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Home My WebLink About80-045 GoebelHonorable Ronald P. Goebel Member, House of Representatives B -10 Main Captitol Building Harrisburg, PA 17120 STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 October 14, 1980 OPINION OF THE COMMISSION RE: Section 3(e) - Restrictions, Representation Dear Representative Goebel: I. Issue: You request an opinion as to the affect of the Ethics Act as a former member of the House of Representatives of the Commonwealth of Pennsylvania. II. Factual Basis for Determination: 80 -045 You indicate in your letter that the current legislative session ends on November 30, 1980 and you will not be returning to the Legislature thereafter. As a member of the House of Representatives the Commission takes notice of the fact that technically, your term of office is set by Article 2, §2 of the Constitution. This term begins on December 1 of the year of your election and runs for two years. You do not hold any Chairmanship of any Standing Committee in the House. III. Applicable Law: The most pertinent provision of the Ethics Act is Section 3(e) which provides that: "No former official or public employee shall represent a person, with or without 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(e) Honorable Ronald P. Goebel October 14, 1980 Page 2 The term "governmental body" has been defined as follows: "Governmental body. Any department authority, commission, committee, council, board, bureau, division, service, office, officer, admini- stration, legislative body, or other establishment in the Executive, Legislative, or Judicial Branch of the State or a political subdivision thereof. 65 P.S. 402 The Commission has had occassion to consider the scope of the term "governmental body." See for example: Opinion 79 -001, Kline where the former Lieutenant Governor was deemed to have been "associated with" the following governmental bodies: the Senate and its component parts, including party caucuses, committees and individual members; the Lieutenant Governor's Office; the Board of Pardons;'the Governor's Office and all other departments, agencies, and boards and commissions in the Executive Branch. See also Opinions rendered recently to Seltzer and Geesey. In any conclusion for discussion in this Opinion the term "person" shall be as defined in the Ethics Act, as follows: "Person. A business, individual, corporation, union, association, firm, partnership, committee, club or other organization or group of persons." 65 P.S. 402 Prior decisions of this Commission have interpreted the term year to mean one calendar year or 365 days. Opinion 80 -042, Wagner. The calculation of the beginning of this period has generally been held to be formal termination date of employment unless some other date can be established with relation to a specific governmental body. Opinion 80 -042, Wagner. Definitions of "representation" appear in the Commission's regulations (51 PA. Code 1.1) and pertinent opinions. For example, see Opinion 80 -039, Morris. Honorable Ronald P. Goebel October 14, 1980 Page 3 Section 4(a) of the Ethics Act is also applicable and provides that: IV. Discussion: "Each public employee employed by the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency or bureau in which he is employed no later that May 1 of each year that he holds such a position and of the year after he leaves such a position. Any other public employee shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed no later than May 1 of each year that he holds such a position and of the year after he leaves such a position." 65 P.S. 404 (a) There is no dispute or doubt that you are a public official as defined in the Ethics Act. The question is the application and extent of the prohibition of Section 3(e) of the Act . Section 3(e) by its very wording and with the purpose of the Act in mind should be read to eliminate the use a former official's personal influence where it might be applied. The question of exactly where such influence might be applied has been more fully addressed in opinions issued to the Honorable Jack Seltzer and the Honorable Eugene Geesey. You are not a Chairman of any Standing Committee. Thus, unlike Representative Geesey to whom we issued an Opinion on this date, you do not appear to have any clear, discernable relationship or association with any governmental body other than the House or Representatives. Likewise, you are not statutorily assigned any responsibility as an appointed or ex officio member of any other boards, commissions, authorities or the like. Compare Seltzer issued this date. You are not "associated with" any other such governmental bodies. Honorable Ronald P. Goebel October 14, 1980 Page 4 It must be noted, before discussing the term and scope of "representation" in your case, we must admonish that our assumptions in Part II of this Opinion are abased on our research. This is, hopefully, complete and accurate. In any event, this Opinion can only operate as a defense as to those items related to the Commission or assumed, based on our research and itemized in Part II of this Opinion. This opinion must be construed to relate only to those facts as set forth in Part II. If facts or circumstances exists which differ substantially from those set forth in Part II, you should provide this information and further advice or opinon may be required. In addition, the scope of the term "representation" must be addressed. Generally, the Commission has held that: (1) personal appearance before the governmental body is prohibited; See Opinion 80 -039, Morris. This includes negotiating contracts, for example. (2) attempts to influence are prohibited; Opinion 79 -041 Covill - Ringler and 79 -023 Cutt. (3) general informational inquiries are not prohibited; Opinion - Morris, supra; 79 -041, Peffer. (4) generally utilizing your knowledge and expertise gained as a public official is not barred except as set forth above; Morris, supra. (5) appearing in a third form, such as state or federal court is not prohibited; Opinion 79 -060, Berger; Morris, supra. (6) expressing your own opinion and views on your own behalf is not prohibited Opinion 80 -040, Lloyd. This is to be distinguished from representing the views and /or interest of any other person whether formally or informally. This action, which would include generally, the concept of "lobbying," is prohibited for the one year period as to the identified govern- mental bodies. Finally, Section 4(a) of the Ethics Act requires that you file a Statement of Financial Interests for the year 1980 no later than May 1, 1981. Honorable Ronald P. Goebel October 14, 1980 Page 5 V. Conclusion: As a former public official you must, of course, comply with the financial reporting requirements of Section 4. This requires you to file a Statement of Financial Interest for each year you hold office and for the year after you leave office as discussed above. As a former public official you may not engage in activities discussed in Part IV, Items 1 (personal appearance, negotiating), 2 (attempts to influence) and 6 (lobbying) discussed more fully above. This prohibition lasts for one year and begins, in general, on December 1, 1980. This prohibition extends to the governmental bodies with which you were "associated" and this is simply the House of Representatives, its committees and component parts. You are not precluded from "representing" any person before a "governmental body" other than those listed above. One caveat is required. The State Ethics Commission specifically does not address through this Opinion, the question of whether appointment by the majority or minority leadership of the House, or otherwise, as a member on a board, commission, authority, etc. other than a Committee of the House imposes any restrictions as to that board, commission, authority, etc. This is teserved for decision. You did not raise this possibility, but you will receive further advice on this point in the near future after the staff has had an opportunity to fully review this question. Pursuant to Section 7(9)(i), this opinion is a complete defense in any enforcement proceeding initiated by the Commission, and evidence of good faith conduct in any 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. PJS /rdp C i PAUL J. Chairma