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HomeMy WebLinkAbout87-622 PetriSTATE ETHICS COMMISSION 308 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 1 71 08 -1 470 TELEPHONE (717) 783 -1610 October 20, 1987 ADVICE OF COUNSEL Mr. Henry A. Petri 474 Woodcrest Drive 87 Mechanicsburg, PA 17055 Re: Former Public Employee; Section 3(e), Director of Central Management Information Center Dear Mr. Petri: This responds to your letter of September 29, 1987, in which you requested advice from the State Ethics Commission. Issue: You ask whether the Ethics Act presents any restrictions upon your potential employment following your termination of service with the Central Management Information Center. Facts: In your letter of September 29, 1987, you state that you were by the Commonwealth of Pennsylvania from January 24, 1984 to September 1987 in the capacity of Director of Central Management Information Center, hereinafter CMIC. You further state that you employment with Unisys Corporation. As part of your e duties with accepted s, you will be responsible for marketing computer systems to the Commonwealth agencies with the exception of CMIC. Your job description /specification which is incorporated herein by reference provides that as Director for CMIC you provide administrative and technical direction for CMIC you officials of agencies that are served by CMIC and resolvetechnicalct with top utilization and priority problems. Furthermore, you al CMIC services and approve all outgoing correspondence. responsible for the Secretary of Administration for the successful operation of the center and you review and approve the budget preparation, Multi -Year Plan and Disaster Recovery Plan. You ask whether your employment with Unisys is consistant with the requirements of the Pennsylvania State Ethics Act. Mr. Henry A. Petri October 20, 1987 Page 2 Discussion: At the outset, it must be noted that the Ethics Commission may only address your question within the purview of the Ethics Act. The Commission may not and will not offer advice with respect to any duties or obligations that may be imposed by other provisions of law such as the State Adverse Interest Act or the Governor's Code of Conduct. As a Director for CMIC, you are to be considered a "public employee" within the definition of that term as set forth in the Ethics Act and the regulations of this Commission. 65 P.S. §402; 51 Pa. Code §1.1. This conclusion is based upon your job description, which when reviewed on an objective basis, indicates clearly that you have the power to take or recommend official action of a non - ministerial nature with respect to contracting, procurement, planning, inspecting or other activities where the economic impact is greater than de minimus on the interests of another person. See Mulvihill, 83 -606. Consequently, upon termination of this employment, you would become a "former public employee" subject to Section 3(e) of the Ethics Act. Section 3(e) of the Ethics Act provides that: Section 3. 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 P.S. 403. Initially, to answer your request we must identify the "governmental body" with which you were associated while working with CMIC. Then, we must review the scope of the prohibitions associated with the concept and term of "representation ". In this context, the Ethics Commission has previously ruled that the "governmental body" with which an individual may be deemed to have been associated during his tenure of public office or employment extends to those entities where he had influence, responsibility, supervision, or control. See Ewing, 79 -010. See also Kury vs. Commonwealth of Pennsylvania, State Ethics Commission, 435 A.2d 940 (1981). From the description and analysis of your duties and responsibilities and based upon the facts outlined above, your jurisdiction, responsibility, influence and control appears to have been CMIC. Thus, the "governmental body" with which you have been "associated" upon the termination of your employment would be CMIC. Therefore, within the first year after you would leave CMIC, Section 3(e) of the Ethics Act would apply and restrict your "representation" of persons or new employers vis-a-vis CMIC. Mr. Henry A. Petri October 20, 1987 Page 3 • The Ethics Act would not affect your ability to appear before agencies or entities other than with respect to the CMIC. Likewise, there is no general limitation on the type of employment in which you may engage, following your departure from CMIC. We do note, however, that the conflicts of interest law is primarily concerned with financial conflicts and violations of the public trust. The intent of the law generally is that during the term of a person's public employment he must act consistently with the public trust and upon departure from the public sector, that individual should not be allowed to utilize his association with the public sector, officials or employees to secure for himself or a new employer, treatment or benefits that may be obtainable only because of his association with his former public employer. See Anderson, 83 -014; Zwikl, 85 -004. In respect to the one year representation restriction the Ethics Commission has promulgated regulations to define "representation" as follows: Section 1.1. Definitions. Representation - -- Any act on behalf of any person including but not limited to the following activities: personal appearances, negotiating contracts, lobbying, and submitting bid or contract proposals which are signed by or contain the name of the former public official or public employe. 51 Pa. Code 1.1. The Commission, in its opinions, has also interpreted the term "representation" as used in Section 3(e) of the Ethics Act to prohibit: 1. Personal appearances before the governmental body or bodies with which you have been associated, (that is CMIC), including, but not limited to, negotiations or renegotiations on contracts with the CMIC; 2. Attempts to influence CMIC; 3. Participating in any matters before CMIC over which you had supervision, direct involvement, or responsibility while employed by CMIC; 4. Lobbying, that is representing the interests of any person or employer before CMIC in relation to legislation, regulations, etc. See Russell, 80 -048 and Seltzer, 80 -044. The Commission has also held that preparing and signing a proposal, document or bid, or listing your name as the person who will provide technical assistance on such proposal, document, or bid, if submitted to or reviewed by CMIC, constitutes an attempt to influence your former governmental body. See Mr. Henry A. Petri October 20, 1987 Page 4 Kilareski, 80 -054. Therefore, within the first year after you leave CMIC, you should not engage in the type of activity outlined above. The Commission, however, has stated that the inclusion of your name as an employee or consultant on a "pricing proposal," even if submitted to or reviewed by CMIC, is not prohibited as "representation." See Kotalik, 84 -007. You may, assist in the preparation of any documents presented to CMIC so long as you are not identified as the preparer. You may also counsel any person regarding that person's appearance before CMIC. Once again, however, your activity in this respect should not be revealed to the CMIC. Of course, any ban under the Ethics Act would not prohibit or preclude you from making general informational inquiries of CMIC to secure information which is available to the general public. See Cutt, 79 -023. This, of course, must not be done in an effort to indirectly influence these entities or to otherwise make known to the CMIC your representation of, or work for your new employer. Finally, the Commission has concluded that if you are administering an existing contract as opposed to negotiating or renegotiating a contract, your activities would not be prohibited by the Ethics Act. See Dalton, 80 -056 and Beaser, 81 -538. Additionally, we note that Section 403(b) of the State Ethics Act would prohibit any public employee or public official from accepting a position of employment if said position has been offered based upon the understanding that the official conduct of the employee or official, while working for his former governmental body, was influenced by such offer. See 65 P.S. §403(b). Conclusion: As a Director of CMIC, you are to be considered a "public employee" as defined in the Ethics Act. Upon termination of your service with CMIC, you would become a "former public employee" subject to the restrictions imposed by Section 3(e) of the Ethics Act. As such, your conduct should conform to the requirements of the Ethics Act as outlined above. Your governmental body for the purpose of the one year representation restriction is CMIC. Further, should you terminate your employment or service, as outlined above, you are reminded that the Ethics Act also requires you to file a Statement of Financial Interests 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. Mr. Henry A. Petri October 20, 1987 Page 5 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