THE GENERAL ASSEMBLY OF PENNSYLVANIA

SENATE RESOLUTION

INTRODUCED BY SCARNATI, PILEGGI, MELLOW, BRUBAKER, FERLO, M. WHITE, ROBBINS, TARTAGLIONE, KASUNIC, FARNESE, FONTANA, O'PAKE, RAFFERTY, CORMAN, WOZNIAK, ERICKSON, WAUGH, COSTA, FOLMER, PIPPY, D. WHITE, ARGALL, TOMLINSON, SMUCKER, ALLOWAY, WASHINGTON, VANCE, EARLL, BAKER, YAW, MENSCH, BROWNE, VOGEL, MUSTO AND LOGAN, JANUARY 19, 2010

REFERRED TO RULES AND EXECUTIVE NOMINATIONS, JANUARY 19, 2010  

A RESOLUTION

Providing for the adoption of Ethical Conduct Rules of the

Senate.

RESOLVED, That Ethical Conduct Rules of the Senate be adopted

for the government of the 193rd and 194th Regular Session until

amended, repealed or otherwise altered or changed.

(2009-2010)

ETHICAL CONDUCT RULES OF THE SENATE

I.  PRELIMINARY PROVISIONS

1.  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 or candidate, which is intended to advance the interests

of a specific party or candidate 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 received.

(2)  Preparing or completing responses to candidate

questionnaires that are sent directly to the campaign and 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)  Preparing, distributing or mailing any campaign

literature, campaign signs or other campaign material on

behalf of any candidate for elective office.

(8)  Managing a campaign for elective office.

(9)  Participating in any recount or challenge of any

election.

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

made to an electoral candidate campaign.

"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 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.

"Senate employee."  A person employed by the Senate,

including the Chief Clerk and the Secretary of the Senate.

"Senate employee in a supervisory position."  An 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 space

contained within a district office.

"Senate resources."  Senate-owned 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 consisting in the

aggregate of 75 hours every two weeks for full-time employees

and an equivalent but 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.

II.  PRACTICE

1.  No campaign activity may be conducted by a Senate

employee on Senate work time. The following shall apply:

(a)  Senate employees are permitted to engage in campaign

activities on their own time, as volunteers or for pay.

(b)  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.

(c)  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.

(d)  No Senate employee may be allowed any amount of Senate

work time for time spent doing campaign activities.

(e)  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 should not be permanent and must

be memorialized in writing and filed with the Chief Clerk.

(f)  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.

2.  No campaign activity may be conducted by a Senator or a

Senate employee in a Senate office or with Senate resources.

(a)  De minimis campaign activities may be unavoidable for a

Senator or Senate employee in the course of their official

duties. Examples include the following:

(1)  In responding to "official" inquiries from the press

or constituents, 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.

(2)  Scheduling assistance and information from the

Senator or a Senate employee may be requested by campaign

staff to ensure that no conflict occurs among the Senator's

campaign schedule, official schedule and personal schedule.

(3)  Engaging in political conversation in the natural

course of personal communication.

(b)  Unsolicited campaign-related communication on a

personally owned cell phone, personal digital assistant or

similar electronic device may occur on a limited basis in a

Senate office but may not interfere with Senate work time.

(c)  A Senator's official State website shall not contain a

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

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

State website.

3.  The solicitation or receipt of campaign contributions on

Senate work time or with Senate resources is prohibited.

(a)  Solicitation or receipt of campaign contributions in a

Senate office or with Senate resources is prohibited at any and

all times.

(b)  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.

(c)  No Senate employee may serve as an officer on a campaign

committee or a campaign finance committee on behalf of any

Senator or Senate candidate.

(d)  A Senate employee may help plan and may provide

assistance at a campaign event on his or her own time.

4.  No Senate employee may be required to perform any

campaign activity or make any campaign contribution.

(a)  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.

(b)  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.

(c)  A Senate employee who agrees 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.

(d)  A Senate employee who declines to participate in a

campaign activity or to make a campaign contribution shall not

be sanctioned for that refusal.

5.  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.

(a)  This rule shall apply to newsletters printed by the

Senate or by an outside vendor paid for with public funds.

(b)  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.

(c)  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.

6.  Official Senate mailing lists shall be used solely for

legislative purposes.

(a)  Official Senate mailing lists shall not be provided to

any campaign committee or used for any campaign purpose.

(b)  Senate computers shall not be used to store or maintain

any mailing list that identifies the listed individuals as

campaign volunteers or contributors to any campaign.

(c)  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.

(d)  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 an enhanced form for

campaign purposes.

7.  No Senate employee may be required to perform any

nonwork-related task.

(a)  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 their

official duties as a condition of employment.

(b)  An employee who agrees 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.

(c)  An employee who refuses to perform a task unrelated to

that person's official duties cannot be sanctioned for that

refusal.

8.  There shall be a standardized process for reporting any

alleged violation of these rules.

(a)  A Senator or an employee who becomes aware of a

violation of these rules should report the violation to any of

the following:

(1)  A Senator.

(2)  The President Pro Tempore, or an appropriate

designee.

(3)  The Majority Leader of the Senate, or an appropriate

designee.

(4)  The Minority Leader of the Senate, or an appropriate

designee.

(5)  The employee's supervisor.

(6)  The Secretary of the Senate.

(b)  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.

(c)  Upon receipt of the written statement pursuant to

subsection (b), the person to whom the violation is reported as

provided in subsection (a) 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.

(d)  A report of a possible violation of these rules must be

filed within one year of the alleged conduct.

9.  An inquiry and review of all properly submitted reports

regarding an alleged violation of these rules shall be

conducted.

(a)  The Secretary of the Senate shall conduct an initial

preliminary inquiry of any report involving more than a de

minimis violation of these rules. The subject of the report

shall be notified within five business days that a written

report has been filed. 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 report

has been filed. The Secretary of the Senate shall have 14

business days from the date of those notifications to complete

an initial inquiry and determine whether there is satisfactory

information 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 paragraph shall be performed by the Chief Clerk of

the Senate.

(b)  After receiving a recommendation from the Secretary of

the Senate that a formal investigation of more than a de minimis

violation of these rules is warranted, if the subject of the

report 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 XXXV of the Rules of the

Senate of Pennsylvania. The provisions of Rule XXXV 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.

(c)  After receiving a recommendation from the Secretary of

the Senate that a formal investigation of more than a de minimis

violation of these rules is warranted, if the subject of the

report is a Senate employee, the President Pro Tempore, the

Majority Leader and the Minority Leader shall proceed to obtain

the services of an independent entity 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 has occurred.

(d)  After reviewing the findings of fact and the conclusion

contained in the report prepared pursuant to subsection (c)

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:

(1)  Whether a Senate employee violation of these rules

has occurred.

(2)  Whether an employee sanction regarding that

violation is warranted.

(3)  If a sanction is deemed warranted, the type of

sanction that should be imposed.

(4)  When and how the sanction should be imposed.

(e)  During the course of an investigation of a Senate

employee by the independent entity designated pursuant to

subsection (c), the subject of the report shall have the

opportunity to be heard, to present evidence, to cross-examine

witnesses and to be represented by counsel.

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

subsection (d), the subject of the report shall have an

opportunity to submit a written presentation prepared by either

the subject or the subject's counsel.

(g)  All proceedings under this rule shall be confidential

unless otherwise waived in writing by the subject of the

proceeding.

(h)  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.

(i)  Retaliation is prohibited against any Senate employee

who files a report in good faith or who testifies in good faith

regarding an alleged violation of these rules.

10.  A violation of these rules shall be subject to

appropriate sanction under this rule when not otherwise subject

to penalty under other applicable laws or regulations.

(a)  A violation of these rules may subject a Senate employee

to disciplinary action that may include any of the following

depending on the circumstances of the violation:

(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.

(b)  A violation of these rules may subject a Senator to

sanction by the full Senate and may include any of the following

depending on the circumstances of the violation:

(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.

11.  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 designated Senate employees.

(a)  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.

(b)  Senators must file their financial interest statements

with the Secretary of the Senate and the Ethics Commission.

Affected Senate employees must file their financial interest

statements with the Secretary of the Senate.

(c)  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.

(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.

(d)  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 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.

(e)  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 assistants may

be subject to the filing requirements depending on the nature

and scope of the individual's employment responsibilities.

(f)  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.

(g)  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.

12.  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).