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HomeMy WebLinkAbout831 RollerIn re: Mark A. Roller STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 1712O : File Docket: : Date Decided: : Date Mailed: Before: Dennis C. Harrington, James M. Howley Daneen E. Reese Roy W. Wilt Austin M. Lee James P. Gallagher Allan M. Kluger 89- 038 -C; 91- 015 -C2 February 20 1L 1292 February 27, 1992 Chair The State Ethics Commission received complaints regarding possible violations of the State Ethics Law, Act No. 170 of 1978 and Act No. 9 of 1989. Written notice, of the specific allegation(s) was served at the commencement of the investigation. A Findings Report was issued and served, upon completion of the investigation, which constituted the Complaint by the Investigation Division. An Answer was filed and a hearing was deemed waived. The record is complete. A Consent Decree Order was submitted by the parties to the Commission for consideration which was subsequently approved. This adjudication of the Commission is hereby issued which sets forth the individual Allegations, Findings of Fact, Discussion, Conclusions of Law and Order. This adjudication is final and will be made available as a public document fifteen days after issuance. However, reconsideration may be requested which will defer public release of this adjudication pending action on the request by the Commission. A request for reconsideration, however, does not affect the finality of this adjudication. A reconsideration request must be received at this Commission within fifteen days of issuance and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code §2.38. The files in this case will remain confidential in accordance with Section 8(a) of Act 170 of 1978 and Act 9 of 1989, 65 P.S. 408(h), during the fifteen day period and no one unless the right to challenge this Order is waived, may violate confidentiality by releasing, discussing or circulating this Order. However, confidentiality does not preclude discussing this case with an attorney at law. Any person who violates confidentiality of the Ethics Act is guilty of a misdemeanor subject to a fine of not more than $1,000 or imprisonment for not more than one year, 65 P.S. 409(e). I. ALLEGATION: That Mark A. Roller, Environmental Protection Regional Director in the Pennsylvania Department of Environmental Resources, violated the following provisions of the State Ethics Act (Act 170 of 1978) when he sought preferential treatment in the processing of a Bathing Place Permit for the Comfort Inn complex owned by White Deer Associates, which he held an interest in as a limited partner; and, when he failed to report your ownership in White Deer Associates on his Statements of Financial Interests: And, that he has Officials and Employees employees and officials Aluminum Rolling Mills, projects: Section 3. Restricted Activities. (a) No public official or public employee shall use his public office or any confidential information received through his holding public office to obtain financial gain other than compensation provided by law for himself, a member of his immediate family, or a business with which he is associated. 65 P.S. S403(a). Section 5. Statement of financial interests. (b) The statement shall include the following information for the prior calendar year with regard to the person required to file the statement and the members of his immediate family: (5) The name and address of any person who is the direct or indirect source of income totalling in the aggregate $500 or more. However, this provision shall not be construed to require the divulgence of confidential information protected by statute or existing professional codes of ethics. 65 P.S. S405(b)(5). (9) Any financial interest in any legal entity engaged in business for profit. 65 P.S. S405(b). violated the following Section of the Public Ethics Law, Act 9 of 1989, when he lobbied DER to obtain approval for the Excelsior project, Eastern Wood Products and Hunt Engineer II. FINDINGS: Sect }on 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). 1. Mark Roller was employed by the Department of Environmental Resources (DER) from June, 1958 until January, 1990. a. Roller retired on January 12, 1990 as his last position was the Regional Director for the Williamsport Regional Office. 2. Mark Roller's duties as Regional Director were outlined as follows: a. Direct through subordinate managers, the planning, implementation, coordination and evaluation of air quality management, water quality management, environmental sanitation control, solid and hazardous waste management, and radiation protection programs which may include ironing and reclamation. b. Work incl - udes 1) developing regional program plans and resolving conflicts with central of f Ce pragfaft fianagefa . 2) developing and directing regional- public information and education programs; and directing responses to emergency situations' such as chemical spills and floods 3) includes representing the Department, Secretary or Deputy - Secretary for Environmental Protection in s conference , public hearrinigs inter and intrastate commissions or task- forces'. 4) meeting with legislators, local Officials, local health department- of €icials, ca'tther Commonwealth agencies, special interest groups and the public to explain and seek acceptance of Departmental actions and programs. ►, c. Roller's work is assigned` in the form of broad goals and objectives and Roller is to exercise cons independent judgment in setting specific goals, objectives and priOrities . d. Rdiler' s work is reviewed upon completion by the Deputy Secretary for Environmental Protection through reports and COnferencek for attainment of program goals and dbjettiveS ceMpletene*s and program quality. e. As RegloftaI birector Roller would be responsible for cd©rdtiating permits and planning a review process to ehsur'e that permits were issued. 3. Pennsylvania Department of State Corporation Bureau records dated April 30, 1986 disclosed that Mark Roller had a 1/32 interest in White Deer Associates as a limited partner worth approximately $45,000.00. a. White Deer Run Associates was incorporated by ICeitkeck, Attorney - in - Fact for the Limited Partners of White Deer Run Associates. b. Roller was approved as a limited partner on December 16, 1985. 4. White Deer Associates developed a Comfort Inn /Bonanza Restaurant Complex in Union County, Pennsylvania. a The Comfort Inn Complex was required to obtain from the Department of Environmental Resources (DER) an Eating and Drinking License for the Bonanza Restaurant and a similar license for the Motel Lounge, and a DER Bathing Place Permit for the swimming pool. b. All three applications for permits and licenses came under the purview of the Williamsport DER Regional Office directed by Roller. 5. The Eating and Drinking L Ceases -or the Comfort Inn and Bonanza Restaurant were approved ly DER on January 27, 1987. a. DER Sanitarian CrkiV Russell conducted the inspections fbt the two license . b. Russell was not approached by Moller or any superior in arriving either of the tiro UUtenses . c. The 'initial contact for the application process for the eatah4 and cdr nking liternses tame from Russell since he SW the , sites far both the Comfort Inn and Bonanza Restaeraht 4uritlog his regular rounds for DER since he had not cOntattedlby 'the restaurant ;prior to his going there 6. On July 14, 1986 White teer Rth Associates filed an application for a Bathing Place Permit with the DDepartment of Environmental Resources, Williamsport Regional Office. a. The Applica is signed by Keith Eck for White Deer Run Associates, b. The application identifies the site as the Comfort Inn located at the Intersection of Route 15 and 1 -80. c. The application seeks a permit to construct an outdoor swimming pool to serve users of the Comfort Inn. 7. On July 31, 1986 Mark Roller, as Regional Director for the Williamsport Office of DER, advised Keith Eck that the application GEC No. 6086101 to construct a swimming pool had been received and was being processed by the Bureau of Community and Environmental Control. a. Roller further advised that the application would be processed as quickly as possible after all supporting documentation was received. b. Roller noted that other Bureaus of DER having environmental concerns were notified of the application, and that it was determined that no additional approvals were required, Approval of the application would be issued when all Department requirements were met. d. This was a standard form letter sent to all applicants who had permits pending. 8 On January 5, 1987 William Kosmer, DER Sanitary Engineer, Williamsport Regional. Office, advised Keith Eck in a Letter of Review regarding application No. 6086101 of eleven items that needed to be revised or clarified. 9. The Bathing Place Perm for the Comfort Inn No. 6086101 was appreved by DER on Larch 5, 1987. The permit was signed by Samuel Heitzenrater, Program Manager for the DER Williamsport Regional Office. c. a. All of the items listed in Kosmer's letter of January 5, 1987 were corrected and revised. b. The pool did meet design standards met by DER. 10. During the review process of the Bathing Place Permit No. 608601 conducted by DER, Mark Roller spoke with William Kosmer and Kosmer's supervisor regarding the application. a. Roller was Kosmer's ultimate supervisor in the Williamsport Office. b. The contacts occurred during period from July 14, 1986 and. March. 5, 1987. c. Roller questioned Kosmer regarding the status of the permit. d. Roder requested to be kept. informed of developments and to bs provided with copies of correspondence, particularly Rosmer' a January 5,, 19:&7 letter. (See Finding No. 8). e. Railer also roattrs<ss iy checked on other applications where delays is the review pre/Coss occurred,. 11. The permit at. the Comfort inn took 73 days to be reviewed and 232 days to be approved, a. The standard amount of time for a review is (6 0;) days and approval of a permit ranges from sixty to ninety days. 12. Statements of Financial Interests on file with the Personnel, Office for the Department of Environmental Resources in Harrisburg, Pennsylvania for Mark Roller indicate the following information: a. For Calendar Year: 1986 Filed: 4/20/87 Sources of Income: Commonwealth of PA Williamsport Hospital Office or Directorship: RJM Realty, Partner All Other Categories of Financial Interests; None b. For Calendar Year: 1987 Filed: 4/20/88 Sources of Income: Commonwealth of PA Williamsport Hospital Office or Directorship: Ram Realty, Partner c. For Calendar Year: 1988 Filed: 1/26/89 Sources of Income; Commonwealth of PA Williamsport } ospit#i All Other Categories of .Financial nte'ests; Even though it is less than instructions require, the following information is provided at till* r *I4t of my supervisor. White Deer Associates 1/32 limited partnership of 70% of z d. For Calendar Year: 1989 Filed: 4f Sources of Income: Cummonwetath of Pd Rm Rea2.ty Office or Directorship: WM Re . L y, P etner 1 Other Categories of Financial Interests: None e. Amended Form for 19,tp, Filed: 8/23/90 Sources of Income: Commonwealth of PA RJM Realtk, White Deer Assoc. f. For Calendar Year: 1990 Filed: 4/22/91 Sources of Income: Office or All Other Commonwealth of PA White Deer Assoc. Hunt Eng. Inc. Directorship: None Categories of Financial Interests; None Roller earned $1,500 from his White Deer As§oci4tes investment in 1989. 13. Mark Roller began working as a consultant for Hunt Engineers and Architects in Williamsport, Pennsylvania on February 1; 1990 g. 15. In be b. c. e. 4. a. Roller was to assist Hunt in •Business Development Efforts. 14. Roller addressed a letter to Vincent Dopk.o, Chief Counsel of the Pennsylania State gthics Commission on January 29, 1990 requesting an Advice of Counsel on what restrictions would be placed upon him in Iiisfuture with Hunt Engineers & Architects. Roller's letter he listed the general duties he was going to perfOiming at Hunt as folliws; Assist in preparing requests for approval (RFP) from industries and huniciWities for environmental projects. Contact industries and MUniC444.tipS to explain pr944pOrlsl O tliat can be provided. Prsmrply rervl.gy and g,tyal po.4trol of reports and designs F.F.,,P#r‘*PY # -c4ixsultiAg f4-4gt. Provide cf VAyironmptal matters under J- Fr9nde lie,luattop /or recopmeAda,tions on RA Rilt:terS for t.4 industry. Frov44p advice Alq/(9F F#Port.f ,0 eRVcific enviroaMental matters r ( a n 41 16. Roller was issue* an Advice of CcAmAsiita on May 25, 1990 from Vincent Dopko, Chief Counsel of the Pennsylvania State Ethics Commission, on what restrictions were placed upon him following his termination of employment with DER. a. In Fega,rds to the six specific area as to which Roller eggest&d - an Advice o €`Counsel, since the activities did of Relate to his former governmental body, DER, Section 14) the "Ethics Law would - not restrict such act.y4ifs 4Q11PF was permitted to assist in the preparation of any documents presented to DER as long as he was not identified as the preparer. c. Roller could also counsel any person regarding that person's appearance before DER as long as this activity was not revealed to DER. 17. Mark Roller had contacts with DER Personnel within one year of his retirement from the Department of Environmental Resources. a. These contacts were made regarding projects Roller was working on in his capacity as a consultant for Hunt Engineers and also in his capacity as a private consultant. b. The contacts were in regards to the following projects; 1) A Public Water Supply Permit for the Village of Excelsior. 2) A Costal Aluminum Rolling Mills potential facility. 3) An Eastern Wood Products boiler violation. 4) A permit for a car wash in Montoursville, PA 5) A sewer connection between a hospital and the Coudersport Sewer Authority. c. All of the above contacts were prior to Roller's receipt of the Advice of Counsel dated May 25, 1990. 18. Roller telephonically contacted William Kosmer, Chief of the Technical Service Section for the DER Williamsport Regional Office on March 15 1990. a. Roller contacted Kosmer seeking advice on what requirements were needed to have a Public Water Supply Permit approved to serve the Villags of Excelsior. b. Coal Township was attempting to solve a water problem for the Village of Excelsior by interconnecting with the Roaring Creek Water Company and running a transmission main to serve Excelsior. 1) Coal Township redeived funding for the project from PennVest grants and loans. c. Roller was working 6n behalf of Hunt trigirieers . HIS role was to assist in pfdparation of the application for the Grant and Loan frofi PennVest . 19. Eastern Wood Products, Williamsport, PA Wad cited by DER in April, 1990 for having a Wbo&fifed boiler not Meeting DER regulations for" emission a. The boiler peiinit was to expire on April 30, 1990. b. In various correspondences in April 1990 DER advised Eastern Wood Products that the permit would not be renewed until the boiler was brought in compliance with a DER regulations. c. DER noted that penalties could be applied. 20. On April 30, 1990 Roller' had a telephone conversation with John Archambault, District Supervisor for the Quality, Department of Environmental Resources, Williamsport Office regarding Eastern Wood Products. a. Roller was acting as a private consultant for Eastern Wood Products. b. Roller discussed the contents of DER's prior correspondence to Eastern Wood Products, including, among other issues, fine amounts if there was going to be a fine issued. c. Roller outlined steps the company would take to bring the boiler into compliance. d. There was a subsequent meeting with Moller on May 25, 1990. 1) This occurred because Eastern Wood Products was attempting to bring the boiler in compliance with DER regulations. 2) The boiler did not operate from April 30, 1990 until repairs were made on May 22, 1990. 3) The boiler was issued a renewal permit. e. No fines were levied because the bc.iler ceased to operate after April 30, 1990 and necessary improvements made. f. Roller's contacts were not influential when 'determining whether to fine Eastern Wood Products. 21. On April 5, 1990 Richard Maxwell, Chief, Engineering Services, Bureau of Air Quality Service, Williamsport Regional Office of DER, Met with Ken Schreckengast of Chronographic Processing and Mark Roller. a. Chronographic Processing was forming a new company, Coastal Aluminum Rolling Mills, Inc., to operate aluminum rolling plants. b. The purpose of the meeting was to discuss air quality requirements. ca Roller arranged the interview with DER because the owners of Coastal Aluminum did not believe DER regulations would apply. 1) Roller advised the owners that the plant might not pass DER's regulations. d. Roller did not attempt to get preferential treatment for Coastal Aluminum. e: Coastal Aluminum eventually opened a plant but utilized the services of another consulting engineer. 22. Between April 1990 and June 1990, William Parsons, Regional Water Quality Manager for the DER Williamsport Regional Office, had telephonic contacts with Roller regarding permit requirements in conjunction with a car wash in Montoursville, Pennsylvania and a sewer connection between the Charles Cole Hospital and the Municipal Sewage Authority in Coudersport. a. Roller did not request favors or special treatment in either case. b. Roller was representing Hunt Engineers and Architects. 23. Roller attended a meeting with Parsons on July 3, 1990 at the DEI Williamsport Regional Office in his capacity as representative of Hunt Engineers. a. The meeting was between DER and developers of a proposed prison in Northumberland County, Pennsylvania. b. The purpose of the meeting was to discuss sites, planning and permitting requirements. c. Roller was not an active participant at the meeting. 111. DI CUSSIO1: Initially, it is noted that the allegations in this case relate to both Act 9 1989 and Act 170 of 1978: In this regard, Section 9 of Act 9 of 1989, P.L. 26, provides, in 'Aft, as follows: "This amendatory act shall not apply to Violations committed prior to the effective date of this act„ and and causes of action initiated for such violations shall be governed by the prior law, which i:; continued in effect for that purpose as if this act were not in force. For the purposes of this section, a violation was committed prior to the effective date of this act if any elements of the violations occurred prior thereto." Under_both Act 170 ©€ 1978 and Act 9 of 1989; as an Environmental Protection�Regional Director in the Pennsylvania Department of EnvironmentalResoxrces, Nark A. Roller, hereinafter Roller, is a public official /employee as that term is defined under both acts. See also 51 Pa. Code: As such, his conduct is subject to the provisions of both laws and the restrictions therein are applicable to him: Commission has determined that 170 of 1978 quoted above; this Under Section 3(a), of t use of office by a public official to obtain a financial gain for Himself or a member of his immediate family or a business with which he is associated which is not provided for in law transgresses the above provision of law: Thus, use of office by a public official to obtain financial gain which is not authorized as part of his compensation is prohibited by Section 3(a): Hoak /McCutcheon -v. State Ethics Commission, 77 Pa. Commw: Ct. 529, 466 A:2d 283 (1983); Yacobet -v. State Ethics - Commission, 109 Pa. Commw. Ct. 432 531 A.2d 536 (1987): rly, Section 3(a) of the Ethics Act rohibit P ,� would a P ._. ublic official /employee from using public office to advance his own interests; Koslow v. State Ethics Commission, 116 Pi.Commw. Ct. 19; 540 A.2d 1374 (1988). Likewise, a public Official /employee may not use the status or position of a public office for his own personal advantage; guff, Opinion 84 -015. In the case before us, we have allegations of possible violations of not only Act 170 of I978 but Act 9 of 1989. In particular, the allegations under Act 170 of 1978 concern whether Roller, as an Environmental Protection Regional Director of DER, violated Section 3(a) quoted above regarding alleged preferential treatment in the processing of a bathing place permit for a Comfort Inn Complex. The Comfort Inn is owned by White Deer Associates in \Which Roller had an interest as a limited partner. We must also determine whether Roller violated Sections 5(b)(5) and 5(b)(9) of Act 170 of 1978 by failing to list his financial interest in White Deer Associates on his Statements of Financial Interests. The allegation under Section 3(g) of Act 9 of 1989 is whether Roller, following his termination of service with DER, represented persons before his former governmental, DER, to obtain approval for the following projects: Excelsior Village water supply permit, Aluminum Rolling Mills potential facili't'y, a car wash permit; and Eastern Wood Products boiler Citation and a sewer connection between a hospital and the Coudersport Sewer Authority. Concerning the allegations under Act 170 of 1978, the facts reflect that Roller was em toyed in DER from June 1958 until his retirement ih January of 199' : The last position he held was as Regional Difeeter of the Williamsport Regional Office with duties consisting] in pdrti of piafning, implementation, coordination and evaluation of alt , c ality fah ic}omdiit t ;rater quality management, environmental sanitatioh Control, solid and ha waste managethent and radiation pfotectioi groc rai s Which he directed through subordinate manaq @rs: Ra11e€ Cdu1d exercise considerable independent judge :tent in peff fi ing his duties and re§ponsibi1ities Which were r-evietwed updn gdm 1etion by the be iYty Secretary for Environmental Prateetiet : Fi:naliy, a§ Reijic�nal birector, , Roller had r`espdnsi.bilit i fof odardifiatin4 Pefkita acrid platiiti:rig the review process td insure the i:ssuande of those perthi:ts the records of the Pennaylv$nia Department of State P Cor"bfation Bureau reflect that kalter, in a private capacity, has a 1/12 iftterest in White Deer A§Sdciates as a limited partner with *hite Deer Ruiz Associates being a corpdration of the limited partnership. The partnership developed the a Comfort Inn /Bonanza Restaurant Complex in Union County and sought the requisite permit.; consisting of eating and drinking licertse�s for the Bonanza Restaurant and a license for the Motel /Lounge as cell as the DEft bathing place permit for the swimming pool. All three of the foregoing applications for permits and licenses were submitted to the Williamsport DER Regional Office for processing. The eating and drinking licenses for the Comfort inn were approved in due course by Craig Russell who conducted the inspections for the two licenses and never approached Roller or any superior as to . the approval of those licenses. Regarding the bathing place permit license, Keith Eck of White Deer Run Associates signed and submitted the application wherein he identified the site location of the pool which would serve the customers of the Comfort Inn. Shortly after tie receipt of the bathing permit application, Roller advised Eck that the application was being processed by the Bureau of Community and Environmental Control; that the application world be processed as soon as possible; that other bureaus of DER which might have environmental concerns were notified and that the approval of the application would be issued when all DER requirements Were the*. The foregoing letter by Roller was a standard form letter Sent to alit appiliCantS who had permits Pending. William Kamer, the dig Sanitiify E tiger,_ advised Eck in a letter of review that eleven (11) items Were deeded t& be revised aril Clarified fied regarding the permit. idte € list Si items was dor"r`e'cted or revised so that the pool met dig §tai dare s, a bathing p e perthit was approved and szgr"red by SaMue'1 f eitzei rater who *as the program manager of the DER Wi11ia'ntsporf Rec ical OftEi e . A4 to th@ bathing place ,perm it, - Roller did speak with. Ko ti+ r and I<dsm'er"' s Seriervisor but only t� inquire as to the it&tiis at' the permit. In addition, Roller asked that he be kept informed of developments and be provided with copies of correspondence. In this regard, the permit for the Comfort Inn took seventy -three (73) days to be reviewed and two - hundred - thirty -two 232 days to be approved which exceeded the normal time frame for such permits. The standard amount of processing time was 60 days for review and sixty to ninety days for approval. As to the Statements of Financial Interests and amended Statements of Financial Interests which were filed by Roller for the 1986 through 1990 calendar years, it is noted that Roller listed his 1/32 financial interest in White Deer Associates for calendar years 1988 through 1990. In applying the provisions of Sections 3(a) of Act 170 of 1978, as to the above allegation, we do not find a use of office on the part of Roller regarding the permits for the Comfort Inn. As to the eating and drinking licenses, the facts show no involvement or intercession by Roller as to these licenses. Likewise, as to the bathing permit application, Roller did send a letter concerning the permit but it was a standard letter used by DER. Further, although Roller did make inquiries as to the status of the bathing place permit and asked to be informed, such conduct in and of itself, does not constitute a use of public office to obtain a financial gain for a business with which he was associated, especially when the review and approval process for the permit exceeded DER norms. Accordingly, under these facts, we find that Roller did not violate Section 3(a) of Act 170 of 1978 regarding the approval of the permit for the Comfort Inn. As to the FIS aspect of the allegation concerning the failure to list Roller's financial interests in White Deer Associates, we likewise find no violation of the Ethics Law because Roller's 1/32 interest in White Deer Associates does not constitute a "financial interest" as that term is defined under the regulations of the Commission. 51 Pa. Code 51.1. Thus, since Roller's interest is less than 5% of the equity of the business, such is not a "financial interest" and consequently was not required to be reported. The third allegation before us concerns whether Roller, after he retired from DER, violated Section 3(g) of A-:t 9 of 1989 by representing a person before his former governmental body, DER, within one year of termination of service. Following his retirement from DER, Roller requested an advisory opinion from this Commission as to the restrictions placed upon him in his future employment with Hunt Engineers and Architects. An Advice of Counsel was issued to Roller advising him inter alia that his former governmental body was DER, that he could assist in the preparation of documents presented to DER as long as he was not identified as the preparer and that he could counsel any person regarding that person's appearance before DER as long as this activity was not revealed to DER. Roller did have contacts with DER personnel within one year of his retirement in his capacity as a consultant for Hunt Engineers or in his capacity as a private consultant. The contacts made by Roller with DER involved a public water supply permit for Excelsior Village, the Coastal Aluminum Rolling Mills potential facility, a boiler violation by Eastern Wood Products, a permit for a car wash in Montoursville and a sewer connection between a hospital and the Coudersport Sewer Authority. Roller telephonically contacted William Posner, the Chief of Technical Services Section at the DER Williamsport Regional Office regarding the requirements needed to have the oublic water supply permit approved for Excelsior Village. Roller also discussed the problem of the boiler citation by Eastern Woods Products after a citation was issued by DER concerning non - compliance with DER regulations as to emissions. Roller, as a private consultant, had a telephone conversation with John Archambault, the District Supervisor of the Quality Department of Environmental Resources in the Williamsport Regional DER Office regarding Eastern Wood Products. Roller discussed the contents of DER's correspondence including the amount of the potential fine and the steps the company would take to bring the boiler into compliance. There was also a meeting with Roller concerning the boiler problem. The matter was resolved with necessary improvements being made to the boiler. Although a renewal permit was issued, the boiler did not operate after April 30, 1990. The facts also reflect that Roller's contacts were not influential regarding the determination of a fine as to Eastern Wood Products (Fact Finding 20f.). When Chronographic Processing was forming a new company, Costal Aluminum Rolling Mills, Inc. tc operate an aluminum rolling plant, Roller met with Richard Maxwell, Chief Engineering Services Bureau of Air Quality Service, Williamsport Regional Office of DER and with Ken Chreckengast of Chronographic Processing to discuss air quality requirements. Roller arranged the meeting with DER because Costal Aluminum did not believe that DER regulations would apply and Roller did not attempt to get any preferential treatment for Coastal Aluminum which eventually opened the plant but utilized the services of another consulting engineer. As to the matter of permit requirements for a car wash in Montoursville, Pennsylvania and a sewer connection between Charles Cole Hospital and the Coudersport Municipal Sewage Authority, Roller had telephonic contacts with William Parsons, the Regional Water Quality Manager for the DER Williamsport Regional Office, but did not request favors or special treatment in either case. In applying the provisions of Section 3(c') of Act 9 of 1989, to the above facts, we believe that the contacts made by Roller as to the water supply permit for Excelsior, the Coastal Aluminum Rolling Milis facility, the permit for the car wash and sewer connection between the hospital and Coudersport Sewer Authority, fall within the category of general informational inquiries to secure information which is available to the general public. In Popovich, Opinion 89- 005, we opined that such general informational inquiries to one's former governmental body would not contravene Section 3(g) of Act 9 of 1989. Accordingly, as to those particular contacts, we find no violation of Section 3(g) of Act 9 of 1989. However, as to the contact made regarding the Eastern Wood Products Boiler violation, we believe that tiller's =activity went beyond that of a mere general informational - inquiry, especially in light of the discussions regarding the issue of the potential fine for the non-com pl:z. ce with DER regulations as to the boiler. This activity certainly constitutes representation and we therefore find a technical violation of Section 3(•g) of Act 9 of .19'89 :regarding Roller's representation of Eastern Wood Products before DER as to the boiler citation_ IV. 'CONCLUSIONS_OF : 1. ,Mark Rolier, as the Environmental Protection Regional Director of the Williamsport Regional Office of "DER was a 'public employee subject to the provisions of Act 170 of 1978. . 2. Rolier, upon his retirement from DER, became a former public employee subject to the restrictions of Section 3(g) of Act :9 of 1989. 3. Rolier did not violate Section 3(a) of Act 170 of 1978 regarding the issuance of .permits to Comfort Inn, which was owned by White Deer Associates as to which Roller had a financial interest, since Roller did not use public office and did not exert any preferential treatment as to the processing of those permits. 4. Roller did not violate Section 5(b)(5) and 5(b)(9) of Act 170 of 1978 since his 1/32 interest in White Deer Associates did not constitute a "financial interest" as that Term is defined under the regulations of the State Ethics Commission. 5. Roller did not violate Section 3(g) of Act 9 of 1989 . regarding general informational inquiries he made with DER as to a public water supply permit for Excelsior Village, the Coastal Aluminum Rolling Mills potential facility, a permit for a car wash in Montoursville, Pennsylvania and a sewer connection between the hospital and Coudersport. Sewer Authority. 6. A technical violation of Section 3(g) of Act of 1989 occurred when Roller, within one year of termination of service from DER, represented Eastern Wood Products before DER regarding the resolution of a boiler citation. In re:. Mark: A. Roller : File Docket: 89-038-C; 91-0 : Date Decided:. February 20 1912 Date Mailed:. February 27. 199; ORDER No. 831 1. Mark Roller as the Environmental Protection Regional Director of the. Williamsport Regional Office of DER was a public employee subject to the provisions of Act 170 of 1978. 2. Roller, upon his retirement from. DER, became a former public employee mai:Eject to the restrictions of Section 3(g) of Act 9 of. 15.84. 3. ROI Sear dtd. not. viaLate Sect:Um 3(a) of Ac-t 1170 of 1978 regarding the Isstrance of permits to Comfort Tnn, which. was owned- by White Deer Ass as to witach Roller had a financial interest, since Roller did not use }public office and. did not exertT any preferential treatment as to the' processing of those permits. 4.•. Roller did. not violate Section 5 (b ) (5) and 5(b) (9) of Act 170 af 197a since he his 1/32 interest. in White Deer Associates did not constitute a "financial interest" as that term is defined under the regulations of: the. State Ethics Commission. 5. Roller did' not violate Section 3(g) of Act 9 of 1989 regarding general: informational inquiries he made witr. DER as to a public water supply permit for Excelsior Village the Coastal Aluminum Ro.ILing Mills potential facility', a. permit for a car as in Montoursville, Pennsylvania and a sewer_ connection be-tween the hospital and Coudersport Sewer Authority. &`... A technical violation of Section 3(g) of Act. of Laaa occurred when Roller, within one year o. of servicre from trf1R., represented Eastern Wood Products before DER regarding the resolution of a boiler citation. 7. Based upon the totality of the facts and circumstances 1m this case, we will take no further action. BY THE COMMISSION, €* DENNIS- C. HARRINGTON CHAIR