HomeMy WebLinkAbout86-612A DeringMs. Nancy Z. Dering
2327 North Second Street
Harrisburg, PA 17110
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PA 17120
TELEPHONE: (717) 783 -1610
August 7, 1987
SUPPLEMENTAL ADVICE OF COUNSEL
86 -612 -A
Re: Former Public Employee, Section 3(e), Office of Administration, Paid
Government Consultant
Dear Ms. Dering:
This responds to your letter of July 24, 1987, wherein you seek
additional advice relative to Advice No. 86 -612.
Issue: Whether you may act as a paid consultant to the Office of
Administration after you terminated your employment as Employee Training and
Development Manager for the purpose of assisting your former employer in
evaluating candidates for your prior positon.
Facts: On October 8, 1986, the State Ethics Commisson issued Advice of
Counsel No. 86 -612. You, as Employee Training and Development Manager in the
Office of Administration of the Governor, requested advice as to whether the
State Ethics Act presented any restrictions upon you following your
termination of employment as Employee Training and Development Manager. You
indicated that you intended to establish your own consulting firm following
your termination of employment. Subject to the limitations contained in the
Advice of Counsel, you were advised that you were a public employee and, that
upon termination of your service with the Office of Administration, you would
become a former public employee subject to the restrictions imposed by Section
3(e) of the Ethics Act which were outlined in the previous advice. Lastly,
you were advised that for the purpose of the one year representation
restriction, the governmental body to which that restriction would apply would
be the Office of Administration and any other state agency or bureau wherein
you had duties or responsibilities relative to the recommendation or
implementation of programs and policies related to employee training and
development.
Ms. Nancy Z. Dering
August 7, 1987
Page 2
In your most recent letter, you advise that you have been asked by the
Deputy Secretary in the Office of Administration, hereinafter the Office, to
assist him in evaluating candidates for the position of Employee Training and
Development Manager, your former position. You state that the Deputy
Secretary intends to compensate you for your service in evaluating the
candidates for your former position via a contract at your daily consulting
rate.
Discussion: As noted in the previous Advice of Counsel, you were as the
Employee Training and Development Manager, a public employee as that term is
defined in the State Ethics Act. 65 P.S. §402. Consequently, upon your
termination of your service on October 15 or 16, 1986, you became a "former
public employee" as that term is set forth in Section 3(e) of the Ethics Act.
Section 3(e) provides as follows:
SEction 3. Restricted activities.
(e) No former official or public employee shall represent
a person, with or without compensation, on any matter
bero re the governmental body with which he has been
associated for one year after he leaves that body.
65 P.S. 403(e).
In the previous Advice of Counsel, the governmental body for the purpose
of the one year representation restriction was found to be the Office and any
other state agency or bureau where you had influence as outlined above. There
is no general limitation on the type of employment in which you could engage
after termination of your position as Employee Training and Development
Manager. However, the one year representation restrictions, as detailed in
the previous Advice of Counsel, would remain applicable. Thus, the Ethics Act
would not prohibit your employment as a paid consultant to the Office for the
purpose of evaluating the candidates for your former position, but you still
would be subject to Section 403(e) of the Ethics Act which prohibits you from
representing any person with or without compensation before the Office for a
period of one year after you resign as Employee Training and Development
Manager. Refer to the previous Advice of Counsel regarding limitations.
Section 3(e) would not impose a restriction in this instance since it is your
former governmental body that has sought your services as a consultant for the
specific purpose of aiding them in finding your replacement. This particiular
situation is not within the intendment of the restrictions under Section 3(e).
See Frank, 87- 582 -A,
Ms. Nancy Z. Dering
August 7, 1987
Page 3
Conclusion: As Employee Training and Development Manager, you were a "public
employee" as defined in the Ethics Act and upon termination of your service
with the Office, you would be a "former public employee" subject to the
restrictions of the State Ethics Act. The State Ethics Act would not prohibit
your employment as paid consultant to the Office which contacted you for the
purpose of aiding them as a paid consultant to evaluate the candidates for
your former position as outlined above. However, the restriction imposed by
Section 3(e) of the Ethics Act remain applicable as outlined in the previous
Advice of Counsel.
As previously noted, when you terminate your employment you are reminded
that the Ethics Act does require you to file a Statement of Financial Interest
for the year following your termination of service.
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.
Sincerely,
Vincent J'. Dopko
General Counsel