
required to perform any non-work-related task.
(1) No Senator, no Senate employee acting on the
Senator's behalf and no Senate employee in a supervisory
position may require a Senate employee to perform tasks
unrelated to the Senate employee's official duties as a
condition of employment.
(2) An employee who agrees or offers to perform a task
unrelated to that person's official duties on his or her own
time may not do so in consideration of receiving any
additional State Senate compensation or employee benefit in
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the form of a salary adjustment, bonus, compensatory time
off, continued employment or any other public benefit.
(3) An employee who refuses to perform a task unrelated
to that person's official duties cannot be sanctioned for
that refusal.
(h) Cash gifts.--No Senator or Senate employee shall accept
or solicit a cash gift from any of the following:
(1) A lobbyist or principal.
(2) A person that is seeking official action from the
Senator or Senate employee.
Rule 3 Professional conduct.
(a) Prohibitions.--No member or officer of the Senate shall
do any of the following:
(1) Use the submission to or rejection by a Senate
employee of conduct constituting sexual harassment as a basis
for an employment decision affecting the employee.
(2) Make submission to conduct constituting sexual
harassment, either explicitly or implicitly, a term or
condition of a Senate employee's employment.
(3) Engage in conduct constituting sexual harassment
that is so frequent or severe that it creates a hostile or
offensive work environment for a Senate employee or another
member or officer of the Senate.
(4) Engage in sexual harassment while performing Senate-
related services or duties or in or on any Senate owned or
leased property or facilities.
(b) Retaliation.--No member or officer of the Senate shall
retaliate against a Senate employee or another member or officer
of the Senate in response to any of the following actions taken
in good faith:
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(1) Filing:
(i) A complaint of sexual harassment under Rules of
the Senate or the policies and procedures of an employer.
(ii) A charge of sex discrimination relating to
sexual harassment with a government agency or commission
charged with enforcing laws relating to sex
discrimination.
(iii) A civil action relating to sexual harassment
in a court of competent jurisdiction.
(iv) A criminal complaint relating to sexual
harassment with a law enforcement agency.
(2) Participating in an investigation in connection with
or proceedings resulting from the filing of a complaint or
proceeding under paragraph (1).
(c) Construction.--Nothing under subsection (b) shall be
construed to prevent action against a member or officer of the
Senate who is the subject of a complaint or proceeding related
to sexual harassment.
Rule 4. Committee on Ethics.
The following shall apply to the Committee on Ethics:
(1) The Committee shall consist of eight members, four
of whom shall be members of the majority party appointed by
the President Pro Tempore, and four of whom shall be members
of the minority party appointed by the Minority Leader. From
the members appointed to the Committee, the President Pro
Tempore shall appoint a chair, vice-chair and secretary for
the Committee. The chair shall be a member of the majority
party, and the vice chair shall be a member of the minority
party.
(2) The members of the Committee shall first meet upon
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the call of the chair and perfect its organization. A
majority of the Committee shall constitute a quorum for it to
proceed to business. Unless otherwise provided in this rule,
a majority of the Committee shall be required to take any
action authorized by this rule. The Committee shall have the
power to promulgate rules not inconsistent with this rule or
Rules of the Senate that may be necessary for the orderly
conduct of its business.
(3) The chair of the Committee shall notify all members
of the Committee at least 24 hours in advance of the date,
time and place of meetings and, insofar as possible, the
subjects on the agenda. Meetings may be called from time to
time by the chair of the Committee as the chair deems
necessary. A member of the Committee may request that the
chair call a meeting for a specific purpose. If the chair
refuses to call a meeting upon such request, a majority of
the Committee may vote to call a meeting by giving two days'
written notice to the President Pro Tempore setting forth the
time and place for such meeting. Such notice shall be read in
the Senate and posted in the Senate Chamber by the Secretary
of the Senate or a designee. Thereafter, the meeting shall be
held at the time and place specified in such notice.
(4) The Committee shall not continue to exist after sine
die adjournment of the General Assembly. Proceedings on
matters before the Committee that have not been concluded or
disposed of by sine die adjournment of the General Assembly
shall cease on such date and all documents, reports,
communications, transcripts and other materials compiled by
the Committee for such matters, as well as any communications
or other materials received by the Committee after sine die
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adjournment of the General Assembly, shall be collected,
organized and submitted to the Secretary of the Senate under
seal for transition to the reconstituted Committee consisting
of members appointed from the incoming General Assembly.
These materials shall be held in a secure manner and nothing
in this rule shall authorize the Secretary of the Senate or
any other person to view such materials. Within 30 days
following the reconstitution of the Committee in the next
succeeding legislative term, the Committee shall review such
materials and determine whether or not to proceed with one or
more of the matters under review by the former Committee or
received after sine die adjournment. Any time period required
for any actions of the Committee or others under this rule
shall be tolled until the reconstituted Committee has made a
determination whether or not to proceed. If the Committee
determines to proceed with a matter, the Committee shall, if
applicable, continue from the stage in the consideration of
the matter where the former Committee ended.
(5) The Committee shall compile, update and distribute a
members' Handbook on Ethics for members and Senate Employees
on matters regarding the ethical conduct of their legislative
duties. Each member shall complete two hours of ethics
education and training and one hour of sexual harassment and
discrimination in the workplace education and training each
legislative term. A member shall be excused from one hour of
ethics training for any full year the member was absent due
to illness, injury, military service or any other permissible
excuse approved by the Senate pursuant to its rules. The
Committee shall be responsible for planning and offering the
education and training programs.
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(6) The Committee shall issue to a member upon the
member's request an advisory opinion regarding the member's
duties under Rule 2. The opinion shall be issued within 14
days following the request. No member who acts in good faith
on an opinion issued under this paragraph shall be subject to
any sanctions for so acting if the material facts are as
stated in the request. Opinions issued under this paragraph
shall be public records and may from time to time be
published.
(7) Notwithstanding the foregoing, the member requesting
the opinion may request that an opinion undergo deletions and
changes necessary to protect the identity of the persons
involved, and the Committee shall make such deletions and
changes.
(8) The Committee may issue other advisory opinions with
regard to questions pertaining to other legislative ethics or
decorum at the request of a member or Senate employee. An
opinion issued under this paragraph shall be confidential and
shall apply exclusively to the requestor. No requestor who
acts in good faith on an opinion issued under this paragraph
shall be subject to any sanctions for acting in accordance
with the opinion if the material facts are as stated in the
request.
(9) The Committee may receive complaints against
members, officers and employees of the Senate alleging
unethical conduct under the Legislative Code of Ethics or the
Rules of the Senate, including for violations of Rule 3. A
complaint must be in writing and be signed by the person
filing the complaint under penalty of law under 18 Pa.C.S. §
4904 (relating to unsworn falsification to authorities). The
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complaint must set forth in detail the actions constituting
the alleged unethical conduct or violation. No person shall
disclose or acknowledge to any other person any information
relating to the filing of a complaint or the proposed filing
of a complaint, except as otherwise authorized under this
rule or Rule 3, for the purpose of seeking legal advice, as
otherwise required by law or to carry out a function of the
Committee.
(10) The Committee shall not have jurisdiction over,
shall not accept for review or action and shall return to the
complainant with a notice explaining the Committee's lack of
jurisdiction any of the following:
(i) a complaint filed later than five years
following the occurrence of the alleged unethical conduct
or violation; or
(ii) a complaint filed against a former member or
former Senate employee unless required by Section 7(c) of
the Legislative Code of Ethics.
(11) Within 30 days following receipt of a complaint
over which the Committee has jurisdiction under this rule,
the Committee shall do one of the following:
(i) dismiss the complaint, with notice explaining
the basis for the Committee's dismissal, if it:
(A) alleges facts that do not constitute
unethical conduct or a violation of Rule 3;
(B) is objectively baseless;
(C) is insufficient as to form;
(D) is a frivolous complaint; or
(ii) initiate a preliminary investigation of the
alleged unethical conduct or violation.
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(12) If the Committee initiates a preliminary
investigation, it shall, promptly upon voting to proceed,
send the subject a letter setting forth each allegation in
the complaint. Within 15 days after receipt of the letter,
the subject may file a written response with the Committee.
Failure of the subject to file a response shall not be deemed
to be an admission, or create an inference or presumption,
that the allegations in the complaint are true, and such
failure shall not prohibit the Committee from either
proceeding with the preliminary or a formal investigation or
dismissing the complaint. The Committee may engage an
independent counsel to assist in a preliminary investigation.
The subject may be represented by counsel of the subject's
choosing at any point during an investigation under this
rule.
(13) If the Committee initiates a preliminary
investigation of a complaint of a violation under Rule 3, it
shall also send to the appropriate employer a copy of the
letter sent to the subject setting forth each allegation in
the complaint. Upon the request of the complainant, the
employer shall make adjustments to the complainant's work
hours, assignment or duties or location that may be
appropriate under the circumstances of the allegations in the
complaint. The adjustments may include:
(i) removing the complainant or the subject from the
physical work location of the complainant;
(ii) allowing the complainant to be placed on
administrative leave with continued pay and benefits, if
applicable; or
(iii) any other reasonable accommodation agreed to
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by the employer and the complainant.
(14) The employer shall keep the letter and the fact of
the initiation of a preliminary investigation confidential
but may disclose necessary information to members, officers
of the Senate or Senate employees as needed in order to
implement the foregoing adjustments. No Senate employee shall
retaliate or take adverse actions against the complainant in
response to the filing of a complaint of a violation of Rule
3 with the Committee.
(15) A member of the Committee who is the complainant,
the subject or a witness to the unethical conduct or
violation alleged in a complaint shall not participate in any
Committee consideration of the complaint. The member shall be
temporarily replaced on the Committee in a like manner as his
or her original appointment.
(16) Within 30 days following the initiation of a
preliminary investigation, the Committee shall vote to
dismiss the complaint for lack of probable cause to support
the alleged unethical conduct or violation or to proceed with
a formal investigation because it finds that probable cause
exists. If a majority of the Committee is unable to agree on
either course of action, the Committee shall dismiss the
complaint. The Committee shall promptly notify the subject in
writing of the result.
(17) If the Committee votes to proceed with a formal
investigation, the Committee shall engage an independent
counsel unless the Committee determines that the alleged
unethical conduct or violation raised in the complaint does
not warrant the expense of engaging an independent counsel.
If the Committee does not engage an independent counsel, the
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Committee shall be represented in the investigation and any
hearing conducted under this rule by Committee staff
attorneys, including at least one from each party.
(18) The Committee, including Committee staff attorneys,
and any independent counsel engaged by the Committee shall
have the power to conduct investigations and hearings under
the guidelines set out in this rule.
(19) Where a provision of this rule conflicts with
another Rule of the Senate, the provision of this rule shall
govern.
(20) This rule shall be construed to empower the
Committee and its independent counsel to do all of the
following:
(i) act as a neutral fact-finder;
(ii) protect due process and other constitutional
rights of a subject;
(iii) fully investigate and deter unethical conduct
or violation of Rule 3; and
(iv) protect the public trust.
(21) The Chief Clerk shall pay the fees and expenses of
an Independent Counsel engaged by the Committee under this
rule.
(22) The Committee may issue subpoenas for documents or
testimony as part of a preliminary investigation, a formal
investigation or in connection with a hearing before the
Committee. Notwithstanding the provision of any other Rule of
the Senate, subpoenas issued under this rule shall be in the
name of the Committee, shall be signed by the chair of the
Committee and shall be attested by another member of the
Committee who voted in favor of authorizing the subpoena.
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(23) A subpoena issued by the Committee may be served
upon any person and shall have the force and effect of a
subpoena issued out of the courts of this Commonwealth.
Subpoenas shall be served by the Sergeant-at-Arms of the
Senate or another person designated by the Committee when
directed to do so by the Committee. Each subpoena shall be
addressed to the witness and shall state that such proceeding
is before a Committee of the Senate for which the witness is
required to attend and testify at a specified time and place;
or to produce books, papers, records, accounts, reports,
documents and data and information produced and stored by any
electronic data processing system; or both, as the Committee
may also require. Mileage and witness fees shall be paid by
the Senate to such witness in an amount prescribed by law.
Unless addressed to and served on the subject, a copy of a
subpoena issued by the Committee shall be provided to the
subject and the subject's counsel, if applicable. A person
who willfully neglects or refuses to comply with a subpoena
issued by the Committee shall be subject to the penalties
provided by the laws of this Commonwealth with respect to
such willful neglect or refusal. Notwithstanding the
foregoing, a recipient of a subpoena issued by the Committee
may object to the subpoena by serving notice of such
objection on the signatory to the subpoena and the Committee.
The Committee may quash or modify the subpoena if it finds
the subpoena to be overly broad or without proper purpose.
Each member of the Committee shall have the power to
administer oaths and affirmations to witnesses appearing
before the Committee.
(24) All subpoenaed books, papers, records, accounts,
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reports, documents, data and information shall be returned to
the person from whom such material was subpoenaed when the
Committee has completed its examination of such material, but
in no event later than the date of final disposition of the
matter.
(25) Following the completion of a formal investigation,
the Committee shall conduct a hearing if:
(i) the independent counsel engaged by the Committee
recommends that a hearing be conducted and the Committee
votes to adopt the recommendation; or
(ii) an independent counsel was not engaged by the
Committee but the Committee finds that the testimony and
documents reviewed by the Committee during the formal
investigation indicates more likely than not that the
unethical conduct or violation alleged in the complaint
occurred.
(26) If a hearing is to be conducted, the Committee
shall provide the subject and the subject's counsel, if
applicable, with written notice consistent with
constitutional principles of due process. The Pennsylvania
Rules of Evidence shall apply during the hearing, unless the
Committee determines otherwise. Notwithstanding the
foregoing, the Committee may not infringe on the right of the
subject to present evidence, cross-examine witnesses, face
his or her accuser and be represented by counsel at a hearing
conducted under this rule.
(27) Witnesses called to appear at a hearing under this
rule, including a subject, may be accompanied by his or her
own counsel for the purpose of advising him or her concerning
his or her constitutional rights. Counsel may interpose legal
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objection to any and all questions which in the opinion of
counsel may violate the constitutional rights of his or her
clients.
(28) The proceedings of a hearing conducted under this
rule shall be either stenographically or electronically
recorded. The Committee shall determine which parts of such
recorded proceedings, if any, shall be transcribed.
(29) The burden shall be on the independent counsel, if
one has been engaged by the Committee, or the Committee staff
attorneys, if an independent counsel has not been engaged, to
prove, by clear and convincing evidence, that the unethical
conduct or violation alleged in the complaint occurred.
Within 30 days following the conclusion of the formal
investigation and hearing, the Committee shall make a
determination as to whether the burden was met and shall
submit its finding to the Senate. If the Committee finds that
the burden was met, the Committee may make one or more of the
following recommendations to the Senate:
(i) a reprimand of the subject;
(ii) a censure of the subject;
(iii) expulsion of the subject from the Senate; or
(iv) the denial or limitation of any right, power or
privilege of the member granted by Rules of the Senate
and not contrary to the Pennsylvania Constitution.
(30) The Committee shall provide a written report of its
findings and recommendations, if any, to the subject and
shall simultaneously submit a copy of the same to the Senate.
Only findings and recommendations agreed to by a majority of
the Committee shall be included in the report. The report may
include a minority report. The Senate shall not take any
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action on the findings and recommendations submitted by the
Committee and shall not make such findings and
recommendations public until a period of at least seven days
has passed following the Committee's provision of the report
to the subject.
(31) The Committee may extend any of the time periods,
other than those relating to the jurisdiction of the
Committee, required for any actions of the Committee or
others under this rule.
(32) The Committee shall maintain the confidentiality of
all complaints and complaint-related proceedings and actions,
except as provided in this rule. The Committee may disclose
complaint data, including the number of complaints received
and dispositions on complaints in the aggregate without
identifying information regarding the complainant or the
accused. The Committee shall maintain the confidentiality of
all investigations, hearings and meetings of the Committee
relating to an investigation and the existence of such
investigations, hearings, and meetings. A majority of the
members of the Committee may vote to suspend the
confidentiality provisions in this rule in whole or in part
if information regarding a complaint or an investigation has
been entered into the public domain by someone other than a
member of the Committee and the Committee determines that it
is in the best interest of the Committee to address public
inquiry or information on the complaint or investigation. In
this case, the Committee may disclose whether a complaint has
been filed, the disposition or status of action on the
complaint and other information as the Committee may
determine is appropriate under the circumstances. All other
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meetings of the Committee shall be open to the public. Any
member of the Committee breaching the confidentiality
provisions specified in this rule shall be removed
immediately from the Committee and replaced by another member
in a like manner as his or her original appointment.
(33) Meetings and hearings held related to the
investigation of a complaint shall be in the nature of
executive session and shall not be open to the public. All
other meetings of the Committee shall be open to the public.
(34) Notwithstanding the above, except for a hearing on
complaints of a violation of Rule 3, the Committee shall
conduct a hearing in public upon the written request of the
subject unless the Committee determines that evidence or
testimony to be received at the hearing may substantially
defame, degrade, or incriminate a person other than the
subject. In that event, the Committee shall receive such
evidence or testimony in executive session. No evidence or
testimony taken in executive session may be released to any
person or authority or used in public sessions without the
consent of the Committee.
(35) The Committee may enter into a consent agreement
with the subject at any point in the proceedings. The
Committee may make an appropriate referral of a complaint to
a law enforcement agency at any point in the proceedings.
(36) The complaint, response and records of the
Committee shall be confidential. Notwithstanding the
foregoing:
(i) consent agreements and final findings by the
Committee of unethical conduct and the Committee's
recommendations with respect to such findings shall not
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be confidential;
(ii) consent agreements and final findings by the
Committee of a violation of Rule 3 shall not be
confidential, except that at the request of a
complainant, the name of the complainant and, unless the
Senate considers a resolution to discipline the subject,
any facts that may lead to the identification of the
complainant, including the name of the subject, shall be
redacted before an agreement or final findings of the
Committee are made public;
(iii) the subject may, in his or her discretion,
make public a finding by the Committee that no unethical
conduct or violation of Rule 3 had occurred or that there
was insufficient evidence presented to the Committee that
unethical conduct or a violation of Rule 3 had occurred,
except that the subject shall not make public the name of
a complainant who filed a complaint alleging a violation
of Rule 3; and
(iv) if the Committee makes a referral of a
complaint to a law enforcement agency, the Committee may
provide the agency with copies of documents and
information in its possession.
(37) Any member of the Committee breaching the
confidentiality provisions set forth in this rule shall be
removed immediately from the Committee and replaced by
another member in a like manner as his or her original
appointment.
(38) A nondisclosure agreement shall not be imposed on
an individual as a condition of the initiation of the
procedures available under this rule for the filing and
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hearing of a complaint of a violation of Rule 3.
(39) Nothing in this paragraph shall be construed to
prohibit the complainant and the subject from voluntarily
entering into a settlement agreement with a nondisclosure
provision agreed to by each party as part of the settlement
of a complaint or proceeding. Notwithstanding the foregoing,
a member who is the subject of a complaint of a violation of
Rule 3 filed with the Committee shall not benefit from a
nondisclosure agreement or provision if a completed formal
investigation of the Committee finds that the complaint is
credible or a final decision by the Committee finds a
violation.
(40) The Committee may meet with a committee of the
House to hold investigations or hearings involving complaints
against employees of the two chambers jointly or officers or
employees of the Legislative Reference Bureau, the Joint
State Government Commission, the Local Government Commission,
the Legislative Budget and Finance Committee, the Legislative
Data Processing Committee or other legislative service
agencies. No action may be taken at a joint meeting unless it
is approved by the Committee. A member of the Committee who
is the complainant, the subject or a witness to the unethical
conduct or violation of Rule 3 alleged in a complaint under
this paragraph shall not participate in any joint proceedings
under this paragraph. The member shall be temporarily
replaced on the Committee in a like manner as his or her
original appointment.
Rule 5. Enforcement.
(a) Standardized process.--There shall be a standardized
process for reporting any alleged violation of these rules.
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(1) A Senator, an employee or other complainant who
becomes aware of a violation of these rules should report the
violation to any of the following:
(i) A Senator.
(ii) The President Pro Tempore, or an appropriate
designee.
(iii) The Majority Leader of the Senate, or an
appropriate designee.
(iv) The Minority Leader of the Senate, or an
appropriate designee.
(v) The employee's supervisor.
(vi) The Secretary of the Senate.
(2) A verbal report by an employee or other complainant
is acceptable but must be followed up with a written
statement that includes the date, time and place, names of
possible witnesses and the nature of the ethical conduct
violation. The written statement must be signed by the
employee or other complainant.
(3) Upon receipt of the written statement pursuant to
paragraph (2), the person to whom the violation is reported
as provided in paragraph (1) shall forward a copy of the
written statement within five business days to the Secretary
of the Senate or the Chief Clerk if the alleged violation
involves the Secretary of the Senate or a person in the
Secretary of the Senate's Office.
(4) A report of a possible violation of these rules must
be filed within five years of the alleged conduct.
(b) Inquiry.--An inquiry and review of all properly
submitted reports regarding an alleged violation of these rules
shall be conducted.
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(1) The Secretary of the Senate shall conduct a
preliminary inquiry of any written statement forwarded under
subsection (a)(3). The subject of the report shall be
notified within five business days by the Secretary of the
Senate that a written statement has been forwarded to the
Secretary's office under subsection (a)(3). The Secretary of
the Senate shall also notify the President Pro Tempore, the
Majority Leader and the Minority Leader within five business
days that a written statement has been forwarded to the
Secretary's office under subsection (a)(3). The Secretary of
the Senate shall have 14 business days from the date of those
notifications to complete a preliminary inquiry and determine
whether there is more than a de minimis violation of these
rules and whether there is a satisfactory basis for the
initiation of a formal investigation and shall report that
recommendation to the President Pro Tempore, the Majority
Leader and the Minority Leader. If the Secretary of the
Senate or a person in the Secretary of the Senate's office is
the subject of an alleged violation, the responsibilities
under this subsection shall be performed by the Chief Clerk
of the Senate.
(2) After receiving a recommendation from the Secretary
of the Senate under paragraph (1) that a formal investigation
is warranted, if the subject is a Senator, the President Pro
Tempore, the Majority Leader and the Minority Leader shall
proceed to refer the report to the Senate Committee on Ethics
for an investigation by that committee in accordance with
Rule 34 of the Rules of the Senate of Pennsylvania. The
provisions of Rule 34 of the Rules of the Senate of
Pennsylvania shall exclusively govern and apply in their
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entirety to any further proceeding involving a Senator under
this rule.
(3) After receiving a recommendation from the Secretary
of the Senate under paragraph (1) that a formal investigation
is warranted, if the subject is a Senate employee, the
President Pro Tempore, the Majority Leader and the Minority
Leader shall proceed to obtain the services of an independent
third party to conduct a formal investigation. Upon
completion of the investigation, a report shall be prepared
containing findings of fact and a conclusion as to whether a
violation of these rules has occurred.
(4) After reviewing the findings of fact and the
conclusion contained in the report prepared pursuant to
paragraph (3) regarding a Senate employee, the President Pro
Tempore, the Majority Leader and the Minority Leader shall
issue a final determination by unanimous vote regarding all
of the following:
(i) Whether a violation of these rules by a Senate
employee has occurred.
(ii) Whether a sanction regarding that violation by
a Senate employee is warranted.
(iii) If a sanction is deemed warranted, the type of
sanction that should be imposed.
(iv) When and how the sanction should be imposed.
(5) During the course of an investigation of a Senate
employee by the independent third party designated pursuant
to paragraph (3), the subject shall have the opportunity to
be heard, to present evidence, to cross-examine witnesses and
to be represented by counsel.
(6) Prior to the issuance of a final determination under
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paragraph (4), the subject shall have an opportunity to
submit a written presentation prepared by either the subject
or the subject's counsel.
(7) All proceedings under this rule shall be
confidential unless otherwise waived in writing by the
subject of the proceeding.
(8) If the President Pro Tempore, the Majority Leader or
the Minority Leader is the subject of a report, is a witness
or if for any reason is unavailable, the duties of the member
shall be performed by the Senate Whip of the respective
caucus.
(9) Retaliation against any Senate employee who files a
written statement in good faith under subsection (a)(3) or
who testifies in good faith regarding an alleged violation of
these rules is prohibited.
(c) Disciplinary action.--A violation of these rules may
subject a Senate employee to disciplinary action that, depending
on the circumstances of the violation, may include any of the
following:
(1) A warning.
(2) A written reprimand.
(3) A permanent disciplinary action noted in the
personnel record.
(4) Restitution for damages.
(5) Suspension of employment.
(6) Termination of employment.
(d) Sanction.--A violation of these rules may subject a
Senator to sanction by the full Senate and, depending on the
circumstances of the violation, may include any of the
following:
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(1) A warning.
(2) A written reprimand.
(3) Restitution for damages.
(4) Any other sanction provided for under the Rules of
the Senate of Pennsylvania or the Constitution of
Pennsylvania.
Rule 6. Filing of financial interest statement.
(a) Compliance.--Compliance with the financial interest
statement requirements and all other requirements under the
Public Official and Employee Ethics Act, 65 Pa.C.S. Ch. 11
(relating to ethics standards and financial disclosure), shall
be mandatory for all Senators and Senate employees who meet the
criteria set forth in subsection (d) or (e).
(b) Time.--Financial interest statements covering the
previous calendar year must be filed by May 1 of each year for
every Senator and those Senate employees who make purchasing
decisions or other official decisions or provide input that can
influence a purchase or official decision.
(c) Location.--Senators must file their financial interest
statements with the Secretary of the Senate, the Ethics
Commission and any governmental agency, authority, board or
commission on which they serve. Affected Senate employees must
file their financial interest statements with the Secretary of
the Senate.
(d) Required filing for official nonministerial action.--
Filing a financial interest statement shall be required for
employees who are responsible for taking or recommending
official nonministerial action concerning any of the following:
(1) Contracting or procurement.
(2) Administering or monitoring grants or subsidies.
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(3) Planning or zoning.
(4) Inspecting, licensing, regulating or auditing any
person.
(5) Any other activity where the official or recommended
official action has an economic impact of more than a de
minimis nature on the interests of any person. For most
employees on a Senator's staff or in a caucus office, this
category would be most applicable, since recommending
"official action" to a Senator as part of job
responsibilities triggers the duty to file a financial
interest statement. Official action would relate to a
Senator's lawmaking duties especially as that relates to
legislation and confirmations.
(e) Required filing for recommendations.--A financial
interest statement must be filed if a Senate employee's
responsibility includes making a recommendation to a Senator as
to any of the following:
(1) Advice regarding how to vote on the Floor or in
Committee.
(2) The potential consideration of bills, resolutions,
amendments to bills or resolutions or nominations in
Committee.
(3) The drafting and preparation of legislation or
resolutions, and any amendments to bills or resolutions,
including advice on decisions regarding bill or resolution
sponsorships.
(f) Applicability.--The requirement to file a financial
interest statement shall apply to executive directors, counsels
or any Senate employee responsible for a Committee and to Senate
chiefs of staff. Executive, administrative and legislative
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assistants may be subject to the filing requirements depending
on the nature and scope of the individual's employment
responsibilities.
(g) Personal point of view.--A Senate employee who does
nothing more than occasionally share a personal point of view
with a Senator is not required to file a financial interest
statement. In most cases, a Senate employee with job
responsibilities not directly related to the actual lawmaking
process, such as correspondence or scheduling, does not need to
file a financial interest statement.
(h) District office.--A Senate employee assigned to a
district office shall be subject to the same filing requirements
as a Harrisburg-based Senate employee depending on the nature of
that individual's employment responsibilities.
Rule 7. Training.
To assure compliance with these rules and other laws related
to ethical behavior by Senators and Senate employees,
appropriate training measures shall be implemented by the
Senate. Training shall be provided annually for all Senators and
Senate employees on various topics, which shall include, but are
not limited to, all of the following:
(1) These rules.
(2) The Public Official and Employee Ethics Act, 65
Pa.C.S. Ch. 11 (relating to ethics standards and financial
disclosure).
(3) 65 Pa.C.S. Ch. 13A (relating to lobbying
disclosure).
Rule 8. Rules.
(a) Force and effect.--These Rules shall be in full force
and effect until altered, changed, amended or repealed as
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provided in subsection (c).
(b) Voting for altering, changing or amending rules.--The
consent of a majority of the Senators elected shall be necessary
to alter, change or amend these Rules.
(c) Alteration, change or amendment of rules by
resolution.--All alterations, changes or amendments to Senate
Rules shall be by resolution which shall not be considered
unless first referred to and reported from the Rules Committee.
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