HomeMy WebLinkAbout83-547 PetullaMr. Louis W. Petulla, P.E.
P.O. Box 336
Oil City, PA 16301
Mailing Address.
STATE ETHICS COMMISSION
P.O. BOX 1179
HARRISBURG, PA 17108
TELEPHONE: 1717) 783 -1610
May 23, 1983
ADVICE OF COUNSEL
RE: Representation Before Former Governmental Body
Dear Mr. Petulla:
83 -547
This responds to your letter of April 4, 1983, in which you requested
advice from the State Ethics Commission.
Issue: You ask what limitations are placed upon you with regard to your
activities during the year following the termination of your employment with
the Pennsylvania Department of Transportation.
Facts: You are a district engineer who terminated your employment with the
Department of Transportation on April 15, 1983. All of your employment years
with the Department of Transportation have been in engineering District 1 -0,
which District is responsible for the activities in Crawford, Erie, Forest,
Lawrence, Mercer, venango and Warren Counties.
In February, 1956, you joined District 1 -0 as a co -op engineering student
and were assigned to the final unit, which unit is responsible for calculating
the final quanties cf work performed by contractors engaged by the
Department.
In 1960, you joined the Department of Highways as a Civil Engineer
Intern, again with District 1 -0. After completing a training program for
approximately 15 months, you were assigned to the Bridge Design Unit within
the District. After two years in this assignment, you were assigned to the
Construction Inspection Section, responsible for quality control of projects
in Warren and Mercer Counties. During the winter months, you were re- assigned
to the Bridge Design Unit. You left the Department in October, 1965.
In October, 1977, you re- joined District 1 -0 as the district engineer.
The district engineer is responsible for all highway operations within the
District. This includes highway design, bridge design, dealing with utility
companies, right of way acquisition, surveys, construction inspection,
issuance of permits to the public, road -side development, traffic operations
including speed limits, line painting and traffic signals, and maintenance of
the roadway and equipment in the entire seven - county District.
State Ethics Commission • 308 Finance Building • Harrisburg, Pennsylvania
Mr. Louis W. Petulla, P.E.
May 23, 1983
Page 2
In addition to the above, the district engineer is a member of the
Consultant Selection Committee which selects consultants to perform work for
the Department of Transportation. The district engineer is a member when a
project in his or her District are considered.
In your request to the State Ethics Commission, you also expressed a
concern as to the limitations on your activities for clients that are using
funds directly or i ndi rectly. furnished by the Department of Transportation.
For example, many local municipalities select engineers for projects that are
funded by the State Department of Transportation or the Federal Highway
Administration. In monitoring the use of these funds, the Department of
Transportation is involved. You are, therefore, concerned both with
limitations on your representation before the Pennsylvania Department of
Transportation and on your activities for clients using funds administered by
the Department.
Discussion: As a Highway District Engineer 3 for the Pennsylvania Department
of Transportation, you were a public employee subject to the provisions of the
Ethics Act, 65 P.S. 401 et. seq.
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, in your case, until April 15, 1984. 65 P.S. 403(e). The
governmental body with which you were associated is Engineering District 1 -0
as well as the Consultant Selection Committee; thus, the one year restriction
applies only to your representation or persons before District 1 -0 and the
Committee.
In general, the Ethics Commission has determined that the representation
prohibition of Section 3(e) extends to such things as:
1. Personal appearance before the governmental bodies with which you
were associated, including but not limited to negotiations on
contracts with those bodies;
2. attempts to influence those governmental bodies;
3. participation in any manner before Disrict 1 -0 or the Committee in
any project over which you had supervision, direct involvement, or
responsibility while employed by the District; and
4. lobbying, that is, representing the interests of any person before
these governmental bodies in relation to legislation, regulations,
etc. See Russell, 80- -048; Seltzer, 80 -044.
Mr. Louis W. Petulla, P.E.
May 23, 1983
Page 3
The Commission has also held,that the mere act of preparing and signing a
proposal - such as consulting or funding bids - or having your name appear as
an employee who will serve in regard to the proposal, is prohibited as an
attempt to influence the governmental bodies with which you were associated.
Kilareski, 80 -054; Dalton, 80 -056.
Thus, you may not prepare and sign any type of proposal or bid or submit
same containing your name that will be directed to District 1 -0 or the
Consultant Selection Committee for one year after you leave the District.
Nevertheless, you may assist other persons, partners or clients in preparing
such items where another person signs or seals as the "preparer." Any
reference in the proposal to your name as someone who will work on the project
or provide technical assistance would constitute an attempt by you to
influence your former governmental bodies. Such inclusion of your name should
be avoided so as to not unduely influence the District or Committee's
determination of whether to accept the proposal.
With regard to your question concerning use of funds directly or
indirectly furnished by the Department of Transportation, the Commission can
discern no ethical problems where the money comes directly from the Department
of Transporation. If, however, the application for the funding must go
through either District 1 -0 or the Consultant Selection Committee, you must
follow the guidelines outlined above in any application for such funds.
However, there is no per se prohibition against serving clients who receive
such funding.
Conclusion: In the year following your departure from the Department of
Transportation, your participation before your former governing body, ie.,
District 1 -0 and also the Consultant Selection Committee, must not include
"representation" as that term is outlined above. You may provide technical
assistance on the preparation of proposals but you may not sign the proposal,
bid or document nor may your name appear as a technical assistant on the
proposal, document or bid. Districts and Bureaus other than District 1 -0 and
the Committee are not affected by the restrictions of Section 3(e) and you may
fully appear and represent clients before such entities. The fact that some
of your clients receive funding from the Department of Federal Highway
Administration is no problem so long as the restrictions as to
"representation" before District 1 -0 and the Selection Committee outlined
above are met.
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.
Mr. Louis W. Petulla, P.E.
May 23, 1983
Page 4
This letter is a public reco,d 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: Bruce K. Doman
Thomas D. Larson, Secretary
Sincerely,
Sandra S. Christianson
General Counsel