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HomeMy WebLinkAbout83-623 MeteMailing Address. STATE ETHICS COMMISSION P.O. BOX 1 179 HARRISBURG, PA 17108 TELEPHONE: 1717) 783 -1610 December 2, 1983 ADVICE OF COUNSEL Louis G. Mete 612 Race Street Harrisburg, PA 17104 RE: Representation, Restrictions, Section 3(e) Dear Mr. Mete: employees, and you have asked: 83 -623 This responds to your letter of October 2.0, 1983, in which you requested advice from the State Ethics Commission. Issue: You would like to know what restrictions, if any, are placed upon you as a former public employee in your future contact with the City of Harrisburg Community Development Department and the Harrisburg Redevelopment Authority. Facts: You were previously employed by the City of Harrisburg as Assistant to the Mayor for Intergovernmental Affairs. You are currently interested in performing consulting work and /or possible full -time employment with Frank Robino Associations, Incorporated. Frank Robino Associates, Incorporated, is currently involved in the development of a housing project with the City of Harrisburg Community Development Department and the Harrisburg Redevelopment Authority. You state that as the former Assistant to the Mayor for Intergovernmental Affairs, you had no official involvement in the policies, decision - making, contract signing or any other type of official or unofficial approval or sign -offs relating to Robino Associates and their project. You are aware that the Ethics Act imposes restrictions upon former public a. whether you may work for Robino Associates either as a consultant or as a full -time employee; b. whether you may represent Robino Associates in Pennsylvania cities other than Harrisburg; and c. whether you may represent Robino Associates in their dealings with the City of Harrisburg and in their work with the Harrisburg Redevelopment Authority. State Ethics Commission 308 Finance Building n Harrisburg, Pennsylvania Louis G. Mete December 2, 1983 Page 2 Discussion: In your former employment by the City of Harrisburg as Assistant to the Mayor for Intergovernmental Affairs you were a "public employee" subject to the Ethics Act, 65 P.S. g401 et seq. Upon leaving your position with the City of Harrisburg, you became a "former public employee." Section 3(e) of the Act, applicable to you as a "former public employee ", states that: Sectioo 3(e). Restricted Activities. (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 F.S. 403(e). From your job title, Assistant to the Mayor for Intergovernmental Affairs, we conclude that the governmental body for which you were associated is the City of Harrisburg and its various agencies, departments, bureaus, ect. including a Community Development Department (CDD). This is because you area of authority and responsiblity extended throughout the City of Harrisburg. However, the Ethics Commission finds that the Harrisburg Redevelopment Authority (HRA) is a separate and distinct legal entity from the City of Harrisburg, and therefore, is not included within the scope of the term "governmental body" with which you were associated. Thus, the one-year restrictions apply only to your representation of persons before the City of Harrisburg and its agencies, departments, bureaus, etc. You would, therefore, not be precluded from working with any public agercies other than the City of Harrisburg and its agencies, departments, and bureau for the year after your termination of employment with the City of Harrisburg. The Etics Commission has determined that the "representation' prohibited by Section 3(e) extends to such activities as: 1. personal appearances before the governmental body with which you were associated, here the City of Harrisburg, including but not limited to negotiations or contracts with that "body; 2. attempts to influence that governmental body; 3. participation in any manner before the City of Harrisburg in any case over which you had supervision, direct involvement, or responsibility while employed by the City of Harrisburg; and 4. lobbying, that is representing the interests of any person before the governmental body in relation to legislation, regulations, etc. See Russell, 80 -048; and Seltzer, 80 -044. Louis G. Mete December 2, 1983 Page 3 The mere act of preparing and signing a proposal or having your name appear as the person who will serve in regard to the proposal (such as technical advisor) constitutes an attempt to influence your former governmental body, should such a proposal be presented to or be reviewed by the City of Harrisburg. Kilareski, 80 -054. This is because the inclusion of your name on the proposal has the potential of influencing the decision of the governmental body with which you were associated and such conduct is, therefore, prohibited within the one -year vis -a -vis the City, after you leave public employment. You should also be aware that the Act requires you to avoid situations where you know, or have reason to believe, that proposals which you have signed or on which you name appears will be forwarded, or could reasonably be expected to be forwarded, to the City of Harrisburg for approval. This would include any proposals which you present to the Harrisburg Redevelopment Authority where such proposals will eventually come before the City for approval or review. While these restrictions apply to you for the one -year period following your termination of service with the City of Harrisburg vis -a -vis the City, you may, nevertheless, engage in the following activities even within the one -year period. a. 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; b. make general informational inquiries of the City of Harrisburg as long as no attempt is made to influence as prohibited above; c. 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 d. appear and represent any person on behalf of any client or new employer before any governmental body, except before the City of Harrisburg or any of its agencies, departments,,bureaus, etc. You should be aware that whether or not you are personally precluded from "representing" a client or an employer before the City of Harrisburg these restrictions are personal to you and do not extend to the members of Frank Robino Associates, Incorporated. Morris, 80 -034. This firm and its clients may, therefore, receive the benefits of your expertise even though you personally may not represent your firm or client before the City of Harrisburg as described above. Finally, the specific questions which you outlined in your request for advice are answered as follows: Louis G. Mete December 2, 1983 Page 4 A. You ask whether, under the Ethics Act, you may work for Robino Associates either as a consultant or as « full -time employee. Nothing in the Ethics Act would prohibit your pursuit of or acceptance of employment in the private sector, so long as there is no violation of Section 3(b) of the Ethics Act, 65 P.S. 403(b). You may, therefore, work for Robino Associates in either capacity, as long as your conduct conforms to the restrictions and the prohibitions discussed above. • B. You ask whether you may represent Robino Associates in Pennsylvania cities other than Harrisburg. Under the Ethics Act, restrictions upon representation extend only to representation before the governmental body with which you were associated here, the City of Harrisburg. In this regard, the Ethics Act places no restrictions upon your representation of Robino Associates or its clients before any cities in Pennsylvania, other than the City of Harrisburg. Cr Finally, you ask whether you may represent Robino Associates in their dealings with the City of Harrisburg, and their work with the Harrisburg Redevelopment Authority. Again, the restrictions which apply to you with regard to the City of Harrisburg, have been enumerated above and these restrictions will apply to you for the one -yeae period following your retirement from City service. However, because the Harrisburg Redevelopment Authority (HRA) is a separate and distinct legal entity from the City of Harrisburg, there are no prohibitions upon your representation before the HRA. You should, however, be cognizant of the restrictions which require you to refrain from "representation" such as signing a proposal or being listed on same where you know or have reason to know that the proposal will be forwarded, or could reasonably be expected to be forwarded from the HRA to the City for approval. Conclusion: Upon your termination of service with the City of Harrisburg, you became a former public employee subject to the restrictions set forth in Section 3(e) of the Ethics Act. As such, your conduct must conform to by this Advice and you should take note of both the prohibited and allowable activities as discussed above. Specifically, you are precluded from representing clients for the one-year period before the City of Harrisburg and any other City agencies, departments, bureaus, etc. You are not precluded from working for or with Robino Associates and you are not precluded from representation before the Harrisburg Redevelopment Authority except to the extent that any proposals you sign or where your name is submitted on same to the HRA and where these may come before the City for approval. 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. Louis G. Mete December 2, 1983 Page 5 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 Sincerely, Sandra S. Chr stianson General Counsel