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Home My WebLink About23-507 Ross PHONE: 717-783-1610 STATE ETHICS COMMISSION FACSIMILE: 717-787-0806 FINANCE BUILDING WEBSITE: www.ethics.pa.gov TOLL FREE: 1-800-932-0936 613 NORTH STREET, ROOM 309 HARRISBURG, PA 17120-0400 ADVICE OF COUNSEL January 30, 2023 To the Requester: James Ross 23-507 Dear Mr. Ross: This responds to your submission received January 10, 2023, by which you requested an advisory from the Pennsylvania State Ethics Commission (“Commission”), seeking guidance as to the issue presented below: Issue: 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 new employer following termination of your employmentas an Environmental Engineering Specialist with the Pennsylvania Department of Environmental Protection (“Department of Environmental Protection”). Brief Answer: YES. During the first year following termination of your employment with the Department of Environmental Protection, 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 — before your “former governmental body,” the Department of Environmental Protection. Facts: You request an advisory from the Commission based upon submitted facts that may be fairly summarized as follows. You are currently employed as an Environmental Engineering Specialist with the Department of Environmental Protection in the Southwest Regional Office, in which capacity you work as a permit reviewer in the Waterways and Wetlands Program. You have submitted a copy of a position description for the position of Environmental Engineering Specialist, which document Ross, 23-507 January 30, 2023 Page 2 is incorporated herein by reference. A copy of the job classification specifications for the position of Environmental Engineering Specialist (job code 14520) has been obtained and is also incorporated herein by reference. You will be leaving your employment with the Department of Environmental Protection for a position as a Water Resources Engineer with AECOM in Pittsburgh, Pennsylvania. You worked for AECOMbefore you began working for the Department of Environmental Protection. You have not reviewed any permits for AECOM while employed with the Department of Environmental Protection. At AECOM, you will primarily be working in construction management for the Lead Line Replacement and Small Diameter Water Main Replacement projects for the Pittsburgh Water and Sewer Authority. Although you will not be creating permits or submitting permits to the Department of Environmental Protectionin performing such work, you might need to submit Street Opening Permits to the Department of Public Works for the City of Pittsburgh or Highway Opening Permits to the Pennsylvania Department of Transportation. You might begin working on an ALCOSAN sewer system regionalization project within a year, but you would not be preparing any permits to submit to the Department of Environmental Protection for that project. Based upon the abovesubmitted facts, you seek guidance as to whether the Ethics Act would impose prohibitions or restrictions upon you with regard to performing work for AECOM during the first year following termination of your employment with the Department of Environmental Protection. 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 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. As an Environmental Engineering Specialist with the Department of Environmental Protection, you are a “public employee” subject to the Ethics Act and the Regulations of the State Ethics Commission. See, 65 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 the Department of Environmental Protection, you would become a “former public employee” subject to Section 1103(g) of the Ethics Act. Ross, 23-507 January 30, 2023 Page 3 While Section 1103(g) does not prohibit a former public official/public employeefrom 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 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 any 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; Ross, 23-507 January 30, 2023 Page 4 (4) participating in any matters before the former governmental body as to acting on behalf of a person; and (5) lobbying. Popovich, Opinion 89-005. 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 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; Sharp, Opinion 90-009-R. The governmental body with which you would be deemed to have been associated upon termination of your employment with the Department of Environmental Protection would be the Department of Environmental Protection in its entirety, including but not limited to the Southwest Regional Office. Therefore, for the first year following termination of your employment with the Department of Environmental Protection, Section 1103(g) of the Ethics Act would apply and restrict “representation” of a “person” — including but not limited to a new employer such as AECOM — before the Department of Environmental Protection. Section 1103(g) of the Ethics Act would not prohibit you from representing a new employer such as AECOM before governmental bodies other than the Department of Environmental Protection, such as the Pittsburgh Water and Sewer Authority, the City of Pittsburgh Department of Public Works, or the Pennsylvania Department of Transportation. 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. Ross, 23-507 January 30, 2023 Page 5 Conclusion: As an Environmental Engineering Specialist with the Department of Environmental Protection, you are a “public employee” subject to the Ethics Act and the Regulations of the State Ethics Commission. Upon termination of your employmentwith the Department of Environmental Protection, you would become a “former public employee” subject to Section 1103(g) of the Ethics Act. Your former governmental body would be the Department of Environmental Protection in its entirety, including but not limited to the Southwest Regional Office. For the first year following termination of your employmentwith the Department of Environmental Protection, Section 1103(g) of the Ethics Act would apply andrestrict “representation” of a “person” — including but not limited to a new employer such as AECOM — before theDepartment of Environmental Protection. The restrictions as to representation outlined above must be followed. Section 1103(g) of the Ethics Act would not prohibit you from representing a new employer such as AECOM before governmental bodies other than the Department of Environmental Protection, such as the Pittsburgh Water and Sewer Authority, the City of Pittsburgh Department of Public Works, or the Pennsylvania Department of Transportation. 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 receivedat 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, Bridget K. Guilfoyle Chief Counsel