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PHONE: 717-783-1610 STATE ETHICS COMMISSION FACSIMILE: 717-787-0806
TOLL FREE: 1-800-932-0936 FINANCE BUILDING WEBSITE: www.ethics.pa.gov
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120-0400
ADVICE OF COUNSEL
May 10, 2024
To the Requester:
Aftyn Giles
24-540
Dear Ms. Giles:
This responds to your email received May 1, 2024, by which you requested an advisory
from the Pennsylvania State Ethics Commission (“Commission”), seeking guidance as to the issue
presented below:
Issue:
Whetherthe Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et
seq., would impose any prohibitions, restrictions, or financial disclosure requirements upon
an individual employed as a Principal Planner with the City of Pittsburgh (“City”) with
regard to accepting from a conference host or sponsor: (1) a discounted or waived
conference registration fee for her attendance at a conference; or (2) a scholarship to
discount or cover her travel costs for attending a conference.
Brief Answer: Section 1103(a) of the Ethics Act (pertaining to conflict of interest) would
not prohibit the individual from accepting a discounted or waived conference registration
fee or a scholarship to discount her travel costs for attending a conference. The amount
discounted or waived with respect to a conference registration fee would be considered a
“gift” to the individual and would be reportable as such on the individual’s Statement of
Financial Interests if the reporting threshold ($250 in the aggregate for the calendar year)
would be met. The amount of a scholarship to discount or cover the individual’s travel
costs for attending a conference would be reportable as transportation, lodging, or
hospitality on the individual’s Statement of Financial Interests if the reporting threshold
(in excess of $650 in the aggregate for the calendar year) would be met.
Giles, 24-540
May 10, 2024
Page 2
Facts:
Yourequest an advisory from the Commission based upon submitted facts that may be
fairly summarized as follows.
You are employed as a Principal Planner with the City. A copy of the job description for
your position with the City has been submitted, which document is incorporated herein by
reference.
During the course of your City employment, you may be requested to attend a conference
for various purposes, including: (1) to present information on a topic; (2) to represent the City by
providing insights on the conference’s specific topic from the City’s perspective or your
professional perspective; (3) to accept an award or acknowledgment on behalf of the City or to
accept an award or acknowledgment based upon your professional contribution to the subject
matter; or (4) to continue your education and increase your general knowledge of the topic of the
conference.
A City employee must obtain approval from City Council to attend a conference or training.
Once approval is obtained, the City employee may use a City-issued credit card to pay the
registration costs of the conference or training. In the alternative, the City employee may choose
to use a personal credit card to pay the registration costs and then later obtain reimbursement from
the City for those costs. All travel expenses related to attending the conference or training, such
as the costs for a hotel room, airline flights, car rental, parking, and meals, must be paid up front
by the City employee without using a City-issued credit card. The City will reimburse the City
employee for the travel costs once receipts have been provided.
At times, a conference host or sponsor may discount or waive the conference registration
fee for a City employee. A conference host or sponsor may also offer a scholarship to discount or
cover a City employee’s travel costs. In either of these circumstances, any funds expended to
assist with payment of the conference registration fee or travel costs typically are paid by the
conference host or sponsor directly to the conference convener or the travel partner (i.e., the airline,
hotel, or travel agent) and not to the City employee. In some rare instances, the City employee
may pay the costs upfront and then receive reimbursement from the conference host or sponsor.
In your capacity as a City employee, you will be attending a conference, Waste Expo 2024
(“the Conference”), that is being hosted by Waste 360. You will make a presentation at a
Conference workshop on the City’s SoilMill PGH pilot project, and you will receive a plaque in
recognition of the work that you have done for the City in relation to the pilot project and the area
of waste. Because you will be making a presentation at the Conference and receiving recognition
at the Conference, Waste 360 has waived your Conference registration fee of $995.00. If Waste
360 had not waived your Conference registration fee, the City would have paid the fee either
through the use of a City-issued credit card or by reimbursing you for paying the fee with a personal
credit card. The City will reimburse you for all of the travel expenses that you incur for attending
the Conference.
Giles, 24-540
May 10, 2024
Page 3
Based upon the above submitted facts, you seek guidance as to whether the Ethics Act
would impose any prohibitions, restrictions, or financial disclosure requirements upon you with
regard to accepting: (1) the waived Conference registration fee or any other discounted or waived
conference registration fee; or (2) a scholarship to discount or cover your travel costs for attending
a conference.
Discussion:
Pursuant to Sections 1107(10) and 1107(11) of the Ethics Act, 65 Pa.C.S. §§ 1107(10),
(11), advisories are issued to the requester based upon the facts that the requester has submitted.
In issuing the advisory based upon the facts that the requester has submitted, the Commission does
not engage in an independent investigation of the facts, nor does it speculate as to facts that have
not been submitted. It is the burden of the requester to truthfully disclose all material facts relevant
to the inquiry. 65 Pa.C.S. §§ 1107(10), (11). An advisory only affords a defense to the extent the
requester has truthfully disclosed all material facts.
Section 1103(a) of the Ethics Act provides:
§ 1103. Restricted activities
(a) Conflict of interest. -- No public official or public
employee shall engage in conduct that constitutes a conflict of
interest.
65 Pa.C.S. § 1103(a).
The following terms related to Section 1103(a) are defined in the Ethics Act as follows:
§ 1102. Definitions
“Conflict” or “conflict of interest.” Use by a public
official or public employee of the authority of his office or
employment or any confidential information received through his
holding public office or employment for the private pecuniary
benefit of himself, a member of his immediate family or a business
with which he or a member of his immediate family is associated.
The term does not include an action having a de minimis economic
impact or which affects to the same degree a class consisting of the
general public or a subclass consisting of an industry, occupation or
other group which includes the public official or public employee, a
member of his immediate family or a business with which he or a
member of his immediate family is associated.
65 Pa.C.S. § 1102.
Giles, 24-540
May 10, 2024
Page 4
Subject to the statutory exclusions to the Ethics Act’s definition of the term “conflict” or
“conflict of interest” (i.e., the “de minimis exclusion” and the “class/subclass exclusion”), 65
Pa.C.S. § 1102, a public official/public employee is prohibited from using the authority of public
office or confidential information received by holding such a public position for the private
pecuniary (financial) benefit of the public official/public employee himself, any member of his
immediate family, or a business with which he or a member of his immediate family is associated.
In each instance of a conflict of interest, the public official/public employee would be
required to abstain from participation. The abstention requirement would extend to any use of
authority of office including, but not limited to, discussing, conferring with others, and lobbying
for a particular result. Juliante, Order 809.
Section 1104(a) of the Ethics Act provides that each public official/public employee must
file a Statement of Financial Interestsfor the preceding calendar year, by May 1 of each year that
he holds the position and the year after he leaves it.
Section 1105 of the Ethics Act sets forth the substantive disclosure requirements for
Statements of Financial Interests. Section 1105 of the Ethics Act provides, in pertinent part, as
follows:
§ 1105. Statement of financial interests
(b) Required information.--The statement shall include the
following information for the prior calendar year with regard
to the person required to file the statement:
. . .
(6) The name and address of the source and the amount
of any gift or gifts valued in the aggregate at $250 or
more and the circumstances of each gift. This
paragraph shall not apply to a gift or gifts received
from a spouse, parent, parent by marriage, sibling,
child, grandchild, other family member or friend
when the circumstances make it clear that the
motivation for the action was a personal or family
relationship. However, for the purposes of this
paragraph, the term "friend" shall not include a
registered lobbyist or an employee of a registered
lobbyist.
(7) The name and address of the source and the amount
of any payment for or reimbursement of actual
expenses for transportation and lodging or
hospitality received in connection with public office
or employment where such actual expenses for
transportation and lodging or hospitality exceed
Giles, 24-540
May 10, 2024
Page 5
$650 in an aggregate amount per year. This
paragraph shall not apply to expenses reimbursed by
a governmental body or to expenses reimbursed by
an organization or association of public officials or
employees of political subdivisions which the public
official or employee serves in an official capacity.
. . . .
65 Pa.C.S. §§ 1105(b)(6)-(7).
Section 1102 of the Ethics Act defines the terms “gift” and “hospitality” as those terms are
defined in Section 13A03 of Pennsylvania’s lobbying disclosure law, 65 Pa.C.S. § 13A03:
§ 13A03. Definitions.
"Gift." Anything which is received without consideration of
equal or greater value. The term shall not include a political
contribution otherwise reportable as required by law or a
commercially reasonable loan made in the ordinary course of
business. The term shall not include hospitality, transportation or
lodging.
"Hospitality." Includes all of the following:
(1) Meals.
(2) Beverages.
(3) Recreation and entertainment.
The term shall not include gifts, transportation or lodging.
65 Pa.C.S. § 13A03.
Subject to certain statutory exceptions, Section 1105(b)(6) of the Ethics Act requires the
filer to disclose on the Statement of Financial Interests the name and address of the source and the
amount of any gift or gifts valued in the aggregate at $250 or more and the circumstances of each
gift. Where a non-governmental body pays the cost for a public official/public employee to attend
a training, seminar, or similar event, the cost would be considered a “gift” to the public
official/public employee and would be reportable as such if the reporting threshold ($250 in the
aggregate for the calendar year) would be met. Confidential Opinion, 16-002. There is no
statutory exclusion to disclosure where the cost for a public official/public employee to attend a
training, seminar, or similar event could have been—but was not—paid by the governmental body
of the public official/public employee. Id.
Giles, 24-540
May 10, 2024
Page 6
Pursuant to Section 1105(b)(7) of the Ethics Act, sources and amounts of paid/reimbursed
travel expenses received by a public official/public employee in connection with public
office/public employment are to be disclosed on the Statement of Financial Interests when the
disclosure threshold (in excess of $650 in the aggregate for the calendar year) is met and neither
of the statutory exclusions applies. There is no statutory exclusion to disclosure based upon a
perceived benefit or savings to the governmental body or the taxpayers as a result of a third party
paying travel expenses. Cf., Neff, Order 1484. Likewise, there is no statutory exclusion to
disclosure where the expenses could have been—but were not—paid/reimbursed by the
governmental body itself. The disclosure requirement is applicable when a third party pays the
travel expenses directly or reimburses the public official/public employee, bypassing the
governmental body. Confidential Opinion, 16-001. The disclosure requirement is not applicable
when a third party submits payment for complimentary travel and lodging directly to the
governmental body. Cf., Cernic, Advice 06-587.
Conclusion:
In applying the above provisions of the Ethics Act to the instant matter, you are advised as
follows.
As a Principal Planner for the City, you are a “public employee” subject to the Ethics Act
and the Regulations of the State Ethics Commission. See, 65 Pa.C.S. § 1102; 51 Pa. Code § 11.1.
This conclusion is based upon the submitted job description for your City position, which when
reviewed on an objective basis, indicates clearly that the power exists to take or recommend official
action of a non-ministerial nature with respect to one or more of the following: contracting;
procurement; administering or monitoring grants or subsidies; planning or zoning; inspecting;
licensing; regulating; auditing; or other activity(ies) where the economic impact is greater than de
minimis on the interests of another person.
Section 1103(a) of the Ethics Act (pertaining to conflict of interest) would not prohibit you
from accepting: (1) the waived Conference registration fee or any other discounted or waived
conference registration fee; or (2) a scholarship to discount or cover your travel costs for attending
a conference. The amount discounted or waived with respect to the registration fee of a conference
that you would attend would be considered a “gift” to you and would be reportable as such if the
reporting threshold ($250 in the aggregate for the calendar year) would be met. As your
registration fee for the Conference would have totaled $995.00, you would have to report the
waived Conference registration fee as a gift. The amount of a scholarship to discount or cover
your travel costs for attending a conference would be reportable as transportation, lodging, or
hospitality if the reporting threshold (in excess of $650 in the aggregate for the calendar year)
would be met.
Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act.
Pursuant to Section 1107(11) of the Ethics Act, an Advice is a complete defense in any
enforcement proceeding initiated by the Commission, and evidence of good faith conduct in any
other civil or criminal proceeding, provided the requester has disclosed truthfully all the material
facts and committed the acts complained of in reliance on the Advice given.
Giles, 24-540
May 10, 2024
Page 7
This letter is a public record and will be made available as such.
Finally, if you disagree with this Advice or if you have any reason to challenge same, you
may appeal the Advice to the full Commission. A personal appearance before the Commission
will be scheduled and a formal Opinion will be issued by the Commission.
Any such appeal must be in writing and must be actually receivedat the Commission within
thirty (30) days of the date of this Advice pursuant to 51 Pa. Code § 13.2(h). The appeal may be
received at the Commission by hand delivery, United States mail, delivery service, or by FAX
transmission (717-787-0806). Failure to file such an appeal at the Commission within thirty (30)
days may result in the dismissal of the appeal.
Respectfully,
Bridget K. Guilfoyle
Chief Counsel