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HomeMy WebLinkAbout84-500 TaylorMr. Francis R. Taylor 3000 Swallow Hill Road Pittsburgh, PA 15220 Marling Address STATE ETHICS COMMISSION P.O. BOX 1179 HARRISBURG, PA 17108 TELEPHONE: (717) 783 -1610 January 9, 1984 ADVICE OF COUNSEL RE: Former Employee, Section 3(e) Restricted Activities 84 -500 State Ethics Commission • 308 !inanco Building • Harrisburg, Pennsylvania 4. Dear Mr. Taylor: This responds to your letter of December 7, 1983, in which you requested advice from the State Ethics Commission. Facts: You indicate that on September 21, 1983, you retired from the Pennsylvania Department of Transportation (PennDot) after having served with the District Right-of-Way Office Administration in District 11 -0 in Pittsburgh for some years. You indicate that you would like to become employed by 0. R. Collins Associates, Incorporated, hereinafter Collins. Collins is a real estate agency and you wish to act as a real estate broker for Collins. You indicate that PennDot currently expects to award contracts to entities such as Collins, whereby these agencies would operate as brokers for Pennflot to buy real estate which might be subject to condemnation proceedings and to become involved in relocation of individuals whose property may have been subject to eminent domain or condemnation 'proceedings. As a broker for Collins, if Collins were to contract with Pennflot for this service, you would be involved as real estate agent for Collins in purchasing of property and assisting in the relocation of the occupants who may have been displaced by highway construction or relocations. You indicate in our conversation of December 23, 1983, that Collins has already submitted a proposal (without your name included thereon) to Pennflot to perform this service as described above. The contract should begin to be executed in mid - January. Further, you indicate that you are not involved as a member of management of Collins. You did file a Financial Interest Statement while you were employed by Pennflot. Mr. Francis R. Taylor 3000 Swallow Hill Road Pittsburgh, PA 15220 Dear Mr. Taylor: Madm Address STATE ETHICS COMMISSION P.O. BOX 1 179 HARRISBURG, PA 17108 TELEPHONE: (717) 783 -1610 January 9, 1984 ADVICE OF COUNSEL RE: Former Employee, Section 3(e) Restricted Activities 84 -500 This responds to your letter of December 7, 1983, in which you requested advice from the State Ethics Commission. Facts: You indicate that on September 21, 1983, you retired from the Pennsylvania Department of Transportation (PennDot) after having served with the District Right -of -Way Office Administration in District 11 -0 in Pittsburgh for some years. You indicate that you would like to become employed by 0. R. Collins Associates, Incorporated, hereinafter Collins. Collins is a real estate agency and you wish to act as a real estate broker for Collins. You indicate that PennDot currently expects to award contracts to entities such as Collins, whereby these agencies would operate as brokers for Pennflot to buy real estate which might be subject to condemnation proceedings and to become involved in relocation of individuals whose property may have been subject to eminent domain or condemnation proceedings. As a broker for Collins, if Collins were to contract with PennDot for this service, you would be involved as real estate agent for Collins in purchasing of property and assisting in the relocation of the occupants who may have been displaced by highway construction or relocations. You indicate in our conversation of December 23, 1983, that Collins has already submitted a proposal (without your name included thereon) to Pennflot to perform this service as described above. The contract should begin to be executed in mid - January. Further, you indicate that you are not involved as a member of management of Collins. You did file a Financial Interest Statement while you were employed by PennDot. State Ethics Commission • 308 Cinancc Building • Harrisburg, Pennsylvania Mr. Francis R. Taylor January 9, 1984 Page 2 Discussion: We will assume, for purposes of this advice, that you were to be considered a "public employee" during your tenure with PennDot. Therefore, upon termination of such employment with PennDot, you would become a "former public employee." As a "former public employee" your conduct must conform to the requirements of Section 3(e) of the Ethics Act as set forth below: (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(e). As a former public employee you must, for the first calendar year following your termination of employment (September 21, 1983 to September 21, 1984), refrain from "representation" as the Commission has further defined that term vis -a -vis those governmental bodies with which you may have been associated while employed by PennDot. N We must, however, review of your request by asking the questions: 1) What is the scope of the term and activity know as "representation" and 2) to which governmental bodies do the restrictions and prohibitions against representation extend in your case? We will address this latter question first. In your capacity as the District Right -of -Way Administrator in District 11 -0 in Pittsburgh, we must assume you are at least associated with District 11-0 and, therefore, the restrictions under Section 3(e) of the Ethics Act would apply to your representation before District 11 -0 of PennDot. This is because your area of authority and responsibility extended to District 11 -0. Thus, the one year restriction set forth in Section 3(e) of the Ethics Act applies to your "representation" of any person - before District 11 -0 in general. However, you would not be precluded from "representation ", such working with or making submissions as to state agencies, including PennDot, other than District 11 -0 for the one year period following your termination of employment with PennDot. Further, the Ethics Commission has determined that the prohibited activity described as "representation" in Section 3(e) extends to such activities as: 1. personal appearances before the governmental body (District 11 -0) with which you were associated, including but not limited to negotiation or re- negotiation of contracts with District 11 -0 offices or personnel; Mr. Francis R. Taylor January 9, 1984 Page 3 2. attempts to influence District 11 -0 office or personnel; 3. participation in any manner before District 11 -0 in a case or matter over which you had supervision, direct involvement, or responsibility while employed in District 11 -0; and, 4. lobbying, that is representing the interest of any person before the governmental body (District 11 -0) with which you were associated in relation to legislation, regulations, etc. See Russell, 80 -048 and Seltzer, 80 -044. It should be noted that the mere act of preparing and signing with your own name or having your name appear as the person who will serve in regard to a proposal (such as technical advisor on the proposal) has been held to constitute an attempt to influence your former governmental body should such a proposal be presented to or reviewed by District 11 -0. Therefore, such activity is prohibited. See Kilareski, 80 -54. This is because the inclusion of your name as preparer or technical advisor on such a proposal to be submitted to District 11 -0 has the potential for influencing the decision of the District -- the body with which you were associated -- and is, therefore, prohibited for the one -year period after your leave your state employment. Also, where you know or should know that a submission or proposal that you might make to an entity other than to District 11 -0 will be reviewed by District 11 -0, your name should not appear on such a proposal. Anderson, 83 -014. While the above referenced restrictions apply to you for the one -year period following your termination of service with the state vis -a -vis District 11 -0, you may, nevertheless, work for an employer, such as Collins, and may within the one year period following your termination of service engage in the following activities: A. You may administer rather than negotiate or re- negotiate any contract that exists or that is to be awarded to your future employer so long as the contract or sub - contract is awarded or entered into without the inclusion of your name as noted above; B. You may make general informational inquiries of Distict 11 -0 or PennDot in general as long as there is no attempt to influence District 11 -0 as prohibited above; Mr. Francis R. Taylor January 9, 1984 Page 4 C. You may utilize the knowledge and expertise gained during your tenure as a public employee so long as you do not use any confidential information gained during your service as a public employee; and D. You may appear and represent any person on behalf of any client or new employer before any entity or governmental body except District 11 -0 as outlined above. Basically, your employment with Collins is not prohibited by the Ethics Act but you must observe the restrictions on your activities vis -a -vis District 11 -0 as outlined above in Nos. 1 through S. Conclusion: Upon your termination of service with the Commonwealth, you will have become a "former public employee" subject to the restrictions imposed by Section 3(e) of the Ethics Act. Your conduct as a former public employee must conform to the requirements of the Act as described in this Advice and you should take note of the prohibited and allowable activities as discussed above. As a former public employee you must file a Financial Interest Statement for each year that you held the position described above and for the year following your termination of service. Thus, a Statement of Financial Interest should be filed no later than May 1, 1984, which represents the filing required for the year following your termination of service. This Financial Interest Statement will record information for the calendar year 1983. As a former public employee you must file a Financial Interest Statement for each year that you held the position described above and for the year following your termination of service,. Thus, a Statement of Fihanci al Interest should be filed no later than May 1, 1984, which represents the filing required for the year following your termination of service. This Financial Interest Statement will record information for the calendar year 1983. Pursuant to Section 7(g)(i this Advice is a complete defense in any enforcement proceeding initiated ed by the Commission, and evidence of good faith conduct in any other civil or criminal proceeding, providing the requestor has disclosed truthfully all the w,ateri,1 facts and committed the acts complained of in reliance on the Advice given. Mr. Francis R. Taylor January 9, 1984 Page 5 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. SSC /rdp cc: Bruce Doman Thomas Larson Mike Finio Ken Bausinger Sincerely, Sandra S. Chri tianson General Counsel