1Adopting Ethical Conduct Rules of the Senate.

2RESOLVED, That Ethical Conduct Rules of the Senate be adopted
3for the governing of the 197th and 198th Regular Session until
4amended, repealed or otherwise altered or changed.

5(2013-2014)

6ETHICAL CONDUCT RULES OF THE SENATE

7Rule 1.  Preliminary provisions.

8As used in these rules, the following words and phrases shall
9have the meanings given to them in this rule unless the context
10clearly indicates otherwise:

11"Campaign activity."  An activity on behalf of a political
12party, candidate, political committee or campaign, which is 
13intended to advance the interests of a specific party, 
14candidate, political committee or campaign for elective office, 
15including any of the following:

16(1)  Organizing a campaign meeting, campaign rally or
17other campaign event, including a fund-raiser where campaign
18contributions are solicited or received.

1(2)  Preparing or completing responses to candidate
2questionnaires that are intended solely for campaign use.

3(3)  Preparing a campaign finance report.

4(4)  Conducting background research on a candidate.

5(5)  Preparing or conducting a campaign poll.

6(6)  Preparing, circulating or filing a candidate
7nominating petition or papers.

8(7)  Participating in, preparing, reviewing or filing a
9legal challenge to a nominating petition.

10(8)  Preparing, distributing or mailing any campaign
11literature, campaign signs or other campaign material, 
12including television and radio ads, website construction, e-
13mails, facsimiles and robocalls, on behalf of any candidate
14for elective office.

15(9)  Managing a campaign for elective office.

16(10)  Participating in, preparing, reviewing or filing 
17any documents in any recount, challenge or contest of any
18election.

19(11)  Posting campaign-related information on a website,
20including social media websites such as Facebook and Twitter.

21"Campaign contribution."  A monetary or in-kind contribution
22made to an electoral candidate campaign.

23"De minimis."  An economic consequence which has an
24insignificant effect.

25"Newsletter."  A printed document more than one page in
26length that addresses more than one subject and is printed in
27quantities of 25,000 copies or more.

28"Official mailing lists."  Any list containing individuals,
29companies or vendors, including names, addresses, telephone
30numbers or e-mail addresses that are procured, compiled,

1maintained or produced with Senate funds.

2"Own time."  A Senate employee's time that is distinct from
3Senate work time and includes all leave.

4"Senate employee."  A person employed by the Senate,
5including the Chief Clerk and the Secretary of the Senate.

6"Senate employee in a supervisory position."  A Senate
7employee who has a general supervisory role within: a caucus; an
8individual Senator's office; or a Senate services office.

9"Senate office."  All Senate offices and Senate conference or
10meeting rooms located in the Capitol complex or any similar
11space contained within a district office.

12"Senate resources."  Senate-owned or Senate-leased equipment
13including telephones, computer hardware or software, copiers,
14scanners, fax machines, file cabinets or other office furniture,
15cell phones, personal digital assistants or similar electronic
16devices and office supplies.

17"Senate work time."  Publicly paid work time consisting in
18the aggregate of 75 hours every two weeks for full-time
19employees and a lesser amount of publicly paid hours every two
20weeks for part-time employees.

21"Senator."  A person elected to serve in the Pennsylvania
22Senate from each of the fifty Senatorial districts.

23Rule 2.  Practice.

24(a)  Work time.--No campaign activity may be conducted by a
25Senate employee on Senate work time. The following shall apply:

26(1)  Senate employees are permitted to engage in campaign
27activities on their own time, as volunteers or for pay.

28(2)  Senate employees may work irregular hours often
29depending upon the time the Senate is in session. As a
30result, a staffer's own time can occur during what may be

1considered "normal" business hours.

2(3)  Sick leave, family and medical leave, work-related
3disability leave, parental leave, short-term disability
4leave, civil leave or military leave cannot be requested by a
5Senate employee to perform campaign activities.

6(4)  No Senate employee may be allowed any amount of
7Senate work time for time spent doing campaign activities.

8(5)  Senate employees, with the permission of their
9employing Senator, may reduce their Senate hours with a
10commensurate reduction in pay (and benefits, as required) to
11perform campaign activities. These arrangements must be
12memorialized in writing and filed with the Chief Clerk.

13(6)  Any Senate employee who has reduced his or her
14Senate hours to perform campaign activities shall keep a
15daily written log outlining Senate hours and related work
16responsibilities.

17(b)  Office and resources.--No campaign activity may be
18conducted by a Senator or a Senate employee in a Senate office
19or with Senate resources.

20(1)  De minimis campaign activities may be unavoidable
21for a Senator or Senate employee in the course of their
22official duties. Examples include the following:

23(i)  In responding to inquiries from the public, a 
24Senator or a Senate employee may need to address
25questions that relate to a Senator's or other person's
26campaign for elective office or a related legislative 
27record.

28(ii)  Scheduling assistance and information from the
29Senator or a Senate employee may be requested by campaign
30staff to ensure that no conflict occurs among the

1Senator's campaign schedule, official schedule and
2personal schedule.

3(iii)  Engaging in political conversation in the
4natural course of personal communication.

5(2)  Unsolicited campaign-related communication on a
6personally owned cell phone, personal digital assistant or
7similar electronic device may occur on a de minimis basis in
8a Senate office but may not interfere with Senate work time.

9(3)  A Senator's official State website shall not contain
10a link to his or her campaign website. A Senator's principal
11campaign website shall not contain a link to his or her
12official State website. A Senate employee who is on Senate 
13work time and using Senate resources may post legislative 
14materials, media advisories, news releases and announcements 
15on social media websites such as Facebook and Twitter even if 
16campaign-related information also exists on such a website. A 
17Senate employee who is on his or her own time and using 
18personal resources may post material involving or referring 
19to campaign activity on a social media website.

20(c)  Contributions.--The solicitation or receipt of campaign
21contributions on Senate work time or with Senate resources is
22prohibited.

23(1)  Solicitation or receipt of campaign contributions in
24a Senate office or with Senate resources is prohibited at any
25and all times.

26(2)  If an unsolicited contribution is sent to a Senate
27office through the mail or in an unidentifiable form, the
28employee who receives it shall turn it over to the campaign 
29and notify the donor that campaign contributions should not 
30be received at a Senate office within no more than seven

1days.

2(3)  No Senate employee may serve as an officer on a
3campaign committee or a campaign finance committee on behalf
4of any Senator, Senate candidate or Senate caucus.

5(4)  A Senate employee may help plan and may provide
6assistance at a campaign event on his or her own time.

7(d)  Employees.--No Senate employee may be required to
8perform any campaign activity or make any campaign contribution.

9(1)  No Senator, no Senate employee acting on the
10Senator's behalf and no Senate employee in a supervisory
11position may require a Senate employee to perform any
12campaign activity on Senate work time or on the employee's
13own time as a condition of employment.

14(2)  No Senator, no Senate employee acting on the
15Senator's behalf and no Senate employee in a supervisory
16position may require any Senate employee to make a campaign
17contribution as a condition of employment.

18(3)  A Senate employee who agrees or offers to
19participate in any campaign activity on his or her own time
20or who makes a campaign contribution may not do so in
21consideration of receiving any additional Senate compensation
22or employee benefit in the form of a salary adjustment,
23bonus, compensatory time off, continued employment or any
24other similar benefit.

25(4)  A Senate employee who declines to participate in a
26campaign activity or to make a campaign contribution shall
27not be sanctioned for that refusal.

28(e)  Newsletters.--No Senate-funded newsletter may be printed
29or distributed within 60 days of the primary or general election
30for any Senate member running for the office of Senate or any

1other elective office.

2(1)  This subsection shall apply to newsletters printed
3by the Senate or by an outside vendor paid for with public
4funds.

5(2)  The Chief Clerk of the Senate may not authorize the
6reimbursement or payment of any moneys expended for print,
7distribution or postage incurred after the 60-day deadline.

8(3)  Senators running for the office of the Senate or any
9other elective office shall submit to the Secretary of the
10Senate a final proof copy of any newsletters no less than 90
11days prior to a primary or general election.

12(f)  Official Senate mailing lists.--Official Senate mailing
13lists shall be used solely for legislative purposes.

14(1)  Official Senate mailing lists shall not be provided
15to any candidate, political party, political committee, 
16campaign or campaign committee or used for any campaign
17purpose.

18(2)  Senate computers shall not be used to create, store
19or maintain any mailing list that identifies the listed
20individuals as campaign volunteers or contributors to any
21candidate, political party, political committee, campaign or 
22campaign committee.

23(3)  No list may be developed by a Senator or a Senate
24employee for the purpose of monitoring or tracking campaign
25activity or campaign contributions of any Senate employee.

26(4)  Mailing lists may be purchased at fair market value
27from a private source with Senate funds if the lists are used
28solely for legislative purposes. A mailing list that is so
29acquired may not be used or redirected in the same or a 
30modified form for campaign purposes.

1(g)  Nonwork-related tasks.--No Senate employee may be
2required to perform any nonwork-related task.

3(1)  No Senator, no Senate employee acting on the
4Senator's behalf and no Senate employee in a supervisory
5position may require a Senate employee to perform tasks
6unrelated to the Senate employee's official duties as a
7condition of employment.

8(2)  An employee who agrees or offers to perform a task
9unrelated to that person's official duties on his or her own
10time may not do so in consideration of receiving any
11additional State Senate compensation or employee benefit in
12the form of a salary adjustment, bonus, compensatory time
13off, continued employment or any other public benefit.

14(3)  An employee who refuses to perform a task unrelated
15to that person's official duties cannot be sanctioned for
16that refusal.

17Rule 3.  Enforcement.

18(a)  Standardized process.--There shall be a standardized
19process for reporting any alleged violation of these rules.

20(1)  A Senator or an employee who becomes aware of a
21violation of these rules should report the violation to any
22of the following:

23(i)  A Senator.

24(ii)  The President Pro Tempore, or an appropriate
25designee.

26(iii)  The Majority Leader of the Senate, or an
27appropriate designee.

28(iv)  The Minority Leader of the Senate, or an
29appropriate designee.

30(v)  The employee's supervisor.

1(vi)  The Secretary of the Senate.

2(2)  A verbal report by an employee is acceptable but
3must be followed up with a written statement that includes
4the date, time and place, names of possible witnesses and the
5nature of the ethical conduct violation. The written
6statement must be signed by the employee.

7(3)  Upon receipt of the written statement pursuant to
8paragraph (2), the person to whom the violation is reported
9as provided in paragraph (1) shall forward a copy of the
10written statement within five business days to the Secretary
11of the Senate or the Chief Clerk if the alleged violation
12involves the Secretary of the Senate or a person in the
13Secretary of the Senate's Office.

14(4)  A report of a possible violation of these rules must
15be filed within one year of the alleged conduct.

16(b)  Inquiry.--An inquiry and review of all properly
17submitted reports regarding an alleged violation of these rules
18shall be conducted.

19(1)  The Secretary of the Senate shall conduct a
20preliminary inquiry of any written statement forwarded under 
21subsection (a)(3). The subject of the report shall be
22notified within five business days by the Secretary of the 
23Senate that a written statement has been forwarded to the 
24Secretary's office under subsection (a)(3). The Secretary of
25the Senate shall also notify the President Pro Tempore, the
26Majority Leader and the Minority Leader within five business
27days that a written statement has been forwarded to the 
28Secretary's office under subsection (a)(3). The Secretary of
29the Senate shall have 14 business days from the date of those
30notifications to complete a preliminary inquiry and determine

1whether there is more than a de minimis violation of these 
2rules and whether there is a satisfactory basis for the
3initiation of a formal investigation and shall report that
4recommendation to the President Pro Tempore, the Majority
5Leader and the Minority Leader. If the Secretary of the
6Senate or a person in the Secretary of the Senate's office is
7the subject of an alleged violation, the responsibilities
8under this subsection shall be performed by the Chief Clerk
9of the Senate.

10(2)  After receiving a recommendation from the Secretary
11of the Senate under paragraph (1) that a formal investigation
12is warranted, if the subject is a Senator, the President Pro
13Tempore, the Majority Leader and the Minority Leader shall
14proceed to refer the report to the Senate Committee on Ethics
15for an investigation by that committee in accordance with
16Rule 34 of the Rules of the Senate of Pennsylvania. The
17provisions of Rule 34 of the Rules of the Senate of
18Pennsylvania shall exclusively govern and apply in their
19entirety to any further proceeding involving a Senator under
20this rule.

21(3)  After receiving a recommendation from the Secretary
22of the Senate under paragraph (1) that a formal investigation
23is warranted, if the subject is a Senate employee, the
24President Pro Tempore, the Majority Leader and the Minority
25Leader shall proceed to obtain the services of an independent
26third party to conduct a formal investigation. Upon
27completion of the investigation, a report shall be prepared
28containing findings of fact and a conclusion as to whether a
29violation of these rules has occurred.

30(4)  After reviewing the findings of fact and the

1conclusion contained in the report prepared pursuant to
2paragraph (3) regarding a Senate employee, the President Pro
3Tempore, the Majority Leader and the Minority Leader shall
4issue a final determination by unanimous vote regarding all
5of the following:

6(i)  Whether a violation of these rules by a Senate 
7employee has occurred.

8(ii)  Whether a sanction regarding that violation by 
9a Senate employee is warranted.

10(iii)  If a sanction is deemed warranted, the type of
11sanction that should be imposed.

12(iv)  When and how the sanction should be imposed.

13(5)  During the course of an investigation of a Senate
14employee by the independent third party designated pursuant
15to paragraph (3), the subject shall have the opportunity to
16be heard, to present evidence, to cross-examine witnesses and
17to be represented by counsel.

18(6)  Prior to the issuance of a final determination under
19paragraph (4), the subject shall have an opportunity to
20submit a written presentation prepared by either the subject
21or the subject's counsel.

22(7)  All proceedings under this rule shall be
23confidential unless otherwise waived in writing by the
24subject of the proceeding.

25(8)  If the President Pro Tempore, the Majority Leader or
26the Minority Leader is the subject of a report, is a witness
27or if for any reason is unavailable, the duties of the member
28shall be performed by the Senate Whip of the respective
29caucus.

30(9)  Retaliation against any Senate employee who files a

1written statement in good faith under subsection (a)(3) or
2who testifies in good faith regarding an alleged violation of
3these rules is prohibited.

4(c)  Disciplinary action.--A violation of these rules may
5subject a Senate employee to disciplinary action that, depending
6on the circumstances of the violation, may include any of the
7following:

8(1)  A warning.

9(2)  A written reprimand.

10(3)  A permanent disciplinary action noted in the
11personnel record.

12(4)  Restitution for damages.

13(5)  Suspension of employment.

14(6)  Termination of employment.

15(d)  Sanction.--A violation of these rules may subject a
16Senator to sanction by the full Senate and, depending on the
17circumstances of the violation, may include any of the
18following:

19(1)  A warning.

20(2)  A written reprimand.

21(3)  Restitution for damages.

22(4)  Any other sanction provided for under the Rules of
23the Senate of Pennsylvania or the Constitution of
24Pennsylvania.

25Rule 4.  Filing of financial interest statement.

26(a)  Compliance.--Compliance with the financial interest
27statement requirements and all other requirements under the
28Public Official and Employee Ethics Act, 65 Pa.C.S. Ch. 11
29(relating to ethics standards and financial disclosure), shall
30be mandatory for all Senators and Senate employees who meet the 

1criteria set forth in subsection (d) or (e).

2(b)  Time.--Financial interest statements covering the
3previous calendar year must be filed by May 1 of each year for
4every Senator and those Senate employees who make purchasing
5decisions or other official decisions or provide input that can
6influence a purchase or official decision.

7(c)  Location.--Senators must file their financial interest
8statements with the Secretary of the Senate, the Ethics 
9Commission and any governmental agency, authority, board or 
10commission on which they serve. Affected Senate employees must
11file their financial interest statements with the Secretary of
12the Senate.

13(d)  Required filing for official nonministerial action.--
14Filing a financial interest statement shall be required for
15employees who are responsible for taking or recommending
16official nonministerial action concerning any of the following:

17(1)  Contracting or procurement.

18(2)  Administering or monitoring grants or subsidies.

19(3)  Planning or zoning.

20(4)  Inspecting, licensing, regulating or auditing any
21person.

22(5)  Any other activity where the official or recommended
23official action has an economic impact of more than a de
24minimis nature on the interests of any person. For most
25employees on a Senator's staff or in a caucus office, this
26category would be most applicable, since recommending
27"official action" to a Senator as part of job
28responsibilities triggers the duty to file a financial
29interest statement. Official action would relate to a
30Senator's lawmaking duties especially as that relates to

1legislation and confirmations.

2(e)  Required filing for recommendations.--A financial
3interest statement must be filed if a Senate employee's
4responsibility includes making a recommendation to a Senator as
5to any of the following:

6(1)  Advice regarding how to vote on the Floor or in
7Committee.

8(2)  The potential consideration of bills, resolutions, 
9amendments to bills or resolutions or nominations in
10Committee.

11(3)  The drafting and preparation of legislation or
12resolutions, and any amendments to bills or resolutions,
13including advice on decisions regarding bill or resolution
14sponsorships.

15(f)  Applicability.--The requirement to file a financial
16interest statement shall apply to executive directors, counsels
17or any Senate employee responsible for a Committee and to Senate
18chiefs of staff. Executive, administrative and legislative
19assistants may be subject to the filing requirements depending
20on the nature and scope of the individual's employment
21responsibilities.

22(g)  Personal point of view.--A Senate employee who does
23nothing more than occasionally share a personal point of view
24with a Senator is not required to file a financial interest
25statement. In most cases, a Senate employee with job
26responsibilities not directly related to the actual lawmaking
27process, such as correspondence or scheduling, does not need to
28file a financial interest statement.

29(h)  District office.--A Senate employee assigned to a
30district office shall be subject to the same filing requirements

1as a Harrisburg-based Senate employee depending on the nature of
2that individual's employment responsibilities.

3Rule 5.  Training.

4To assure compliance with these rules and other laws related
5to ethical behavior by Senators and Senate employees,
6appropriate training measures shall be implemented by the
7Senate. Training shall be provided annually for all Senators and
8Senate employees on various topics, which shall include, but are
9not limited to, all of the following:

10(1)  These rules.

11(2)  The Public Official and Employee Ethics Act, 65
12Pa.C.S. Ch. 11 (relating to ethics standards and financial
13disclosure).

14(3)  65 Pa.C.S. Ch. 13A (relating to lobbying
15disclosure).

16APPENDIX

17TRANSITIONAL PROVISIONS

18OLD RULE	NEW RULE
19I	Rule 1
201.
21II	Rule 2
221.	(a)
23(a)	(1)
24(b)	(2)
25(c)	(3)
26(d)	(4)
27(e)	(5)
28(f)	(6)
292.	(b)
30(a)	(1)
31(1)	(i)
32(2)	(ii)
33(3)	(iii)
34(b)	(2)
35(c)	(3)
363.	(c)
37(a)	(1)
38(b)	(2)
39(c)	(3)
40(d)	(4)
20130SR0001PN0001 -15-
14.	(d)
2(a)	(1)
3(b)	(2)
4(c)	(3)
5(d)	(4)
65.	(e)
7(a)	(1)
8(b)	(2)
9(c)	(3)
106.	(f)
11(a)	(1)
12(b)	(2)
13(c)	(3)
14(d)	(4)
157.	(g)
16(a)	(1)
17(b)	(2)
18(c)	(3)
19III	Rule 3
201.	(a)
21(a)	(1)
22(1)	(i)
23(2)	(ii)
24(3)	(iii)
25(4)	(iv)
26(5)	(v)
27(6)	(vi)
28(b)	(2)
29(c)	(3)
30(d)	(4)
312.	(b)
32(a)	(1)
33(b)	(2)
34(c)	(3)
35(d)	(4)
36(1)	(i)
37(2)	(ii)
38(3)	(iii)
39(4)	(iv)
40(e)	(5)
41(f)	(6)
42(g)	(7)
43(h)	(8)
44(i)	(9)
453.	(c)
46(a)	(1)
47(b)	(2)
48(c)	(3)
49(d)	(4)
50(e)	(5)
51(f)	(6)
20130SR0001PN0001 -16-
14.	(d)
2(a)	(1)
3(b)	(2)
4(c)	(3)
5(d)	(4)
6IV	Rule 4
71.	(a)
8(a)	(b)
9(b)	(c)
10(c)	(d)
11(1)	(1)
12(2)	(2)
13(3)	(3)
14(4)	(4)
15(5)	(5)
16(d)	(e)
17(1)	(1)
18(2)	(2)
19(3)	(3)
20(e)	(f)
21(f)	(g)
22(g)	(h)
23V	Rule 5
241.
25(a)	(1)
26(b)	(2)
27(c)	(3)