HomeMy WebLinkAbout83-563 PedersenMr. Stephen F. Pedersen, P.E.
530 Gemini Drive
Freedom, PA 15042
RE: Restrictions; Representation
Dear Mr. Pedersen:
Mailing Address.
June 17, 1983
ADVICE OF COUNSEL
STATE ETHICS COMMISSION
P.O. BOX 1 179
HARRISBURG, PA 17108
TELEPHONE: (717) 783 -1610
83 -563
This responds to your letter of April 27, 1983, in which you requested
advice from the State Ethics Commission.
Issue: You would like to know what restrictions will be placed upon you, as a
former public employee, in your future with the Department of
Environmental Resources (DER) pursuant to your employment by NUS /PEC.
Facts: You are currently employed as a Regional Water Quality Manager (BWQ)
in the DER, Pittsburgh Regional office. You left this employment as of April
24, 1983. Upon termination of your employment with the Commonwealth, you will
join NUS /PEC as a Senior Environmental Engineer.
NUS /PEC is a private corporation which has among other contracts, a
contract with the Environmental Protection Agency (EPA). This contract is to
provide emergency services and response under the Hazardous Waste Act and to
provide remedial and emergency planning for hazardous waste site clean -up
efforts. This program, run by EPA as "lead ",, operates cooperatively with the
states and the states are responsible for 10% of the final clean -up cost.
When a state takes the "lead" on a project, NUS /PEC as contractor with EPA
would serve as project manager with responsibility to pre - qualify and assist
in selecting the sub - contractors for the project. When the EPA maintains the
lead on a project, NUS /PEC would represent EPA and might be required to deal
with DER to complete a project.
Your with NUS /PEC duties will consist of project management of
engineering on abandoned hazardous waste sites for the federal Environmental
Protection Agency, in conjunction with State environmental agencies where the
sites are located. In Pennsylvania, the State agency working on abandoned
sites with the EPA is the DER Bureau of Solid Waste Management (BSWM). You
are concerned with whether you may work on projects in Pennsylvania after
termination of your Commonwealth employment.
State Ethics Commission • 308 Finance Building • Harrisburg, Pennsylvania
Mr. Stephen F. Pedersen, P.E.
June 17, 1983 . -'__
Page 2
While employed with DER you served as the Regional Water Quality Manager
in the Pittsburgh Region. You reported directly to the Regional Environmental
Protection Director and supervised programs or sections as follows: Permits
Section; Grants Secton; Monitoring and Compliance Section; and Planning
Section. Your duties described in the classification specifications and
position description which are incorporated here by reference included among
other duties: insuring compliance with the Commonwealth's rules and
regulations relating to water quality management; explaining and supervising
inspection, investigation and enforcement activities; and representing BWQ in
meetings with federal officials and other state agencies on water quality
management programs.
Notably, the BWQ would cooperate with the BSWM as to permit applications
but you had no direct authority or responsibility vis -a -vis BSWM. Generally,
BWQ has little or no involvement with EPA on clean -up projects under the
Hazardous Waste Act on which NUS /PEC will operate under the contract described
previously.
Discussion: As a Regional Water Quality Manager in the DER Pittsburgh
Regional Office, you are a public employee subject to the Ethics Act, 65 P.S.
401 et seq. Section 3(e) of the Act, applicable to you as a "former public
employee ", states that:
(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).
From the charts you enclosed with your request for advice, we conclude
that the governmental body with which you are associated is the Pennsylvania
Department of Environmental Resources Pittsburgh Regional Office. Thus, the
one -year restrictions applies only to your representation of persons before
the Pittsburgh Regional Office. You would, therefore, not be precluded from
working with any of the DER Bureaus or Solid Waste Management except for the
one in the Pittsburgh Regional Office for the one -year after your termination
of employment with the Commonwealth.
The Ethics Commission has determined that the "representation"
prohibition of Section 3(e) extends to such things as:
1. personal appearances before the Regional Office with which you were
associated, including but not limited to negotiations or contracts
with that body;
Mr. Stephen F. Pedersen, P.E.
June 17, 1983 L :_
Page 3
2. attempts to influence that Regional Office;
3. participation in any manner before that office in any case over
which you had supervision, direct involvement, or responsibility
while employed by that Office;
4. lobbying, that is, representing the interests of any person before
the governmental body in relation to legislation, regulations, etc.
See Russell, 80 -048; Seltzer, 80 -044.
The mere act of preparing and signing a proposal or of having your name
appear as an employee who will serve in regard to the proposal constitutes an
attempt to influence your former governmental body, should such a proposal be
presented to the DER Pittsburgh Regional Office. Kilareski, 80 -054. This is
because the inclusion of your name on the proposal has at least the potential
to influence the decision of the Regional Office and is, therefore, prohibited
within the one -year after you leave DER.
While these restrictions apply to you for one -year following your
termination of service with the Commonwealth relative to the DER Pittsburgh
Regional Office, you may, nevertheless, engage in the following activities
even within the one -year period:
1. administer, rather than negotiate or re- negotiate, any contract that
exists or is to be awarded to your future employer so long as the
contract is entered into without the inclusion of your name as noted
above;
2. make general informational inquiries of the Regional Office as long
as no attempt is made to influence the Office as prohibited above;
3. 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 that time; and
4. appear and represent any person on behalf of any client or new
employer before any governmental body, including within DER, except
before the Pittsburgh Regional Office.
Conclusion: Upon your termination of service with DER, you will become a
former public employee subject to the restrictions imposed by the Ethics Act.
Your conduct should be guided by this advice, and you should take note of both
the prohibited and allowable activities as noted above.
Mr. Stephen F. Pedersen, P.E.
June 17, 1983 _
Page 4
Additionally, as a former public employee, you must file a Financial
Interest Statement for each year in which you held your position 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, because
that termination occurred during calendar year 1983.
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 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: Peter S. Duncan, Secretary
andra S. h stianson
General Coun
el