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Home My WebLink About26-569 Confidential 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 October 19, 2026 To the Requester: 26-569 This responds to your letter received September 22, 2026, by which you requested a confidential advisory from the Pennsylvania State Ethics Commission (“Commission”) under the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq., seeking guidance as to the issue presented below: Issue: Whetherthe Ethics Act would impose prohibitions or restrictions upon an individual employed as a \[Job Title\]with the \[Commonwealth Department\]with regard to: (1) performing \[Type of Services\]for \[Types of Organizations\] as the owner of a \[Type of Company\]; or (2) providing notarial services as a Pennsylvania notary public. Brief Answer:Section 1103(a) of the Ethics Act, pertaining to conflict of interest, would not prohibit the individual, in herprivate capacity, from performing the aforesaid \[Type of Services\] as the owner of a \[Type of Company\] or providing notarial services as a Pennsylvania notary publicsubject to the conditions that the individual would engage in such activities outside of her Commonwealth work hours and that the individual would not use Commonwealth staff, facilities or equipment, or confidential information received as a result of being in her public position, in furtherance of her performance of such activities. Facts: You request aconfidential advisory from the Commission based upon the following submitted facts. You are employed as a \[Job Title\]with the \[Commonwealth Department\], in which capacity you serve as the \[Position\] for the \[Office\]. Your job duties include \[Various Activities Pertaining to Grants and Funding\]. Confidential Advice, 26-569 October 19, 2026 Page 2 In your private capacity, you are the owner of a Pennsylvania \[Type of Company\], \[Name of Company\] (“the Company”), which is not yet generating income. You would like to use the Company to perform \[Type of Services\]for \[Types of Organizations\]. Your work would not involve \[Commonwealth Department\] grants, \[Commonwealth Department\]funding programs, or any matter over which you have official authority or influence in your Commonwealth position. None of the Company’s prospective clients currently receive or are seeking \[Commonwealth Department\]grants or funding. In addition to providing \[Certain Services\], you may also seek to obtain a Pennsylvania notary commission.If you would become a notary public, you would use your personal equipment and time to perform your notarial work, which would be done independently of your Commonwealth position and would not involve documents connected to your official duties with the \[Commonwealth Department\]. You might perform notary services in connection with the Company’s \[Type of Work\]. You seek guidance as to whether the Ethics Act would impose prohibitions or restrictions upon you with regard to engaging in \[Type of Work\] as the owner of the Company or providing notarial services as a Pennsylvania notary public. In particular, you pose the following questions: (1) Whether performing \[Type of Services\]through the Company for \[Types of Organizations\] would create a conflict of interest under the Ethics Act, given your position with the \[Commonwealth Department\]and your \[Role\]in the \[Commonwealth Department’s\] grant programs; (2) Whether any restrictions would apply if a prospective client of the Companywould be seeking funding or grants from the \[Commonwealth Department\] or another Commonwealth agency; (3) Whether holding or exercising a Pennsylvania notary commission, separate and apart from your Commonwealth employment, would raise any concerns under the Ethics Act, including whether you would be permitted to notarize documents for the Company’s \[Type of Clients\]; and (4) Whether combining notarial work with the Company’s \[Type of Services\] would raise any additional conflict of interest concerns. Discussion: It is initially noted that 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 of the 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 of the material facts. Confidential Advice, 26-569 October 19, 2026 Page 3 Section1103(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. “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. “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”(i.e., the “de minimis exclusion” and the “class/subclass exclusion”), 65 Confidential Advice, 26-569 October 19, 2026 Page 4 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. Conclusion: In applying the above provisions of the Ethics Act to the instant matter, you are advised as follows. As a \[Job Title\]withthe \[Commonwealth Department\], serving as the \[Position\] for the \[Office\], you are a public employee subject to the provisions of the Ethics Act.The Companyis a business with which you are associated in your capacity as its owner. Pursuant to Section 1103(a) of the Ethics Act, you generally would have a conflict of interest in matters before the \[Commonwealth Department\]that would financially impact you, a member of your immediate family, or a business with which you or a member of your immediate family is associated, such as the Company. If you would obtain a Pennsylvania notary commission, you would not be considered a public official in your capacity as a notary public. See, Section 11.1 of the Regulations of the State Ethics Commission, 51 Pa. Code § 11.1 (the definition of the term “public official” does not include notary publics). Because Section 1103(a) of the Ethics Act imposes restrictions upon you in your capacity as a \[Job Title\] with the \[Commonwealth Department\] rather than upon you in your private capacity, Section 1103(a) would not prohibit you from: (1) performing \[Type of Services\] through the Companyfor \[Types of Organizations\]orother types of clients, including clients that would be seeking funding or grants from the \[Commonwealth Department\]or another Commonwealth agency; (2) holding a Pennsylvania notary commission and providing services as a notary public; or (3) notarizing documents for the Company’s clients or otherwise combining notarial work with the Company’s \[Type of Services\].However, pursuant to Section 1103(a), you generally would be prohibited from performing such \[Type of Work\]or notarial services during your Commonwealth work hours and from using Commonwealth staff, facilities or equipment, or confidential information received as a result of being in your public position with the \[Commonwealth Department\], in furtherance ofyourperformance of such services. 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 theAdvice given. Confidential Advice, 26-569 October 19,2026 Page 5 This letter isa public recordand 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 scheduledand a formal Opinion will be issued by the Commission. Any such appeal must be in writing and must be actually received at 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