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PHONE: 717-783-1610 STATE ETHICS COMMISSION FACSIMILE: 717-787-0806
TOLL FREE: 1-800-932-0936 FINANCE BUILDING WEBSITE: www.ethics.pa.gov
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120-0400
ADVICE OF COUNSEL
April 5, 2021
To the Requester:
Mr. Timothy Penrose
21-509-CL
Dear Mr. Penrose:
This responds to your email received March 7, 2021, by which you requested clarification
of Penrose, Advice of Counsel 21-509, regarding the applicability of the post-employment
restrictions of Section 1103(g) of the Public Official and Employee Ethics Act (Ethics Act), 65
Pa.C.S. § 1103(g).
Issue:
Whether, following termination of your employment as a Senior Civil Engineer Supervisor
Transportation with the Pennsylvania Department of Transportation (PennDOT) in
District 5-0, Section 1103(g) of the Ethics Act would prohibit you from performing work
for a consultant engineering firm on a PennDOT agreement that existed before you
terminated your employment with PennDOT and that involves a unit of PennDOT other
than District 5-0 (such as District 6-0, District 8-0, the Central Office, or the Bureau of
Public Transportation)?
Brief Answer: YES. During the first year following termination of your employment with
PennDOT, Section 1103(g) of the Ethics Act would prohibit you from performing work
for a consultant engineering firm on any PennDOT agreementincluding a PennDOT
agreement that existed before you terminated your employment with PennDOT and that
involves a unit of PennDOT other than District 5-0 (such as District 6-0, District 8-0, the
Central Office, or the Bureau of Public Transportation)unless you would be able to do
so without engaging in prohibited representation before PennDOT.
Facts:
By letter dated January 27, 2021, you initially requested an advisory from the Pennsylvania
State Ethics Commission (Commission) regarding the post-employment restrictions of Section
Penrose, 21-509-CL
April 5, 2021
Page 2
1103(g) of the Ethics Act. In response to your initial advisory request, Penrose, Advice of Counsel
21-509 was issued to you on February 24, 2021.
By email received March 7, 2021, you requested clarification as to whether, following
termination of your employment as a Senior Civil Engineer Supervisor Transportation for
PennDOT in District 5-0, the Ethics Act would impose restrictions upon you with regard to
performing work for a consultant engineering firm on a PennDOT agreement that existed before
you terminated your employment with PennDOT and that involves a unit of PennDOT other than
District 5-0 (such as District 6-0, District 8-0, the Central Office, or the Bureau of Public
Transportation).
Discussion/Conclusion:
It is initially noted that pursuant to Sections 1107(10) and 1107(11) of the Ethics Act, 65
Pa.C.S. §§ 1107(10), (11), advisories are issued to the requester based upon the facts that the
requester has submitted. In issuing the advisory based upon the facts that the requester has
submitted, the Commission does not engage in an independent investigation of the facts, nor does
it speculate as to facts that have not been submitted. It is the burden of the requester to truthfully
disclose all of the material facts relevant to the inquiry. 65 Pa.C.S. §§ 1107(10), (11). An advisory
only affords a defense to the extent the requester has truthfully disclosed all of the material facts.
The recitation of the Section 1103(g) restrictions set forth in Penrose, Advice of Counsel
1
21-509 is incorporated herein by reference.
In response to your request for clarification of Advice of Counsel 21-509, you are advised
as follows.
As noted in Advice of Counsel 21-509, the governmental body with which you would be
deemed to have been associated upon termination of your employment with PennDOT would be
PennDOT in its entirety, including but not limited to District 5-0. Therefore, for the first year
following termination of your employment with PennDOT, Section 1103(g) of the Ethics Act
including but not limited to a new
employer, such as a consultant engineering firmbefore PennDOT.
You are advised that during the first year following termination of your employment as a
Senior Civil Engineer Supervisor Transportation for PennDOT in District 5-0, Section 1103(g)
of the Ethics Act would prohibit you from performing work for a consultant engineering firm on
any PennDOT agreementincluding a PennDOT agreement that existed before you terminated
your employment with PennDOT and that involves a unit of PennDOT other than District 5-0
(such as District 6-0, District 8-0, the Central Office, or the Bureau of Public Transportation)
unless you would be able to do so without engaging in prohibited representation before PennDOT.
Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act.
1
It is noted that Advice of Counsel 21-509 contains a typographical error. Specifically, the fourth full paragraph on
page five of the Advice of Counsel District 5-0
than District 6-0
Penrose, 21-509-CL
April 5, 2021
Page 3
Pursuant to Section 1107(11) of the Ethics Act, an 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, provided the requester 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). The appeal may be received at the Commission by hand delivery,
United States mail, delivery service, or by FAX transmission (717-787-0806).
Failure to file such an appeal at the Commission within thirty (30) days may result
in the dismissal of the appeal.
Respectfully,
Brian D. Jacisin
Chief Counsel