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HomeMy WebLinkAbout831 Roller (2)In re: Mark A. Roller STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 File Docket: 89- 038 -C; 91- 015 -C2 : Date Decided: February 20. 199 : Date Hailed: $nbruars 27. 1992 Before: Dennis C. Harrington, Chair James M. Howley Daneen E. Reese Roy W. Wilt Austin M. Lee James P. Gallagher Allan M. Kluger 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 i:ust 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. nrLEG_ATION: 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. 5403(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. 5405(b)(5). (9) Any financial interest in any legal entity engaged in business for profit. 65 P.S. 5405(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: 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). 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 evacuation of air quality management, water quality management, environmental sanitation control, solid and hazardous waste management, and radiation protection programs which may include mining and reclamation. b. Work includes: 1) developing regional program plans and resolving conflicts with central office pro'gram managers'. 2) developing and directing regional public information and education programs; and directing responses t� emergency situations such as chemical spills and floods includes representing the Department, Secretary - or Deputy for Environmental Protection in conferences, public heariltge , inter and intrastate commissions or task - forces. 4) meeting with legislators, local officials, local health department- officials, other Commonwealth agencies, special interest groups and the public to explain anti seek acceptance of Departmental actions and programs. ■» c. Roller's work is aaaigned in the form of broad goals and objectives and Roller is to exercise considerable independent judgment in setting specific goals, objectives and priorities. d. Railer's work i9 reviewed upon completion by the Deputy Searetary for Environmental Protection through reports and cbnferancnS for attainment of program goals and objectives, coMpletenesS and program quality. e: As Re ;ional Director Roller would be responsible for c'bbtd Hating permits and ?fanning a review process to ensure 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 Keitkeck, 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 onion 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 Litnste for the Comfort Inn and Bonanza Restaurant were apprhn& by DER on January 27, 1987. a. DER Sanitarian 'trait Russell conducted the inspections for the two license% b. Russell 'was not approached by Roller or any superior in spraying either of the two licenses. c. The initial contact for the application process for the tiihw And drinking licenses tans from Russell since he w the sight 'for bath the Camftrt Inn And Bonanza Reattatatt tuf tt4.:s regular - rounds for DER since he had tdt beth cbhtatted by the restaurant ,prior to his going there-. 6. On July 14, 1986 white 'beer RUA Associates filed an application for a Bathing Place Permit with the Depe 1t of tnvironmerrtal Resources, Williamsport. Regional Office. a. The Application 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 I -3D. 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, c. 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 Permit for the Comfort Inn No. 6086101 was approved by DER on March 5, 1987. The permit was signed by Samuel Meitzen`ater, Program Manager for the DER Williamsport Regional Office. 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, 198.6. and March. 5, 1987. c. Roller questioned Kosmer regarding the s-tetu_s of the permit. d. Roller requested to be kept informed of developments and to he provided. with copies of correspondence, particularly Roamer's J'anuuT3,, 14S7 letter. (See Finding No 81. e. Roller also routinely, checked on other appl.igations where delays in the review process 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 (6Q) 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 Resourpes 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: RJM Realty, Partner c. For Calendar Year: 1988 Filed: 1/26/89 Sources of Income: Commonwealth of PA Williamsport Mospit #i All Other Categories of .Financial inte €$eets; Even though it is less than instructL9 s raguire, the following information is provided at the onmegt of my supervisor. White Deer Associates 1/32 limited partnership of 704 of essets, d. For Cal - - .:r$ar Year: 1989 Filed: 4/17/90 Sources of Incomes Commonwealth Of PA Rat Beaitty Office or Directorship: 'WJM Reel.:ty, Partner All Other Categories of Financial Interests: None e. Amended Form for 1989 Filed: 8/23/90 Sources of Income: Commonwealth of PA R Realty' White Deer Assoo. f. For Calendar Year: 1990 Filed: 4/22/91 Sources of Zncome: Commonwealth of FA White Deer Assoc. Hunt Eng. Inc. Office or Directorship: None All Other Categories of Financial Interests; None g. Roller earned $1,500 from his White Deer AssQCiates investment in 1989. 13. Mark Roller began working as a consultant for Hunt Engineers and Architects in Williamsport, Pennsylvania on February 3; 1990. a. Roller was to assist Hunt in Business Development Efforts. 14. Roller addressed a letter to Vincent Dopko, Chief Counsel of the Pennsylvania State Ethics Commission on January 29, 1990 requesting an Advice of Counsel on what restrictions would be placed upon him in his`fnture employment with Hunt Engineers & Architects. 15. In Roller's letter he listed the general duties he was going to be performing at'Hunt as' €oil ,a. Assist in preparing requests for approval (RFP) from ib4mstries and aun.cip ities environmental projects. b. Contact industries and municipalities to explain grgfessionil .4@r services that can be provided. c. Provide rA,v w and qualiity ,cpntr-gi of reports and designs P=ear &4 IPy # cgnsuLL g firm. ¢ . Provide „eqilup.tApp e enyiro ,n.R ental matters under `ions .7.0X4€ 4,raa t1y :,], irMS . • .,PrQ,y py.4 uat.ion And /ox reosommen4aions on v49nmental ;{ t,texs for thy ,b 44 industry. ,f. �Prov?r,�r advice and4oF reports nn specific environmental }natters q Organ a xr�dividuals. 16. Roller was issued an Advice of c(NAsei 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 egar s to the six specific areas as to which Roller e e`stOd an Advice of'Zounsel, since the activities did 4 of velate to bis"former governmental body, DER, Section /4) -er the "Ethics Law would not restrict such 444Y4104 , k. Rolle€ was permitted to assist in the ppreparation 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 Village of Excelsior. b. Coal Township was attempting to salve 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 received funding for the project from PennVest grants and loan . c. Roller was working do behalf of Hutt Engineers. His role was to assist in pr-epafatiori of the application for the Grant and Loan frof[i PenfiVett. 19. Eastern Wood Products, WilliestpOrt, PA was cited by DER in April, 1990 for having a Waddafifed bailer not meeting DER regulations for" emissiona, a. The boiler permit was to expire obi 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 br6ught in compliance with a DER regulations. c. DER noted that penalties could be applied. 20. On April 30, 1990 Roller had a telephone eonversatihn 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 Roller 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 boiler 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 Product's. 21. On April 5, 1990 Richard Maxwell, Chief, Engineering Services, Bureau of Air Quality Service, Williamsport Regional Office of DER, met with Ken Schreckeagast 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. c. 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 DER 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. III. QI$CUSSIO}QE Initially, it is noted that the allegations in this case relate to both Act 9 of 1989 and Act 170 of 1978: in this regard, Section 9 of Act 9 of 1989, P.L. 26; provides; in part, as follows: "This amendatory at shall not apply to violations committed to the effective date of this act; - and causes of action initiated for such violations shall be governed by the prior law, which iii continued in effect for that purpose as if this act were not in force. Foi 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 of 1978 and Act 9 of 1389; as an Environmental protection Director in the Pennsylvania Department of Environmental Resources, Mark A: Roller, hereinafter Roller, is a public official /employee as that terse 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 hith: Under Section 3(a), of Act 170 of 1978 quoted . above, this Commission has determined that 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)t Hoak /McCutcheon -v. State Ethics Commission, 77 Pa. Commw. Ct. 529; 466 A:2d 283 (1983); Yacobet -v. State Ethics- Commission, 109 Pa: Coiwnw. Ct. 432 531 A:2d 536 (1987): ,Similarly, Sectior 3(a) - of the Ethics Act would prohibit a public official /employee from using public office to advance his own interests; Koslow v. State Ethics Commission, 116 Pa.,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; iiuff, Opinion 84 -015. In the case before us, we have allegations of possible violations of not only Act 170 of 1978 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 farmer governmental, DER, to obtain approval for the following projects Excelsior Village water supply permit, Aluminum Rolling Mills potential €acility, 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 eii&oyedin DER from June 1958 until his retirement ih Januaty of 1995: The last position he held was as Regional Directer of the Williamsport Regional Office with duties, consisting) in part of plahfiift, im�ilementatian, coordination and evaluation of air quality fitafejetheilt, Water qut&J:ity management, environmental saf control, solid and haiardous tete management and radiation p±etectieh progra$rs Which he directed through subordinate mane'ers° Rdlle€ could exercise considerable independent jddgebent in perferMing his diEies end responsibilities which were revie*ed updn d" i letio by the die ty Secretary for Environmentf Prdteetiei: F4t iy,,aa Regsdnal rector, Roller had respdnsibi1iti Rif d88tdirtatin4 White afld piabill:Ad the review process td insure the _tssiiaiied Of those permits. The records of the renfisylvania Department of State cofp fation Bureau 'reflect that #Sher, in a private capacity; hi Ca 1/12 ifiterest in White Deer Assdciates as a limited partner with White Deer Ruff Associates being a corp6ration of the limited partnership., The parthefshap developed the a Comfort Inn /Bonanza Restaurant Complex in Union County. and sought the requisite permit-.3 consisting of eating and drinking licenses for the Bonanta Res aurant and a license for the Motel /Lounge as Well as the DER 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 the 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 would 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 Met. The foregoing letter by Roller was a standard form letter refit to di/ applicants who had permits pending. William Kosmer, the Dpi Sanitary ngifleer,_ advised Edit in d letter of review that eleven (11) items Were needed t€i be revised and Clarified regarding the permit. litter die '1St of items ides corfected er revised so that the pool met Gorr dtei erddi a bathing plafre permit was approved and signed by Samuel $eiitenfater who *es the program manager of the BER willidtapote ikegiftai Oitiee. AA to the bathing place' ,permit, Roller did speak with- i( €S t r and KOsm &r"' a tdOe±=tisor but only to inquire as to the st&tua c9 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 §1.1. 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. 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 Rosner, the Chief of Technical Services Section at the DER Williamsport Regional Office regarding the requirements needed to have the tublic 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 (Pact 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(a) 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 Mills 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 P000vich, 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 Roller'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-compliance 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 19B9 regarding Roller's representation of 'Eastern Wood Products before DER as to the boiler citation. IV. ' CONCLUSIONS OF LAW: 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 subject to the restrictions of Section 3(g) of Act .9 of 1989. 3. Roller did not violate Section 3(a) of Act 170 of 19"78 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 Montoursvil.le, 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 wh 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 Pile Docket: 89- 0:18 -C• 91- 015 - 2- Date Decided:. February 20 .• 5952 Date Mailed:- February 27. 1992 ORDER No. 831 1. Mark Roller, as the Environmental Protection Regional Director of the Williamsport Regional Office of DER was a public employees subject to the provisions of Act 170 of 1978. 2'. Roller, upon his retirement from DER. became at former public - employee subject to the restrictions of Section- a(g) o'f Act 9' of. 1989'. 3. Ration dfd nit vi is s motion. 3(a) of Act 170 of 1918 regfard: ngr the Issuance of permits: to Comfort nut, which was owned by' White Deer Associates as: to which Roller had a: financial interest, since Role did. not uae public' office and did not exert any pte- ferentra+l treatment as to the processing of those permits. - Roller: di& not violate. Section 5(b)(5) and 5(b)(9) of Act 176: of 1918' since he- his 1/3'2 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 wi.ti: DER as to a public' water supply permit far E'xceisior Village the Coastal Aluminum Raf7ing:Milis potential, facility,. a. permit far a car wart in Montoursville, Pennsylvania and sewer connection between the hospital. and Coudersport Sewer OE A technical violation of Section 3'(g). of Act of 19'8:9 occurred when Roller, within one year of. termination of service from DER, represented Eastern Wood Products before DER regarding! resolution of a boiler citation- 7, Based upon the totality of the facts and' circumstances in this case, we will take no further action. BY THE COMMISSION,, 44 DENNIS- C. HARR:INGTON CHAIR