HomeMy WebLinkAbout17-506 JosephADVICE OF COUNSEL
February 9, 2017
To the Requester:
Mr. Thomas Joseph, P.E.
Dear Mr. Joseph
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This responds to your letter dated December 16, 2016, by which you requested
an advisory from the Pennsylvania State Ethics Commission ( "Commission ").
Issue: Whether the Public Official and Employee Ethics Act ( "Ethics Act "), 65
Pa. .S. § 1101 et seq., would impose restrictions upon employment of an Airport
Engineering Project Manager for the City of Philadelphia Department of Commerce
( "City Department of Commerce ") following termination of employment with the City
Department of Commerce.
Facts: You request an advisory from the Commission regarding the post -
employment restrictions of the Ethics Act. You have submitted facts that may be fairly
summarized as follows.
You are currently employed as an Airport Engineering Project Manager with the
City Department of Commerce in the Division of Aviation. You have submitted a copy of
Job Class Specification 31314 for your position as an Airport Engineering Project
Manager, which document is incorporated herein by reference.
It is administratively noted that per the City Home Rule Charter, the City
Department of Commerce is responsible for the operation of the City airport facilities,
which include the Philadelphia International Airport ("PHIL") and the Philadelphia
Northeast Airport ( "PNE ").
You may be retiring from your employment with the City Department of
Commerce. You state that you are seeking fob opportunities with consultant or
contractor teams that you currently work with or have worked with at PHIL.
You seek guidance as to whether the Ethics Act would impose prohibitions or
restrictions upon you during the first year following termination of your employment with
the City Department of Commerce. In particular, you pose the following questions:
(1) Whether, upon termination of your employment with the City Department
of Commerce, your former governmental body would be limited to PHIL or
would include every City Department; and
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February 9, 2017
Page 2
(2) Whether, following termination of your employment with the City
Department of Commerce, the Ethics Act would permit you to participate
with a consultant or contractor team - -that you worked with at PHL - -on
projects the consultant or contractor team would have with City
Departments other than the City Department of Commerce, such as the
City Department of Streets, the City Department of Water, and the like.
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.
It is further initially noted that, pursuant to the same aforesaid Sections of the
Ethics Act, an opinion /advice may be given only as to prospective (future) conduct. To
the extent that your inquiry relates to conduct that has already occurred, such past
conduct may not be addressed in the context of an advisory opinion. However, to the
extent your inquiry relates to future conduct, your inquiry may and shall be addressed.
Pursuant to Section 1103(a) of the Ethics Act, a public official /public employee is
prohibited from engaging in conduct that constitutes a conflict of interest:
§ 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
fol lows:
§ 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.
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February 9, 2017
Page 3
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 /employment or confidential
information received by holding such a public position for the private pecuniary 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 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.
Sections 1103(b) and 1103(c) of the Ethics Act provide in part that no person
shall offer or give to a public official /public employee anything of monetary value and no
public official /public employee shall solicit or accept anything of monetary value based
upon the understanding that the vote, official action, or judgment of the public
official /public employee would be influenced thereby. Reference is made to these
provisions of the law not to imply that there has been or will be any transgression
thereof but merely to provide a complete response to the questions presented.
As an Airport Engineering Project Manager for the City Department of
Commerce, you would be considered 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 job class specification 31314, 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.
Consequently upon termination of your employment with the City Department of
Commerce, you would become a "former public employee" subject to Section 1103(g) of
the Ethics Act.
While Section 1103(g) does not prohibit a former public official /public employee
from accepting a position of employment, it does restrict the former public official /public
employee with regard to "representing" a "person" before "the governmental body with
which he has been associated ":
§ 1103. Restricted activities
(g) Former official or employee. - -No former public
official or public employee shall represent a ep rson, with
promised or actual compensation, on any matter before the
governmental body with which he has been associated for
one year after he leaves that body.
65 Pa.C.S. § 1103(g) (Emphasis added).
The terms "represent," "person," "governmental body," and "governmental body
with which a public official or public employee is or has been associated" are specifically
defined in the Ethics Act as follows:
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February 9, 2017
Page 4
§ 1102. Definitions
"Represent." To act on behalf of any other person in
any activity wnicn incivaes, Dut is not iimitea to, the
following: personal appearances, negotiations, lobbying and
submitting bid or contract proposals which are signed by or
contain the name of a former public official or public
employee.
"Person." A business, governmental body,
individual, corporation, union, association, firm, partnership,
committee, club or other organization or group of persons.
"Governmental body." Any department, authority,
commission, committee, council, board, bureau, division,
service, office, officer, administration, legislative body or
other establishment in the executive, legislative or judicial
branch of a state, a nation or a political subdivision thereof or
any agency performing a governmental function.
"Governmental body with which a public official
or public employee is or has been associated." The
governmental body within State government or a political
subdivision by which the public official or employee is or has
been employed or to which the public official or employee is
or has been appointed or elected and subdivisions and
offices within that governmental body.
65 Pa.C.S. § 1102
The term "Person" is very broadly defined. It includes, inter alia, corporations and
other businesses. It also includes the former public official /public employee himself,
Confidential Opinion, 93 -005, as well as a new governmental employer. Ledebur,
pinion 95-001.
The term "represent" is also broadly defined to prohibit acting on behalf of any
person in any activity. Examples of prohibited representation include: (1) personal
appearances before the former governmental body or bodies; (2) attempts to influence;
(3) submission of bid or contract proposals which are sig.ned by or contain the name of
the former public official /public employee; (4) participang in any matters before the
former ggovernmental body as to acting on behalf of a person; and (5) lobbying.
Popovich, Opinion 89 -005.
Listing one's name as the person who will provide technical assistance on a
proposal, document, or bid, if submitted to or reviewed by the former governmental
body, constitutes an attempt to influence the former governmental body. Section
1103(g) also generally prohibits the inclusion of the name of a former public official/
public employee on invoices submitted by his new employer to the former governmental
body, even if the invoices pertain to a contract that existed prior to termination of service
with such governmental body. Shay, Opinion 91 -012. However, if such a pre- existing
contract does not involve the unit where a former public employee worked, the name of
the former public employee may appear on routine invoices if required by the
regulations of the agency to which the billing is being submitted. Abrams/Webster,
Opinion 95 -011.
A former public official /public employee may assist in the preparation of any
documents presented to his former governmental body. However, the former public
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February 9, 2017
Page 5
official /public employee may not be identified on documents submitted to the former
governmental body. The former public official /public employee may also counsel any
person regarding that person's appearance before his former governmental body. Once
again, however, the activity in this respect should not be revealed to the former
governmental body. The Ethics Act would not prohibit or preclude making general
informational inquiries to the former governmental body to secure information which is
available to the general public, but this must not be done in an effort to indirectly
influence the former governmental body or to otherwise make known to that body the
representation of, or work for, the new employer.
Section 1103(g) only restricts the former public official /public employee with
regard to representation before his former governmental body. The former public
official /public employee is not restricted as to representation before other agencies or
entities. However, the "governmental body with which a public official /public employee
is or has been associated" is not limited to the particular subdivision of the agency or
other governmental body where the public official /public employee had influence or
control but extends to the entire body. See Le islative Journal of House, 1989
Session, No. 15 at 290, 291; Sirolli, Opinion 90 -006; harp pinion 90- 009 -R.
The governmental body with which you would be deemed to have been
associated upon termination of your employment with the City Department of
Commerce would be the City Department of Commerce in its entirety, including but not
limited to the Division of Aviation. Therefore, for the first year following ermination of
your employment with the City Department of Commerce, Section 1103(g) of the Ethics
Act would apply and restrict "representation" of a "person" before the City Department of
Commerce.
Having set forth the restrictions of Section 1103(g) of the Ethics Act, your specific
questions shall now be considered.
Your first question has been addressed above.
In response to your second question, you are advised as follows.
Section 1103(g) of the Ethics Act would not prohibit you from accepting
employment with a consultant or contractor team that you currently work with or have
worked with at PHIL. However, during the first year following termination of your
employment with the City Department of Commerce, Section 1103(g) of the Ethics Act
would prohibit you from engaging in any activity(ies) that wouldd involve prohibited
representation before the City Department of Commerce as set forth above. Section
1103(8) of the Ethics Act would not prohibit you from participating on projects that a
consultant or contractor team would have with City Departments other than the City
Department of Commerce, such as the City Department of Streets, the City Department
of Water, and the like, subject to the condition that in so doing, you would not engage in
prohibited representation before the City Department of Commerce.
With regard to Section 1103(a) of the Ethics Act, an advisory cannot provide a
ruling as to past conduct. You are generally advised that the elements of a violation of
Section 1103(a) of the Ethics Act would not be established as a result of your
prospectively entering into a business /employment relationship with an entity subject to
the conditions that you: (1) did not use the authority of your public position in matter(s)
pertaining to such entity when you had an actual or reasonable expectation that you
would enter into a business /employment arrangement with such entity or would
otherwise receive a private pecuniary benefit relating to such entity; and (2) did not
otherwise use the authority of your public position or confidential information received
as a result of being in your public position in furtherance of securing a
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February 9, 2017
Page 6
business /employment arrangement with such entity or other private pecuniary benefit
relating to such entity. Cf., Desmond, Opinion 08 -004.
Lastly, the propriety of the proposed conduct has only been addressed under the
Ethics Act; the applicability of any other statute code ordinance regulation or other
code of conduct other than the Ethics Act has not been considered in that they do not
involve an interpretation of the Ethics Act.
Conclusion: As an Airport Engineering Project Manager for the City of
Philadelphia Department of Commerce ( "City Department of Commerce "), you would be
considered a "public employee" subject to the Public Official and Employee Ethics Act
( "Ethics Act ") 65 Pa.C.S. § 1101 et sec ., and the Regulations of the State Ethics
Commission, 51 Pa. Code § 11.1 et sue. Upon termination of your employment with the
City Department of Commerce, you would become a "former public employee" subject
to Section 1103(g) of the Ethics Act. The former governmental body would be the City
Department of CCommerce in its entirety, including but not limited to the Division of
Aviation. For the first year following termination of your employment with the City
Department of Commerce, Section 1103(8) of the Ethics Act would apply and restrict
"representation" of a "person" before the City Department of Commerce. The
restrictions as to representation outlined above must be followed.
With regard to Section 1103(a) of the Ethics Act, an advisory cannot provide a
ruling as to past conduct. You are generally advised that the elements of a violation of
Section 1103(a) of the Ethics Act would not be established as a result of your
prospectively entering into a business /employment relationship with an entity subject to
the conditions that you: (1) did not use the authority of your public position in matter(s)
pertaining to such entity when you had an actual or reasonable expectation that you
would enter into a business /employment arrangement with such entity or would
otherwise receive a private pecuniary benefit relating to such entity; and (2) did not
otherwise use the authority of your public position or confidential information received
as a result of being in your public position in furtherance of securing a
business /employment arrangement with such entity or other private pecuniary benefit
relating to such entity.
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
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
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February 9, 2017
Page 7
file such an appeal at the Commission within thirty (30) days may
result in the dismissal of the appeal.
Sincerely,
Robin M. Hittie
Chief Counsel