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Home My WebLink About21-553 CollinsPHONE: 717-783-1610 TOLL FREE: 1-800-932-0936 STATE ETHICS COMMISSION FINANCE BUILDING 613 NORTH STREET, ROOM 309 HARRISBURG, PA 17120-0400 FACSIMILE: 717-787-0806 WEBSITE: www.ethics.Pa.gov ADVICE OF COUNSEL October 8, 2021 To the Requester: Dear Mr. Robert M. Collins, P.E.: 21-553 This responds to your correspondence received September 30, 2021, by which you requested an advisory from the Pennsylvania State Ethics Commission ("Commission"), seeking guidance as to the general issue presented below: Issues: 1. Whether the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et seq., would impose restrictions upon you with regard to performing work for a civil engineering consulting company following termination of your employment as a Senior Project Manager for the Pennsylvania Department of Transportation ("PennDOT")? Brief Answer: YES. During the first year following termination of your employment with PennDOT, Section 1103(g) of the Ethics Act would apply and restrict you from engaging in any activity that would involve "representation" of a "person" including but not limited to a new employer such as a civil engineering consulting company before PennDOT. Facts: You request an advisory from the Commission based upon submitted facts that may be fairly summarized as follows: On May 28, 2021, you retired from the Pennsylvania Department of Transportation (PennDOT) following 35.5 years of service. While an employee of PennDOT, you served as the Senior Project Manager (Civil Engineer Manager - Pay Range 9) in the Design Division of Engineering District 11-0 (Pittsburgh). As Senior Project Manager, you were responsible for Collins. 21-553 October 8, 2021 Page 2 overseeing the design of state sponsored projects as well as locally sponsored projects that were funded with federal and state monies. You also worked as the PennDOT Project Coordinator with the Pennsylvania Turnpike Commission (PTC), concerning state and local roadways/bridges that will be constructed as part of the Mon Fayette Expressway project. You state that as a former public employee, you are cognizant of the restrictions of the Pennsylvania Public Official and Employee Ethics Act, specifically section 1103(g). You would like advice and guidance as to the following specific questions: Verification that you cannot work on PennDOT District 11 state sponsored projects for a period of one year from your retirement date. You further question as to whether that pertains to both design and construction phases of any project(s)? 2. Are there any restrictions as to working on a PennDOT state sponsored projects located in other Engineering Districts during the one-year restriction? 3. Are there any restrictions as to working on a PennDOT locally sponsored project under the following scenarios: Working for a consultant under contract by a municipality providing project management/design services on a local project with federal funding overseen by PennDOT District 11. b. Working for a consultant under contract by PennDOT District 11 provided project management/design review services on a local project. Working for a consultant under the contract by municipality on a local project providing project management/design services in a PennDOT Engineering District other than District 11. d. Working for consultant under contract by a PennDOT Engineering District other than District 11, providing project management/design review services on a locally sponsored project. 4. Are there any restrictions for working on a Pennsylvania Turnpike sponsored project, including the Mon Fayette Expressway? Discussion: 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 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 material facts. Collins. 21-553 October 8, 2021 Page 3 As a Senior Project Manager for PennDOT, you were a "public employee" subject to the Ethics Act and the Regulations of the State Ethics Commission. See, Pa.C.S. § 1102; 51 Pa. Code § 11.1. This conclusion is based upon the position description and the job classification specifications, which when reviewed on an objective basis, indicate 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; administering or monitoring grants or subsidies; planning or zoning; inspecting; licensing; regulating; auditing; or other activity(ies) where the economic impact is greater than de minimis on the interests of another person. Consequently, upon termination of your employment with PennDOT, you became a "former public employee" subject to Section 1103(g) of the Ethics Act. While Section 1103(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": § 1103. Restricted activities (g) Former official or employee. --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 Pa.C.S. § 1103(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 Act as follows: § 1102. 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 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 Collins. 21-553 October 8, 2021 Page 4 the public official or employee is or has been appointed or elected and subdivisions and offices within that governmental body. 65 Pa.C.S. § 1102. The term "person" is very broadly defined. It includes, inter alia, corporations and other businesses. It also includes the former public official/public employee himself, Confidential Opinion, 93-005, as well as a new governmental employer. Ledebur, Opinion 95-007. The term "represent" is also broadly defined to prohibit acting on behalf of any person in aM 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/public employee; (4) participating in any matters before the former governmental body as to acting on behalf of a person; (5) lobbying; and (6) acting to make known to the former governmental body the representation of, or work for, a new employer. Popovich, Opinion 89-005; Edley, Opinion 17- 002; Confidential Opinion, 17-007; Valentine, Opinion 20-003. 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 1103(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 if the invoices pertain to a contract that existed prior to termination of service with such governmental body. Shay, Opinion 91-012. However, if such a pre-existing contract does not involve the unit where a 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 former public official/public employee may not be identified on documents submitted to the former governmental body. The former 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 Act 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. Section 1103(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/public Collins. 21-553 October 8, 2021 Page 5 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 90-006; ShaM, Opinion 90-009-R. The governmental body with which you are deemed to have been associated upon termination of your employment with PennDOT is PennDOT in its entirety, including but not limited to District 11-0. Therefore, for the first year following termination of your employment with PennDOT, Section 1103(g) of the Ethics Act would apply and restrict you from engaging in any activity that would involve "representation" of a "person" including but not limited to a new employer, such as a civil engineering consulting company before PennDOT. As to your specific questions you are advised as follows: Questions 1 and 3: Section 1103(g) of the Ethics Act prohibits you from representing a "person" including but not limited to a new employer such as a civil engineering consulting company before PennDOT, including but not limited to District 11-0, for a period of one year from your retirement date. This applies to any representation, including both the design and construction phase of a project — unless you can do so without engaging in prohibited "representation". Questions 2: The governmental body with which you are deemed to have been associated upon termination of your employment with PennDOT is PennDOT in its entirety, including but not limited to District 11-0. Question 4: The governmental body with which you are deemed to have been associated upon termination of your employment is PennDOT. Section 1103 (g) would NOT prohibit you from appearing before the Pennsylvania Turnpike Commission — provided you are not simultaneously appearing/representing an entity before PennDOT. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act; the applicability of any other statute, code, ordinance, regulation or other code of conduct other than the Ethics Act has not been considered. Conclusion: As a former Senior Project Manager for PennDOT, you are a "former public employee" subject to the Ethics Act, 65 Pa.C.S. § 1101 et sec., and the Regulations of the State Ethics Commission, 51 Pa. Code § 11.1 et SeMc . Your former governmental body is PennDOT in its entire . For the first year following retirement from PennDOT, Section 1103(g) of the Ethics Act would apply and restrict you from engaging in any activity that would involve "representation" of a "person" including but not limited to a new employer such as a civil engineering consulting company before PennDOT. Collins. 21-553 October 8, 2021 Page 6 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. RespectfullyaCounse