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HomeMy WebLinkAbout81-522 LeDouxSTATE ETHICS COMMISSION . 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 March 10, 1981 ADVICE OF COUNSEL 81 - 522 Charles LeDoux RD #3, Box 125A Cochranton, PA 16314 RE: Section 3(e), Restrictions Dear Mr. LeDoux: This responds to your communication of March 3, 1981. Issue: In your communication you requested advice from the Ethics Commission as to the impact of the Ethics Act upon you as a "former public employee." Facts: You have been an employee ofthedDepartmentuof Revenue, Lottery Section. In this capacity your 1. Work territory assigned by managment. 2. Distribution of Weekly Game Tickets, Instant Game Tickets, and Daily Game Tickets. 3. Contact all central banks under lottery distribution systems weekly. 4. Contact all branch banks and State Stores on new procedures and delinquencies. 5. Present agents with bonus checks, commission checks, and agent prizes. 6. Contact, present, and make publicity arrangements for newspaper coverage of checks presented to winners. 7. Make arrangements with cit y township, borough, and romotions mall officials for weekly drawings and that are held at locations approved by headquarters. 8. Licensing and deactivating of new and existing agents. You are contemplating employment with Control Data Corporation. Control Data is presently under contract with the 1 and maintain equipment for the Daily Numbers Game. As an employee of Control Data y Commonwealth to supply your duties would include: Charles LeDoux March 10, 1981 Page 2 1. Training of agents who become lottery outlets. 2. Maintaining contact with agents.. 3. Updating new procedures. 4. Provide assistance to lottery officials at the local level. 5. Oversee custodial care of machines. 6. Work an area in Pennsylvania as assigned by managment. 7. Work outside Commonwealth on other Control Data systems as assigned by headquaters. Discussion: As a former public employee the Ethics Act places several requirements upon you. The first is found in Section 4(a) of the Ethics Act and is set forth in pertinent part below: "Each public employee employed by the Commonwealth shall file a Statement of Financial Interests for the preceeding calendar year with the department, agency, or bureau in which he is employed no later than May 1 of each year he holds such a position and of the year after he leaves such position." 65 P.S. §404(a). Thus, you must file a financial statement by May 1 of the year after you leave the Department of Revenue. In addition, Section 3(e) of the Ethics Act provides as follows: "No former official or public employee shall represent a person, with or without compensation, on any matter before the governmental body with which he had been associated for one year after he leaves that body." 65 P.S. 403(e). The State Ethics Commission has interpreted this.Section. In particular the phrase "governmental body with which you were associated" has been construed to mean that entity over which you may have had some influence. Seltzer, 80 -044 and Kline, 79 -001. In your case, this would be the Lottery Section of the Department of Revenue. Also, the Commission has set criteria for the concept of "representation" as contained in Section 3(e). In general, the Commission has held in Morris, 80 -039 that the "representation" which is prohibited within the one -year period includes: Charles LeDoux March 10, 1981 Page 3 1. Personal appearance before the governmental body, the Lottery Section, is prohibited for the one -year period; 2. Attempts to influence this governmental body are prohibited for the one -year period; 3. The former public employee may not participate in any case over which he or she had supervision, direct involvement, or responsibility while associated with the Lottery Section; 4 The former employee may not prepare and submit bid proposals under his signature; the former employee may, however, administer a contract secured by his prospective employer with the Commonwealth or the Department of Revenue, Lottery Section. Kilareski 80 -054; 5. Members of the former public employee's firm or business or prospective employer are not barred from representing clients or having contracts with the governmental body with which the former public employee was associated; 6. General informational inquiries on matters which are subjected to question by the general public are not prohibited, even as the Lottery Section. 7. Former public employees are not barred from generally utilizing the knowledge and expertise gained from their tenure as public employees except as set forth above; 8. Appearance in a third forum, such as state or federal court, is not prohibited. In your case, you are prohibited from activities outlined in Numbers 1, 2, 3, and 4 above in relation to the Lottery Section of the Department of Revenue. This does not preclude you from undertaking the activities you describe on behalf of Control Data Corporation. Conclusion: The governmental body with which you were associated is the State Department of Revenue, Lottery Section. As to this governmental body, you are prohibited from* " representing any person" before that Section for a period of one year from the date you leave that Section's employment. The term representation, which is prohibited is as set forth in items number 1, 2, 3, and 4 above. In addition, you should file a Financial Interest Statement as a former public employee as set forth above. Two forms are attached for your use. Follow the instructions on this form as to the method of filing. Charles LeDoux March 10, 1981 Page 4 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 may be scheduled and a formal Opinion from the Commission will be issued. You should make such a request or indicate your disapproval of this Advice within the next 30 days. SSC /rdp Attachment Sincerely, andra S. hristianson General C.unsel R