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HomeMy WebLinkAbout26-564 Martin-Roberts 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 304 HARRISBURG, PA 17120-0400 ADVICE OF COUNSEL September 14, 2026 To the Requester: Gloria Martin-Roberts 26-564 Dear Ms. Martin-Roberts: This responds to your letter dated August 27, 2026, by which you requested an advisory from the Pennsylvania State Ethics Commission (“Commission”), seeking guidance as to the issue presented below: Issue: Whether, pursuant to Section 1103(a) ofthe Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), an individual employed as the Director of the Department of Building and Housing Development (“DBHD”) of the City of Harrisburg (“City”), whose daughter is employed with a charitable organization that provides services to address homelessness and housing-related issues, would have a conflict of interest with regard to participating in matters pertaining to the City’s award of Emergency Solutions Grants Program funds to the charitable organization. Brief Answer: YES. The Ethics Act would not prohibit the award of Emergency Solutions Grants Program funds to the charitable organization that employs the individual’s daughter while the individual is serving as the Director of DBHD. However, pursuant to Section 1103(a) of the Ethics Act, the individual would have a conflict of interest in her capacity as the Director of DBHD with regard to participating in matters pertaining to the City’s award of Emergency Solutions Grants Program funds to the charitable organization that employs her daughter. Facts: Yourequest an advisory from the Commission based upon submitted facts that may be fairly summarized as follows. Martin-Roberts, 26-564 September 14, 2026 Page 2 You are employed with the City as the Director of DBHD, which manages recurring annual grants that are funded through the United States Department of Housing and Urban Development (“HUD”). The City is a direct recipient of HUD funding for various grants, including Emergency Solutions Grants. The City is required by HUD to award Emergency Solutions Grants Program funds to third-party subrecipients on an annual basis. On July 14, 2026, City Council enacted several ordinances that addressed delayed City budgets for federal program dollars, including an ordinance that appropriated Emergency Solutions Grants Program funds from HUD for fiscal years 2023, 2024, and 2025 and authorized DBHD to expend such funds. The ordinance enacted with regard to the appropriation and expenditure of Emergency Solutions Grants Program funds included allocations for each fiscal year to various third-party subrecipients, including a charitable organization known as “Christian Churches United of the Tri-County Area” (“CCU”). CCU is a longtime subrecipient of Emergency Solutions Grants Program funds awarded by the City. CCU provides services to assist with addressing housing-related issues through Rapid Rehousing and Homeless Prevention programs that are partially funded through the City’s award of Emergency Solutions Grants Program funds. Your daughter is employed with CCU as a Program Director for Help Ministries. Your daughter’s position with CCU addresses aspects of the services provided by the Rapid Rehousing and Homeless Prevention programs, but she has no control over or decision making-role regarding who will receive services funded by Emergency Solutions Grants Program funds. Since the beginning of your service as the Director of DBHD, you have recused yourself from overseeing CCU-related issues and have delegated that responsibility to other management staff. The City has determined that a request for an exception/waiver under HUD’s conflict of interest regulations must be submitted to HUD to address the facts that your daughter serves as a CCU management employee and that you serve as the Director of DBHD. As part of the request for an exception/waiver, the City must provide HUD with a letter that includes a determination that HUD’s granting of an exception/waiver would not result in a violation of any state or local requirements. You seek guidance as to whether there would be a violation of the Ethics Act if, upon the receipt of a HUD conflict of interest exception/waiver, awards of Emergency Solutions Grants Program funds to CCU would be made while you are serving as the Director of DBHD. 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. Sections 1103(a)and 1103(j) of the Ethics Act provide: Martin-Roberts, 26-564 September 14, 2026 Page 3 § 1103. Restricted activities (a) Conflict of interest. -- No public official or public employee shall engage in conduct that constitutes a conflict of interest. (j) Voting conflict. -- Where voting conflicts are not otherwise addressed by the Constitution of Pennsylvania or by any law, rule, regulation, order or ordinance, the following procedure shall be employed. Any public official or public employee who in the discharge of his official duties would be required to vote on a matter that would result in a conflict of interest shall abstain from voting and, prior to the vote being taken, publicly announce and disclose the nature of his interest as a public record in a written memorandum filed with the person responsible for recording the minutes of the meeting at which the vote is taken, provided that whenever a governing body would be unable to take any action on a matter before it because the number of members of the body required to abstain from voting under the provisions of this section makes the majority or other legally required vote of approval unattainable, then such members shall be permitted to vote if disclosures are made as otherwise provided herein. In the case of a three-member governing body of a political subdivision, where one member has abstained from voting as a result of a conflict of interest and the remaining two members of the governing body have cast opposing votes, the member who has abstained shall be permitted to vote to break the tie vote if disclosure is made as otherwise provided herein. 65 Pa.C.S. §§ 1103(a), 1103(j). 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 Martin-Roberts, 26-564 September 14, 2026 Page 4 member of his immediate family or a business with which he or a member of his immediate family is associated. “Authority of office or employment.” The actual power provided by law, the exercise of which is necessary to the performance of duties and responsibilities unique to a particular public office or position of public employment. “Immediate family.” A parent, spouse, child, brother or sister. “Business.”Any corporation, partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, joint stock company, receivership, trust or any legal entity organized for profit. “Business with which he is associated.” Any business in which the person or a member of the person's immediate family is a director, officer, owner, employee or has a financial interest. 65 Pa.C.S. § 1102. Subject to the statutory exclusions to the Ethics Act’s definition of the term “conflict” or “conflict of interest,” 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. The definition of the term “business” as set forth in the Ethics Act includes a non- profit organization. Rendell v. State Ethics Commission, 603 Pa. 292, 983 A.2d 708 (2009). The use of authority of office is not limited merely to voting but extends 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. In each instance of a conflict of interest, a public official/public employee would be required to abstain from participation, which would include voting unless one of the statutory exceptions of Section 1103(j) of the Ethics Act would be applicable. Additionally, the disclosure requirements of Section 1103(j) of the Ethics Act would have to be satisfied in the event of a voting conflict. Conclusion: In applying the above provisions of the Ethics Act to the instant matter, you are advised as follows. As the Director of DBHD, you are a public employee subject to the provisions of the Ethics Act. Your daughter is a member of your “immediate family” as that term is defined in the Ethics Martin-Roberts,26-564 September 14, 2026 Page 5 Act. CCU is a business with which your daughter is associated in her capacity as an employee of CCU. Pursuant to Section 1103(a) of the Ethics Act, you generally would have a conflict of interest in your capacity as the Director of DBHD in matters that would financially impact you, your daughter, or CCU. You specifically would have a conflict of interest with regard to participating in matters pertaining to the City’s award of Emergency Solutions GrantsProgram funds to CCU. In each instance of a conflict of interest, you would be required to abstain from participation. Section 1103(a) of the Ethics Act, pertaining to conflict of interest, imposes restrictions upon the conduct of public officials and public employees individually rather than upon the conduct of governmental entities as a whole. Therefore, a governmental entity such as the City cannot engage in conduct that constitutes a conflict of interest under the Ethics Act. Consequently, there would be no violation of the Ethics Act if, upon the receipt of a HUD conflict of interest/exception waiver, the City would award Emergency SolutionsGrantsProgram funds to CCUwhile you would be serving as the Director of DBHD, under circumstances whereyou would abstain from any participation in matters pertaining to the award of those funds to CCU. 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. 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