HomeMy WebLinkAbout82-598 HochMr. Lance J. Hoch
Office of Policy and Planning
Governor's Energy Council
P.O. Box 8010
1625 N. Front Street
Harrisburg, PA 17108
RE: Representation, Restrictions
Dear Mr. Hoch:
Meiling Address:
STATE ETHICS COMMISSION
P.O. BOX 1179
HARRISBURG, PA 17108
TELEPHONE: (717) 783 -1610
December 15, 1982
ADVICE OF COUNSEL
82 -598
This is in response to your letter of November 18, 1982, in which you
requested advice from the State Ethics Commission regarding your future
relations with the Governor's Energy Council (GEC).
Issue: You ask what restrictions the Ethics Act will impose upon you as a
former employee of GEC in future dealings with GEC after you become a member
of a private firm, Synergic Resources Corporation.
Facts: You are currently employed as the renewable energy policy specialist
in the Bureau of Policy and Planning of the GEC but will soon be leaving to
take a position with Synergic Resources Corporation (SRC), an engergy
consulting firm in Bala Cynwyd, Pennsylvania. This firm has worked on a
contractual basis for the GEC in the past and may wish to do so agin.
As a renewable energy policy specialist, you report directly to Jan H.
Freeman, Associate Director of Energy Policy, who in turns reports to the
Executive Director, Robert A. Shinn. In your work for GEC, you have neither
reviewed proposals for work to be performed by SRC nor managed or overseen the
performance of work by SRC.
Upon assuming your position at SRC, you will report directly to the
President, Pilip R. Limaye. You will be employed on the corporate technical
staff and will assist the President of the firm in the oversight and
performance of contractual work by coordinating the work of other staff
members and by contributing your own research and writing.
State Ethics Commission • 308 Finance Building • Harrisburg, Pennsylvania
Mr. Lance J. Hoch
December 15, 1982
Page 2
Discussion: The Ethics Act, at 65 P.S. 401 et seq. regulates the conduct of
both present and former public employees to assure the public of the
independence and impartiality of its servants. We assume, that you fall
within the definition of "public employee" set forth in the Ethics Act and
your job description supports that assumption. Several restrictions on
representation are delineated under Section 3(e), which provides:
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).
With this restriction in mind, a discussion of what the term
"representation ", in relation to Section 3(e) of the Ethics Act, means in your
situation is in order. In general, the Commission has determined that the
prohibition of Section 3(e) relating to "representation" extends to such
activities as:
1. Personal appearances before the governmental body with which
you were associated, including, but not limited to, negotiation on
contracts with that body;
2. Attempts to influence that body;
3. Participating in any manner before your forem governmental body in
any case over which you had supervision, direct involvement, or
responsibility while employed by the governmental body;
4. Lobbying, that is, representing the interests of any person before
that governmental body to influence that body in relation to
legislation, regulations, etc. Kilareski, 80 -054.
Opinions of the Commission indicate that a former public employee may
appear in a third forum such as State or Federal Court, may make general
informational inquiries of the nature made by the public of their former
governmental body, and may utilize the knowledge and expertise gained in their
tenure as public employees, except as set forth above. You may administer
contracts between GEC and SRC which exist or which are awarded in accordance
with the above restrictions.
Mr. Lance J. Hoch
December 15, 1982
Page 3
While you are apparently cognizant of the restrictions placed on you with
regard to contract work and are planning to abide by them, they will be
delineated here for the record. The Commission has held that within the scope
of No. 1 outlined above a former employee may not leave his position and then
sign and submit bid proposals using his own name to his former governmental
body within a one -year period. Dalton, 80 -056. The fact that you might sign
or prepare a bid proposal, or that your name might appear as an employee who
will serve on the contract if awarded is within the prohibition of an "attempt
to influence" the former governmental body with which you were associated.
Prior Commission opinions make it clear that you may not prepare and sign as
preparer and file such a proposal. You may assist in preparing such items
where another person signs as the preparer, but the mere fact that your name
may be referred to as someone who will work on the project or as someone who
will provide technical assistance is within the scope of "attempting to
influence" your former governmental body, and, as such, is prohibited for the
one -year period.
Finally, the "governmental body" with which you have been associated must
be identified because any restrictions as to representation apply only to that
body. We find GEC was the governmental body with which you were associated.
Conclusion: You are a former public employee and your conduct as such is to
be guided by this advice. You may not, for a one -year period following
departure from state service, engage in the activites outlined above.
Specifically, you may not:
1. Personally appear before the governmental body with which you were
associated, ie., GEC; this includes negotiating any contract with
that governmental body and signing and submitting under your own
name any proposals to be reviewed by that body or allowing your name
to be listed in such proposals.
2. Attempt to influence the governmental body as in number one (1)
above, and to include lobbying within that restriction.
3. Participate in any manner in any particular case before the body
with which you were associated on a matter or contract over which
you had supervision, direct involvement or responsibility while you
were employed by the governmental body.
You nay, within the purview of the Ethics Act, assist in preparing and
writing proposals so long as No. 1 above is met and you may administer
existing or future contracts which have been awarded to SRC within these
guidelines.
Mr. Lance J. Hoch
December 15, 1982
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 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 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.
CW /rdp
cc: Jay C. Waldman
Executive Assistant to the Governor
Sincerely,
Sandra S. C'istianson
General Counsel