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HomeMy WebLinkAbout82-553 LeoneMr. Joseph F. Leone RD #1, Box 240A Port Matilda, PA 16870 Mailing Address: STATE ETHICS COMMISSION P.O. BOX 1 179 HARRISBURG, PA 17108 TELEPHONE: (717) 783 -1610 June 2, 1982 ADVICE OF COUNSEL RE: Section 3(e) - Mining Engineer I - Consultant Dear Mr. Leone: 82 -553 This responds to your letter of April 2r, 1982 in which you requested advice from the State Ethics Commission. Issue: What is the affect of Section 3(e) of the Ethics Act on a Mining Engineer I in the Bureau of Mining and Reclamation, who contemplates employ- ment with a consulting firm that is active in the preparation and submission of permits like those the Engineer now reviews? Facts: You are a Mining Engineer I currently employed by the Bureau of Mining and Reclamation at a district mining office. Your responsibilities include the review of various permits directly related to surface mining and ancillary permits such as stream encroachments and relocations. You contemplate leaving this position to accept employment with a consul- ting firm that is active in the preparation and submission of permits similar to those you now review. Permit maps require the seal of a registered Profes- sional Engineer or registered Professional Surveyor. Because of the registra- tion regulations, however, you will not be eligible to take the Professional Engineers examination, which would qualify you to sign and seal the permit applications, for at least one year following your departure from the Bureau. Therefore, your first year of employment with a consulting firm would be under the supervision of a registered professional engineer. He would approve the permit application and place his seal on it before submitting it to DER. You would only gather and assimilate information, and prepare the permits for his review and approval. Discussion: As a Mining Engineer I for the Bureau of Mining and Reclamation, you are a public employee subject to the provisions of the Ethics Act, 65 P.S. §401 et seq. State Ethics Commission t 308 Finance Building a Harrisburg, Pennsylvania Mr. Joseph F. .eone June 2, 1982 Page 2 Section 3(e) of the Act states that 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). The governmental body with which your are associated is the Bureau of Mining and Reclamation. Thus, the one year restriction applies only to your representing persons before the E+ureau. In general, t`;e Ethics Commission has determined that the r epresentation prohibition of Section '..J(e) extends to such things as: 1. personal ap7' trance before the governnentai body with which you were associated, including but not limited to negotiations on contracts with that boc'y; 2. attempts to influence that governmental body; 3. participation in ary manner before the Bureau in any case over which you had supervision, direct involvement, or responsibility while employed by the Bureau; 4. LobbyinL, that is, representing the interests of any person before the governmental body in relation to legislation, regulations, etc. See Russell, 80 -048; Seltzee, 80 -044. The Commission has also held that the mere act lf preparing and signing a proposal - sun as permit application - or of having yoqr name appear as an employee who will serve in regard to the proposal, is within the prohibition of an attempt to influence the governemntal booty with which you were asso- ciated. Kilareski, 80 -054; Dalton, 80 -056. Thus, you may not prepare and sign any perr.i'; application that will be directed to the Bureau of Mining and Reclamation for one year after you leave that body. Nevertheless, you may assist the registered engineer or surveyor• in preparing such items where another person signs or seals as the "preparer. Any reference in the application to your name as someone who will work ors the project or provide technical assistance will constitute an attempt by you to influence your former governmental body. The inclusion of your name on the proposal should be avoided so as to not unduly influence the Bureau's determi- nation as to whether the permit should issue. Mr. Joseph F. Leone June 2, 1982 Page 3 Conclusion: You may participate, in a consulting firm, in the investigation and preparation for permit application to the Bureau of Mining and Recla- mation. However, in the first year following your departure from the Bureau your participation must not include your direct appearance before and /or personal signature on the permit application. You may provide technical assistance on the application's preparation, but you may not sign the docu- ments which will be presented to the Bureau; nor may your name appear on the application as a technical assistant on the project. Agencies or Bureaus other than the Bureau of Mining and Reclamation are not affected by the restrictions of Section 3(e) and you may fully appear and represent clients before such entities. 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. Sincerely, ra S. Ch General Couns BF /rdp cc: Peter S. Duncan, Secretary Department of Environmental Resources anson