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HomeMy WebLinkAbout94-562 KellyRobert L. Kelly 238 Haldeman Avenue New Cumberland, PA 17070 STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 1 71 08 -1 470 TELEPHONE (717) 783 -1610 ADVICE OF COUNSEL April 22, 1994 94 -562 Re: Former Public Employee; Section 3(g); Writer /Producer of Audio Visual Production; Pennsylvania Department of Transportation, Bureau of Personnel, Training Division. Dear Mr. Kelly: This responds to your letter of April 8, 1994, in which you requested advice from the State Ethics Commission. Issue: Whether the Public Official and Employee Ethics Law presents any restrictions upon employment of a Writer /Producer of Audio Visual Production following termination of service with the Commonwealth of Pennsylvania, Department of Transportation, Bureau of Personnel, Training Division. Facts: You are a Writer /Producer of Audio Visual Production (WPAV) in the Department of Transportation (PennDOT), Bureau of Personnel, Training Division. In this position you write scripts and produce video programs which assist employees in the acquisition of skills and knowledge required for their jobs. On September 9, 1994, you will retire from PennDOT and enter the private sector as a writer /producer of video -based training programs. You have enclosed a copy of your fictitious name registration filed with the Department of State. Though it is registered, "Rollbar" is inactive and will remain so until you leave PennDOT. You request an advisory from the State Ethics Commission on the propriety of three separate business activities you might conduct with the Commonwealth of Pennsylvania: 1. Writing and producing video -based training program for the Pennsylvania Local Roads Program. This organization is sponsored by the Federal Highway Administration ( FHWA) and PennDOT, in cooperation with the Pennsylvania State Kelly, Robert L., 94-562 April 22, 1994 Page 2 University and the Pennsylvania Department of Community Affairs. Your involvement would be limited to script, design and production oversight. The subject matter, budget and post- production would be handled by the Pennsylvania Local Roads Program. 2. Writing and producing video training programs for organizations within state government other than PennDOT's Bureau of Personnel, Training Division. 3. Writing and producing video training programs for highway equipment manufacturers that have or may be doing business with the Commonwealth of Pennsylvania. Discussion: As a WPAV for the Commonwealth of Pennsylvania, Department of Transportation ( "PennDOT "), you are considered a "public employee" within the definition of that term as set forth in the Public Official and Employee Ethics Law and the Regulations of this Commission. 65 P.S. §402; 51` Pa. Code §11.1. This conclusion is based upon the job description, which when reviewed on an objective basis, indicates clearly that the power exists to take or recommend official action of a non - ministerial nature with respect to contracting, procurement, planning, inspecting, administering or monitoring grants, leasing, regulating, auditing or other activities where the economic impact is greater than de minimis on the interests of another person. Consequently, upon termination of public service, you would become a "former public employee" subject to Section 3(g) of the Public Official and Employee Ethics Law. Section 3(g) of the Ethics Act provides that: Section 3. Restricted activities. (g) No former public official or public employee shall represent a person, with promised or actual compensation, on any matter before the governmental body with which he has been associated for one year after he leaves that body. Initially, to answer your request the governmental body with which you are associated while working with PennDOT must be identified. Then, the scope of the prohibitions associated with the concept and term of "representation" must be reviewed. The term "governmental body with which a public official or public employee is or has been associated" is defined under the Ethics Law as follows: Kelly, Robert L., 94 -562 April 22, 1994 Page 3 Section 2. Definitions. "Governmental body with which a public official or public employee is or has been associated." The governmental body within State government or a political subdivision by which the public official or employee is or has been employed or to which the public official or employee is or has been appointed or elected and subdivisions and offices within that governmental body. In applying the above definition to the instant matter, we must conclude that the governmental body with which you are associated upon termination of public service would be PennDOT in its entirety, including but not limited to the Bureau of Personnel, Training Division. The above is based upon the language of the Ethics Law, the legislative intent (Legislative Journal of House, 1989 Session, No. 15 at 290, 291) and the prior precedent of this Commission. Thus, in Sirolli, Opinion 90 -006, the Commission found that a former Division Director of the Department of Public Welfare (DPW) was not merely restricted to the particular Division as was contended but was in fact restricted to all of DPW regarding the one year representation restriction. Similarly in Sharp, Opinion 90- 009 -R, it was determined that a former legislative assistant to a state senator was not merely restricted to that particular senator but to the entire Senate as his former governmental body. Therefore, within the first year after termination of service with PennDOT, Section 3(g) of the Ethics Law would apply and restrict representation of persons or new employers vis -a -vis PennDOT in its entirety, including but not limited to the Bureau of Personnel, Training Division. It is noted that Act 9 of 1989 significantly broadened the definition of the term "governmental body with which a public official or public employee is or has been associated. It was the specific intent of the General Assembly to define the above term so that it was not merely limited to the area where a public official /employee had influence or control but extended to the entire governmental body with which the public official /employee was associated. The foregoing intent is reflected in the legislative debate relative to the amendatory language for the above term: We sought to make particularly clear that when we are prohibiting for 1 year that revolving -door kind of conduct, we are dealing not only with a particular subdivision of an agency or a local government but the entire Kelly, Robert L., 94 -562 April 22, 1994 Page 4 unit..." Legislative Jogrnal of House, 1989 Session, No. 15 at 290, 291. Therefore, since the Ethics Law must be construed to ascertain and effectuate the intent of the General Assembly under 1 Pa. C.S.A. 51901, it is clear that the governmental body with which you are associated is PennDOT in its entirety, including but not limited to the Bureau of Personnel, Training Division. Turning now to the scope of the restrictions under Section 3(g), the Ethics Law does not affect one's ability to appear before agencies or entities other than with respect to the former governmental body. Likewise, there is no general limitation on the type of employment in which a person may engage, following departure from their governmental body. It is noted, 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 governmental body. In respect to the one year restriction against such "representation," the Ethics Law defines "Represent" as follows: Section 2. Definitions. "Represent." " Represent. To act on behalf of any other person in any activity which includes, but is not limited to, the following: personal appearances, negotiations, lobbying and submitting bid or contract proposals which are signed by or contain the name of a former public official or public employee. The Commission, in Potovich, Opinion 89 -005, has also interpreted the term "representation" as used in Section 3(g) of the Ethics Law to prohibit: 1. Personal appearances before the former governmental body or bodies, including, but not limited to, negotiations or renegotiations in general or as to contracts; 2. Attempts to influence; 3. Submission of bid or contract proposals which are signed by or contain the name of the former public official /employee; Kelly, Robert L., 94 -562 April 22, 1994 Page 5 4. Participating in any matters before the former governmental body as to acting on behalf of a person; 5. Lobbying, that is representing the interests of any person or employer before the former governmental body in relation to legislation, regulations, etc. The Commission has also held that listing one's name as the person who will provide technical assistance on such proposal, document, or bid, if submitted to or reviewed by the former governmental body constitutes an attempt to influence the former governmental body. In Shav, Opinion 91 -012, the Commission held that Section 3(g) would prohibit the inclusion of the naive of a former public official /public employee on invoices submitted by his new employer to the former governmental body, even though the invoices pertained to a contract which existed prior to termination of public service. Therefore, within the first year after termination of service, you should not engage in the type of activity outlined above. As to the specific inquiries, Shav, supra, must be reviewed. In Shay, the Commission held that Section 3(g) would prohibit the inclusion of the name of a former public official /public employee on invoices submitted by his new employer to the former governmental body, even though the invoices pertained to a contract which existed prior to termination of public service. Specifically, the issue in Shav was whether restrictions of Section 3(g) applied where the name of the former public employee would appear on invoices submitted to his former governmental body. It was asserted that the name on an invoice was merely a line item of charge like any other cost and did not indicate that the former public employee even prepared the invoice. The Commission, however, held that the proposed inclusion of the former public employee's name on invoices submitted would fit within the definition of "represent" and would be prohibited by the Ethics Law. The key factor was that the involvement of the former public employee on behalf of the new employer was being made known to the former governmental body. The Commission further held that if an invoice were challenged, it would be possible that the former public employee would become a participant in the resolution of the dispute by explaining or testifying on behalf of the new employer. Such activity would also constitute representation. In this case, if the production of videos is part of a contract a manufacturer has with PennDOT, or otherwise is reviewable by PennDOT under the Pennsylvania Local Roads Program, it is possible that a dispute could arise as to a video which you produced. You could be required to defend your work by explaining, testifying or otherwise, whereby your involvement with the video would become known to PennDOT. Such activity would be considered Kelly, Robert L., 94 -562 April 22, 1994 Page 6 "representation ". Accordingly, while you would not be prohibited from working for your new employer, you must be aware that the submission of your name to PennDOT on any document related to your work on such videos, your appearance before PennDOT in any manner on behalf of your new employer and any contact you may have with any PennDOT personnel regarding your work, would be among the activities considered to be prohibited representation under the Ethics Law. You may assist in the preparation of any documents presented to PennDOT. However, you may not be identified on documents submitted to PennDOT. You may also counsel any person regarding that person's appearance before PennDOT. Once again, however, the activity in this respect should not be revealed to PennDOT. Of course, any ban under the Ethics Law would not' prohibit or preclude the making of general informational inquiries of PennDOT to secure information which is available to the general public. This must not be done in an effort to indirectly influence the former governmental body or to otherwise make known to that body the representation of, or work for the new employer. In addition, the term "Person" is defined as follows under the Ethics Law: Section 2. Definitions. "Person." A business, governmental body, individual, corporation, union, association, firm, partnership, committee, club or other organization or group of persons. In Confidential Opinion 93 -005, the Commission held that Section 3(g) precludes a former public official /employee from providing consulting services to his former governmental body for a period of one year after termination of service in that the prohibition against representing a person includes the former public official /employee representing himself. In addition, Sections 3(b) and 3(c) of the Ethics Law provide in part that no person shall offer to a public official /employee and no public official /employee shall solicit or accept anything of monetary value based upon -the understanding that the vote, official action, or judgement of the public official /employee would be influenced thereby. Reference is made to these provisions of the law not to imply that there has been or will be any transgression thereof but merely to provide a complete response to the question presented. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Law; the applicability of any other Kelly, Robert L., 94 -562 April 22, 1994 Page 7 statute, code, ordinance, regulation or other code of conduct other than the Ethics Act has not been considered in that they do not involve an interpretation of the Ethics Law. Specifically not addressed herein is the applicability of the Governor's Code of Conduct. Conclusion: As a Writer /Producer of Audio Visual Production for the Commonwealth of Pennsylvania, Department of Transportation ( "PennDOT "), you are considered a "public employee" as defined in the Ethics Law. Upon termination of service with PennDOT, you would become a "former public employee" subject to Section 3(g) of the Ethics Law. The former governmental body is PennDOT in its entirety, including but not limited to the Bureau of Personnel, Training Division. The restrictions as to representation outlined above must be followed. The propriety of the proposed conduct has only been addressed under the Ethics Law. Further, should service be terminated, as outlined above, the Ethics Law also requires that a Statement of Financial Interests be filed for the year following termination of service. Pursuant to Section 7(11), 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. such. This letter is a public record and will be made available as Finally, if you disagree with this Advice or if you have any reason to challenge same, you may appeal the Advice to the full Commission. A personal appearance before the Commission will be scheduled and a formal Opinion will be issued by the Commission. Any such appeal must be in writing and must be actually received at the Commission within fifteen (15) days of the date of this Advice pursuant to 51 Pa.Code §13.2(h). The appeal may be received at the Commission by hand delivery, United States mail, delivery service, or by FAX transmission (717- 787 - 0806). 'ncerely, 'ail\ 074 Vincent . Dopko Chief Counsel