SENATE AMENDED
PRIOR PRINTER'S NOS. 218, 740, 1147, PRINTER'S NO. 3514
1330, 3412, 3453
No. 198 Session of 1977
INTRODUCED BY MESSRS. GARZIA, DOYLE, MORRIS, COLE, RUGGIERO,
O'KEEFE, STAPLETON, TENAGLIO AND REED, FEBRUARY 9, 1977
AS AMENDED ON THIRD CONSIDERATION, IN SENATE, JUNE 26, 1978
AN ACT
1 Regulating the contractual powers of individuals serving in
2 State or State agencies and local political subdivision <--
3 positions and prohibiting certain State PUBLIC employees from <--
4 engaging in post State employment conflict of interest <--
5 activities.
6 The General Assembly of the Commonwealth of Pennsylvania
7 hereby enacts as follows:
8 Section 1. The following words and phrases when used in this <--
9 act shall have, unless the context clearly indicates otherwise,
10 the meanings given to them in this section:
11 "Executive-level State employee." The Governor, Lieutenant
12 Governor, cabinet members, deputy secretaries, the Governor's
13 office staff, any State employee with discretionary powers which
14 may affect the outcome of a State agency's decision in relation
15 to a private corporation or business or any employee who by
16 virtue of his job function could influence the outcome of such a
17 decision.
18 "State consultant." A person who, as an independent
1 contractor, performs professional, scientific, technical or
2 advisory service for a State agency, and who receives a fee,
3 honorarium or similar compensation for such services. A "State
4 consultant" is not an executive-level employee.
5 Section 2. No former executive-level State employee may for
6 a period of two years from the time that he terminates his State
7 employment be employed by, receive compensation from, assist or
8 act in a representative capacity for a business or corporation
9 that he actively participates in recruiting to the Commonwealth
10 of Pennsylvania or that he actively participated in inducing to
11 open a new plant, facility or branch in the Commonwealth or that
12 he actively participated in inducing to expand an existent plant
13 or facility within the Commonwealth, provided that the above
14 prohibition shall be invoked only when the recruitment or
15 inducement is accomplished by a grant or loan of money or a
16 promise of a grant or loan of money from the Commonwealth to the
17 business or corporation recruited or induced to expand.
18 Section 3. (a) Any individual who holds an appointive
19 office in the Commonwealth or any of its agencies or in a
20 political subdivision of this Commonwealth shall not have an
21 interest respectively in any contract or construction in which
22 the Commonwealth or its agencies or that political subdivision
23 respectively shall enter or have an interest.
24 SECTION 1. (A) ANY INDIVIDUAL WHO HOLDS AN APPOINTIVE OR <--
25 ELECTIVE OFFICE IN A POLITICAL SUBDIVISION OF THIS COMMONWEALTH
26 SHALL NOT HAVE AN INTEREST RESPECTIVELY IN ANY CONTRACT OR
27 CONSTRUCTION IN WHICH THE POLITICAL SUBDIVISION SHALL ENTER OR
28 HAVE AN INTEREST.
29 (b) Any person violating the provisions of this section
30 shall be barred for a period of five years from engaging in any
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1 business or contract with any political subdivision of this
2 Commonwealth.
3 (c) For purposes of this section the term "interest" shall
4 mean and include a financial interest in which the individual,
5 or a partnership, corporation or association of which the
6 individual is a member or owner, may receive monetary profit,
7 directly or indirectly as a result of the activities, actions,
8 orders or decisions made by such individual or a proprietary
9 interest in which real estate owned by the individual, or by a
10 partnership, corporation or association of which the individual
11 is a member or owner, may benefit directly or indirectly as a
12 result of the activities, actions, orders or decisions made by
13 such individual. The term "interest" shall not include the
14 ownership of shares of stock in any corporation in an amount of
15 5% or less of the total issue for said corporation nor shall it
16 include any contract or construction award where more than two
17 competitive bids were received after public notice of bidding
18 and where such bids were publicly opened.
19 SECTION 2. NO INDIVIDUAL WHO HOLDS AN APPOINTIVE OR ELECTIVE <--
20 OFFICE IN A POLITICAL SUBDIVISION OF THIS COMMONWEALTH SHALL:
21 (1) ACCEPT OTHER EMPLOYMENT WHICH WILL IMPAIR HIS
22 INDEPENDENCE OF JUDGMENT IN THE EXERCISE OF HIS OFFICIAL
23 DUTIES;
24 (2) IMPROPERLY DISCLOSE CONFIDENTIAL INFORMATION
25 ACQUIRED BY HIM IN THE COURSE OF HIS OFFICIAL DUTIES NOR USE
26 SUCH INFORMATION TO FURTHER HIS PERSONAL INTERESTS;
27 (3) USE OR ATTEMPT TO USE HIS OFFICIAL POSITION TO
28 SECURE UNWARRANTED PRIVILEGES OR EXEMPTIONS FOR HIMSELF OR
29 OTHERS; OR
30 (4) ACCEPT ANY GIFT, FAVOR OR SERVICE THAT MIGHT
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1 REASONABLY TEND TO INFLUENCE HIM IN THE DISCHARGE OF HIS
2 OFFICIAL DUTIES.
3 Section 4 3. Any person who violates any of the provisions <--
4 of this act shall be guilty of a misdemeanor and, upon
5 conviction thereof, shall be sentenced to pay a fine not
6 exceeding $1,000 or to be imprisoned for a term not exceeding
7 one year, or both, and in addition shall EITHER forfeit the <--
8 proscribed employment, contract, assistance or representation
9 and any fees, salaries or consideration obtained through that
10 employment, contract, assistance or representation OR FORFEIT <--
11 HIS OFFICE OF PUBLIC TRUST.
12 Section 5. The Attorney General shall, upon request, issue <--
13 advisory opinions to any present or former State employee who
14 contemplates terminating his State employment and/or becoming
15 employed by, contracting with, assisting or acting in a
16 representative capacity for a business or corporation. That
17 opinion shall state whether, upon the facts presented, such
18 employment, contract, assistance or representation would be in
19 violation of the provisions of this act. If the advisory opinion
20 states that such employment, contract, assistance or
21 representation would not be in violation of the provisions of
22 this act, the person who requested the opinion may not be
23 prosecuted or penalized, either criminally or civilly, under the
24 provisions of this act provided that the actions under question
25 bear a substantial similarity to the facts presented to the
26 Attorney General.
27 Section 6. If at any time a commission or board of ethics,
28 with responsibility for establishing and enforcing ethical
29 standards for officers and employees of the executive branch of
30 government, is provided for by statute, the duty of issuing
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1 advisory opinions, pursuant to this act, to present or former
2 State employees shall be transferred from the Attorney General
3 to said statutory board or commission.
4 SECTION 4. ANY INDIVIDUAL COVERED BY THIS ACT SHALL ON OR <--
5 BEFORE JANUARY 31 OF EACH YEAR, FILE WITH THE COUNTY CLERK OF
6 THE COUNTY IN WHICH THEY RESIDE A WRITTEN STATEMENT OF WHICH
7 SHALL BECOME A MATTER OF PUBLIC RECORD AND SHALL INCLUDE:
8 (1) EVERY OFFICE OR DIRECTORSHIP HELD BY HIMSELF OR HIS
9 SPOUSE IN ANY CORPORATION, PARTNERSHIP OR ASSOCIATION WHICH
10 IS SUBJECT TO THE JURISDICTION OF THE POLITICAL SUBDIVISION
11 IN WHICH HE LIVES.
12 (2) A LIST SHOWING EACH TYPE OF BUSINESS OR BUSINESS
13 ACTIVITY FROM WHICH HE RECEIVED COMPENSATION IN EXCESS OF
14 $1,500 DURING THE PRECEDING 12-MONTH PERIOD BY VIRTUE OF HIS
15 BEING AN OFFICIAL, DIRECTOR, EMPLOYEE, PARTNER OR MEMBER OF,
16 OR BEING RETAINED BY, ANY PERSON, CORPORATION, PARTNERSHIP OR
17 OTHER BUSINESS ASSOCIATION, CONDUCTING OR CARRYING ON SUCH
18 BUSINESS OR BUSINESS ACTIVITY.
19 (3) AS TO ATTORNEYS, ACCOUNTANTS OR OTHERS PRACTICING
20 BEFORE REGULATORY AGENCIES DURING THE PRECEDING 12-MONTH
21 PERIOD, THE NAME OF THE AGENCY OR AGENCIES AND THE NAME OF
22 THE FIRM, PARTNERSHIP OR ASSOCIATION OF WHICH HE IS A MEMBER,
23 PARTNER OR EMPLOYEE.
24 SECTION 5. IF AT ANY TIME A COMMISSION OR BOARD OF ETHICS, <--
25 WITH RESPONSIBILITY FOR ESTABLISHING AND ENFORCING ETHICAL
26 STANDARDS FOR ANY INDIVIDUAL WHO HOLDS AN APPOINTIVE OR ELECTIVE
27 OFFICE IN A POLITICAL SUBDIVISION OF THIS COMMONWEALTH, IS
28 PROVIDED FOR BY STATUTE, THE DUTY OF ISSUING ADVISORY OPINIONS,
29 PURSUANT TO THIS ACT, SHALL BE TRANSFERRED FROM THE ATTORNEY
30 GENERAL TO SAID STATUTORY BOARD OR COMMISSION.
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1 SECTION 5. NOTHING IN THIS ACT, OR IN ANY OTHER LAW OR COURT <--
2 RULE SHALL BE CONSTRUED TO PROHIBIT ANY CONSTABLE OR ANY
3 EMPLOYEE OF A COURT OF COMMON PLEAS, THE MUNICIPAL COURT OF
4 PHILADELPHIA, THE TRAFFIC COURT OF PHILADELPHIA, OR ANY EMPLOYEE
5 OF A DISTRICT JUSTICE FROM ALSO BEING AN OFFICER OF A POLITICAL
6 BODY OR POLITICAL PARTY AS SUCH TERMS ARE DEFINED IN THE ACT OF
7 JUNE 3, 1937 (P.L.1333, NO.320), KNOWN AS THE "PENNSYLVANIA
8 ELECTION CODE," AND THE SAME MAY HOLD THE OFFICE OF A COUNTY,
9 STATE OR NATIONAL COMMITTEE OF ANY POLITICAL PARTY, AND MAY RUN
10 FOR AND HOLD ANY ELECTIVE OFFICE, AND MAY PARTICIPATE IN ANY
11 ELECTION DAY ACTIVITIES.
12 Section 7 6 5 6. This act shall take effect in six months. <--
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