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HomeMy WebLinkAbout98-501 PryorRobert K. Pryor RR 4, Box 336A Jersey Shore, PA 17740 STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 1 71 08 -1 470 TELEPHONE (717) 783 -1610 ADVICE OF COUNSEL January 8, 1998 98 -501 Re: Former Public Employee; Section 3(g); Highway Design Supervisor; PennDOT. Dear Mr. Pryor: This responds to your letter of December 8, 1997 by which you requested advice from the State Ethics Commission. Issue: Whether the Public Official and Employe Ethics Law presents any restrictions upon employment of a Highway Design Supervisor following termination of service with the Commonwealth of Pennsylvania, Department of Transportation. Facts: On June 27, 1997, you retired after 32% years of service with the Commonwealth of Pennsylvania, Department of Transportation (PennDOT), District 3- 0. During your last 8 years of employment with PennDOT, you were employed as a Highway Design Supervisor. Copies of your job description, job classification specifications, and organizational chart have been obtained and are incorporated herein by reference. You are currently discussing employment opportunities with an engineering consultant in the City of Williamsport that has performed engineering work for municipalities, PennDOT, and other state and federal agencies. You state that much of this work utilized monies from State liquid fuel funds and federal, state, and local programs. This firm currently has engineering agreements with PennDOT in Districts 3 -0 (Montoursville), 5 -0 (Allentown), 8 -0 (Harrisburg), and 9 -0 (Hollidaysburg). Your former duties with PennDOT involved direct supervision of a highway design squad. As Highway Design Supervisor, you were under the supervision of the district plans engineer who had control over and responsibility for your work. You state that at no time were you involved with the selection of any consultants working with PennDOT. You request an advisory as to your activities as a highway designer with this firm, and you specifically ask the following questions: Pryor, 98 -501 January 8, 1998 Page 2 1. Whether you may market and offer your services to PennDOT in other districts outside of District 3 -0? 2. What limitations would be placed upon you in District 3 -0? 3. What limitations, if any, would be imposed upon your working with municipalities utilizing federal highway funds, state funds, or liquid fuel funds inside or outside of District 3 -0? 4. Whether there would be any limitations upon you with regard to offering your services to other state, federal or local agencies inside or outside District 3 -0? Discussion: In the former capacity as a Highway Design Supervisor for the Commonwealth of Pennsylvania, Department of Transportation, you would be considered a "public employee" subject to the Public Official and Employe Ethics Law ( "Ethics Law ") and the Regulations of the State Ethics Commission. See, 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 one or more of the following: 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 became a "former public employee" subject to Section 3(g) of the Public Official and Employee Ethics Law. While Section 3(g) does not prohibit a former public official /public employee from accepting a position of employment, it does restrict the former public official /public employee with regard to "representing" a "person" before "the governmental body with which he has been associated ": 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. 65 P.S. §403(g) (Emphasis added). The terms "represent," "person," and "governmental body with which a public official or public employee is or has been associated" are specifically defined in the Ethics Law as follows: Section 2. Definitions. "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 Pryor, 98 -501 January 8, 1998 Page 3 contain the name of a former public official or public employee. "Person." A business, governmental body, individual, corporation, union, association, firm, partnership, committee, club or other organization or group of persons. "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. 65 P.S. §402. The term "Person" is very broadly defined. It includes the former public employee himself, Confidential Opinion 93 -005, as well as a new governmental employer. Ledebur, Opinion 95 -007. The term "representation" is also broadly defined to prohibit acting on behalf of any person in any activity. Examples of prohibited representation include: (1) personal appearances before the former governmental body or bodies; (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; (4) participating in any matters before the former governmental body as to acting on behalf of a person; and (5) lobbying. Popovich, Opinion 89 -005. Listing one's name as the person who will provide technical assistance on a proposal, document, or bid, if submitted to or reviewed by the former governmental body, constitutes an attempt to influence the former governmental body. Section 3(g) also generally prohibits 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 pertain to a contract that existed prior to termination of public service, Shay, Opinion 91 -012. However, if such a pre- existing contract does not involve the unit where the former public employee worked, the name of the former public employee may appear on routine invoices if required by the regulations of the agency to which the billing is being submitted. Abrams/Webster, Opinion 95- 011 A former public official /public employee may assist in the preparation of any documents presented to his former governmental body. However, the public official /public employee may not be identified on documents submitted to the former governmental body. The public official /public employee may also counsel any person regarding that person's appearance before his former governmental body. Once again, however, the activity in this respect should not be revealed to the former governmental body. The Ethics Law would not prohibit or preclude making general informational inquiries to the former governmental body to secure information which is available to the general public, but 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. Pryor, 98 -501 January 8, 1998 Page 4 Section 3(g) only restricts the former public official /public employee with regard to representation before his former governmental body. The former public official /public employee is not restricted as to representation before other agencies or entities. However, the "governmental body with which a public official /public employee is or has been associated" is not limited to the particular subdivision of the agency or other governmental body where the public official /employee had influence or control but extends to the entire body. See, Legislative Journal of House, 1989 Session, No. 15 at 290, 291; Sirolli, Opinion No. 90 -006; Sharp, Opinion 90- 009 -R. The governmental body with which you have been associated upon termination of public service is PennDOT in its entirety. Therefore, for the first year after termination of your service with PennDOT, Section 3(g) of the Ethics Law would apply and restrict "representation" of "persons" before PennDOT, including but not limited to District 3 -0. Having set forth the restrictions of Section 3(g) as they would apply to you, your specific inquiries shall now be addressed. In response to your first specific inquiry, as noted above, the restrictions of Section 3(g) apply to restrict you as to PennDOT in its entirety — not merely as to District 3 -0. Therefore, during the one year period of applicability of Section 3(g), you may not market and /or offer your services to PennDOT, either within or outside of District 3 -0, since such would constitute prohibited representation before your former governmental body. In response to your second specific inquiry, the limitations or restrictions that would be imposed upon you in District 3 -0, as well as the other Districts, have been set forth above. In response to your third and fourth specific inquiries, you would not be prohibited from working with municipalities that would utilize federal /state funds within or outside of District 3 -0, provided that in performing such services, no prohibited contacts would occur as to PennDOT and no written materials containing your name would be submitted to PennDOT, except to the narrow and limited extent permitted by Webster, supra, as to invoices for pre- existing contracts involving Districts other than District 3 -0, as set forth above. The answer would be the same as to services to other state, federal, or local agencies either within or outside District 3 -0. Based upon the facts which have been submitted, this Advice has addressed the applicability of Section 3(g) only. It is expressly assumed that there has been no use of authority of office for a private pecuniary benefit as prohibited by Section 3(a) of the Ethics Law. Further, you are advised that 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 judgment 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 statute, code, ordinance, regulation or other Pryor, 98 -501 January 8, 1998 Page 5 code of conduct other than the Ethics Law 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: In the former capacity as a Highway Design Supervisor for the Commonwealth of Pennsylvania, Department of Transportation ( "PennDOT "), you would be considered a "public employee" as defined in the Ethics Law. Upon termination of service with PennDOT, you became a "former public employee" subject to Section 3(g) of the Ethics Law. The former governmental body is PennDOT in its entirety. 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 would require that a Statement of Financial Interests be filed by no later than May 1 of the year after termination of service. Pursuant to Section 7(1 1), 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 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 thirty (30) days of the date of this Advice pursuant to 51 Pa. Code §13.2(h 1. The appeal may be received at the Commission by hand delivery, United States mail, delivery service, or by FAX transmission (717-787-080W. Failure to file such an appeal at the Commission within thirty (30) days may result in the dismissal of the appeal. erely, , 41) Vincent . Dopko Chief Counsel