Regular Session 2015-2016 Senate Resolution 0001 P.N. 0001

PRINTER'S NO. 1

THE GENERAL ASSEMBLY OF PENNSYLVANIA

SENATE RESOLUTION

No.

Session of

2015

INTRODUCED BY CORMAN, JANUARY 6, 2015

INTRODUCED AND ADOPTED, JANUARY 6, 2015

A RESOLUTION

Adopting Ethical Conduct Rules of the Senate.

RESOLVED, That Ethical Conduct Rules of the Senate be adopted

for the governing of the 199th and 200th Regular Session.

(2015-2016)

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 fund-raiser where campaign

contributions are solicited or received.

(2) Preparing or completing responses to candidate

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.

"Campaign contribution." A monetary or in-kind contribution

made to an electoral candidate campaign.

"Cash gift."

(1) Any of the following:

(i) United States or foreign currency.

(ii) A money order.

(iii) A check.

(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

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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

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

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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 mailing 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 (relating to lobbying

disclosure).

"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.

"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

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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.

(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.

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(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 person'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 State website shall not contain

a link to his or her campaign website. A Senator's campaign

website shall not contain a link to his or her official State

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 social media

websites even if 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.

contributions on Senate work time or with Senate resources is

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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

and notify the donor that campaign contributions should not

be received at a Senate office within no more than seven

days.

(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

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

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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

for any Senate member running 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 moneys expended for print,

distribution or postage incurred after the 60-day deadline.

(3) Senators running 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 a primary or general election.

(f) Official Senate mailing lists.--Official Senate mailing

lists shall be used solely for legislative purposes.

(1) Official Senate mailing lists shall not be provided

to any candidate, political party, political committee,

campaign or campaign committee or used for any campaign

purpose.

(2) Senate computers shall not be used to create, store

or maintain any mailing list that identifies the listed

individuals as campaign volunteers or contributors to any

candidate, political party, political committee, campaign or

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campaign committee.

(3) No list may be developed by a Senator or a Senate

employee for the purpose of monitoring or tracking campaign

activity or campaign contributions of any Senate employee.

(4) Mailing lists may be purchased at fair market value

from a private source with Senate funds if the lists are used

solely for legislative purposes. A mailing list that is so

acquired may not be used or redirected in the same or a

modified form for campaign purposes.

(g) Nonwork-related tasks.--No Senate employee may be

required to perform any nonwork-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

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.

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Rule 3. Enforcement.

(a) Standardized process.--There shall be a standardized

process for reporting any alleged violation of these rules.

(1) A Senator or an employee 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 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.

(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 one year of the alleged conduct.

(b) Inquiry.--An inquiry and review of all properly

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submitted reports regarding an alleged violation of these rules

shall be conducted.

(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

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provisions of Rule 34 of the Rules of the Senate of

Pennsylvania shall exclusively govern and apply in their

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

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to be represented by counsel.

(6) Prior to the issuance of a final determination under

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.

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

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circumstances of the violation, may include any of the

following:

(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 4. 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.

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:

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(1) Contracting or procurement.

(2) Administering or monitoring grants or subsidies.

(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

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or any Senate employee responsible for a Committee and to Senate

chiefs of staff. Executive, administrative and legislative

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 5. 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 6. Rules.

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(a) Force and effect.--These Rules shall be in full force

and effect until altered, changed, amended or repealed as

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.

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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