HomeMy WebLinkAbout85-537 EngleMr. Jeffrey M. Engle
1523 Kadel Drive
Bethlehem, PA 18018
STATE ETHICS COMMISSION
308 FINANCE BUILDING
P.O. BOX 11470
HARRISBURG, PA 17108 -1470
TELEPHONE (717) 783 -1610
April 22, 1985
ADVICE OF COUNSEL
fie: Former Public Employee; Section 3(e), Civil Engineer II
Dear Mr. Engle:
85 -537
This responds to your letter of March 26, 1985, in which you requested
advice from the State Ethics Commission.
Issue: You ask whether the Ethics Act presents any restrictions upon your
potential employment following your termination of service with the
Pennsylvania Department of Transportation.
Facts: You are currently employed as a Civil Engineer II by the Department of
Transportation, hereinafter PennDot, in Engineering District 2 -0. We have
reviewed the job description as well as the job specification for this
position and have incorporated this document herein by reference.
Generally, a civil engineer in this class performs a varietry of
engineering duties associated with the location, design, or construction of
roads, bridges, buildings, or other civil engineering projects, transportation
planning, or traffic control of highways. Work involves independently
performing preliminary engineering studies, conducting location or foundation
investigations, preparing plans and specifications, serving as construction
engineer on the less complex projects, or assisting a higher -lever engineer on
substantial portions of complex projects. Emphasis is placed upon the
application of a broad knowledge of engineering principles and practices to
varied and comprehensive engineering projects. Supervision may be exercised
over engineers, technicians, or inspectors. Work is assigned with general
.instructions and objectives by a technical supervisor who provides assistance
when difficult problems are encountered and reviews completed work for
adherence to sound engineering practices.
Mr. Jeffrey M. Engle
April 22, 1985
Page 2
You have indicated that your employment history with PennDot consists of
15 months as a Civil Engineer I from August 1982 to October 1983 which was
spent in a training program designed to orient all newly hired civil engineers
with all operations and activities of the Department. Upon completion of your
training program you were promoted to Civil Engineer II, given the title of
Assistant Design Squad Leader and assigned to the Highway Plans linit of the
Design Division, District 2 -0. You have worked in this capacity from October
1983 to date.
You have indicated that you are considering leaving PennDot in order to
secure employment with a private consulting firm. In this capacity you
indicate that your work with this firm would primarily deal with projects
contracted through other agencies, however, the possibility of being involved
with a PennDot contract does exist. You inquire as to what restrictions will
be imposed upon you under the State Ethics Act.
— Discussion: At the outset, it must be noted that the Ethics Commission may
only address your question within the purview of the Ethics Act. The
Commission may not and will not offer advice with respect to any duties or
obligations that may be imposed by other provisions of law such as the State
Adverse Interest Act or the Governor's Code of Conduct.
As a Civil Engineer II for PennDot, you are to be considered a "public
employee" within the definition of that term as set forth in the Ethics Act
and the regulations of this Commission. 65 P.S. 402; 51 Pa. Code 1.1. This
conclusion is based upon your job description, which when reviewed on an
objective basis, indicates clearly that you have the power to talre or
recommend official action of a non - ministerial nature with respect to
contracting, procurement, planning, inspecting or other activities where the
economic impact is greater than de minimus on the interests of another person.
See Montgomery, 80 -004; Burns; 84 -605.
Consequently, upon termination of this employment, you would become a
"former public employee" subject to Section 3(e) of the Ethics Act. Section
3(e) of the Ethics Act provides that:
Section 3. Restricted activities.
(e) No former official or public employee shall represent
a person, with or without compensation, on any matter
before the governmental body with which he has been
associated for one year after he leaves that body.
65 P.S. 403.
Mr. Jeffrey M. Engle
April 22, 1985
Page 3
Initially, to answer your request we must identify the "governmental
body" with which you were associated while working with PennDot. Then, we
must review the scope of the prohibitions associated with the concept and term
of "representation ". In this context, the Ethics Commission has previously
ruled that the "governmental body" with which an individual may he deemed to
have been associated during his tenure of public office or employment extends
to those entities where he had influence, responsibility, supervision, or
control. See Ewing, 79 -010. See also Kury vs. Commonwealth
of Pennsylvania, State Ethics Commission, 435 A.2d 940 (1981).
From the description and analysis of your duties and responsibilities and
based upon the facts outlined above, your jurisdiction, responsibility,
influence and control appear to have been exercised in District 2 -0,
hereinafter the District. Thus, the "governmental body" with which you have
been "associated" upon the termination of your enployment would be the
District. Therefore, within the first year after you would leave PennDot,
Section 3(e) of the Ethics Act would apply and restrict your "representation"
of persons or new employers vi s -a -vi s the Di strict.
The Ethics Act would not affect your ability to appear before agencies or
entities other than with respect to the the District. Likewise, there is no
general limitation on the type of employment in which you may engage,
following your departure from PennDot. You may not, however, "represent" any
new employer or client before the District as described more fully below for
the first year after you leave PennDot.
The Ethics Commission has promulgated regulations to define
"representation" as follows:
Section 1.1. Definitions.
Representation - -- Any act on behalf of any person
including but not limited to the following activities:
personal appearances, negotiating contracts, lobbying, and
submitting bid or contract proposals which are signed by
or contain the name of the former public official or
public employe. 51 Pa. Code 1.1.
The Commission, in its opinions, has also interpreted the term
"representation" as used in Section 3(e) of the Ethics Act to prohibit:
1. Personal appearances before the governmental body or bodies with
which you have been associated, (that is the District, including, but not
limited to, negotiations or renegotiations on contracts with the District;
2. Attempts to influence the District;
Mr. Jeffrey M. Engle
April 22, 1985
Page 4
3. Participating in any matters before the District over which you had
supervision, direct involvement, or responsibility while employed by PennDot;
4. Lobbying, that is representing the interests of any person or
employer before the District in relation to legislation, regulations, etc.
See Russell, 80 -048 and Seltzer, 80 -044.
The Commission, has also held that preparing and signing a proposal,
document or bid, or listing your name as the person who will provide technical
assistance on such proposal , document, or bid, if submitted to or reviewed by
the District, constitutes an attempt to influence your former governmental
body. See Kilareski, 80 -054. Therefore, within the first year after you
leave PennDot, you should not engage in the type of activity outlined above.
The Commission, however, has stated that the inclusion of your name as an
employee or consultant on a "pricing proposal," even if submitted to or
reviewed by the District, is not prohibited as "representation." See Kotalik,
84 -007.
You may assist in the preparation of any documents presented to the
District so long as you are not identified as the preparer. You may also
counsel any person regarding that person's appearance before the District.
Once again, however, your activity in this respect should not be revealed to
the the District. Of course, any ban under the Ethics Act would not prohibit
or preclude you from making general informational inquiries of the District to
secure information which is available to the general public. See Cutt,
79 -023. This, of course, must not be done in an effort to indirectly -
influence the District or to otherwise make known to the District. your
representation of or work for your new employer.
Finally, the Commission has concluded that if you are administering an
existing contract as opposed to negotiating or renegotiating a contract, your
activities would not be prohibited by the Ethics Act. See Dalton, 80-056 and
Beaser, 81 -538.
Conclusion: As a Civil Engineer II, you are to be considered a "public
employee" as defined in the Ethics Act. Upon termination of your service with
PennDot, you would become a "former public employee" subject to the
restrictions imposed by Section 3(e) of the Ethics Act. As such, your conduct
should conform to the requirements of the Ethics Act as outlined above.
Further, should you terminate your employment or service as outlined
above, you are reminded that the Ethics Act also requires you to file a
Statement of Financial Interests for the year following your termination of
service.
Mr. Jeffrey M. Engle
April 22, 1985
Page 5
Pursuant to Section 7(9)(ii), this 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, providing the requestor 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 request that the full Commission review this Advice. A
personal appearance before the Commission will be scheduled and a formal
Opinion from the Commission will be issued. Any such appeal must be made, in
writing, to the Commission within 15 days of service of this Advice pursuant
to 51 Pa. Code 2.12.
JJC /sfb
Sincerely,
John - ontino
General Counsel