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HomeMy WebLinkAbout23-562 Walls 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 December 27, 2023 To the Requester: David A. Walls 23-562 Dear Mr. Walls: This responds to your letter dated November 27, 2023, by which you requested an advisory from the Pennsylvania State Ethics Commission (“Commission”), seeking guidance as to the general 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 civil engineering consulting firm following termination of your employmentas aSenior Civil Engineer Supervisor — Transportation with 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 your new employer, the civil engineering consulting firm — before your “former governmental body,” PennDOT. Facts: You request an advisory from the Commission based upon submitted facts that may be fairly summarized as follows. Until October 6, 2023, you were employed as a Senior Civil Engineer Supervisor — Transportation with PennDOT, in which capacity you served as a Project Manager in Engineering District 11-0. You have submitted a copy of your official Commonwealth position description, which document is incorporated herein by reference. Walls, 23-562 December 27, 2023 Page 2 Following termination of your employment with PennDOT, you accepted a position as a Project Engineer at a civil engineering consulting firm named “HNTB” (“the Consulting Firm”). Per materials that you submitted with your advisory request, as a Project Engineer, you may work as a task lead on projects that could consist of corridor improvements, bridge replacements, interstate widening, traffic safety, and transit-oriented site development. The Consulting Firm’s clients may include PennDOT, the Pennsylvania Turnpike Commission, and other state or federal entities. You seek guidance as to whether the Ethics Act would imposeprohibitions or restrictions upon youwith regard to performing work for the Consulting Firm during the first year following termination of your employmentwith PennDOT.In particular, you ask whether, pursuant to the Commission’s holding in Abrams/Webster, Opinion 95-011, you would be permitted to perform work oncontracts which were executed prior to your departure from PennDOT and which do not involve Engineering District 11-0. As examples of such contracts, you have submitted a list of contracts which were executed prior to 2023 and which involve PennDOT units other than Engineering District 11-0 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. During your employment as a Senior Civil Engineer Supervisor — Transportation with PennDOT, you were considered 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, which when reviewed on an objective basis, indicates clearly that the power existedto 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, itdoes 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 Walls, 23-562 December 27, 2023 Page 3 (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 associatedfor 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; (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 Walls, 23-562 December 27, 2023 Page 4 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 are deemed to have been associated upon termination of your employment with PennDOT isPennDOTin its entirety, including but not limited to Engineering 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 “representation” of a “person” — including but not limited to the Consulting Firm — before PennDOT. You are advised that during the first year following termination of your employment with PennDOT, Section 1103(g) of the Ethics Act would prohibit you from performing any job duties that would involve prohibited representation of the Consulting Firm before PennDOT as delineated above.Section 1103(g) would prohibit you from performing work for the Consulting Firm on any contract with PennDOT — including but not limited to a contract which was executed prior to your departure from PennDOT and which does not involve Engineering District 11-0 — unless you would be able to do so without engaging in prohibited representation before PennDOT. The Commission’s holding in Abrams/Webster, supra, is limited to the submission of billing hours. As noted above, generally, during the one-year period of applicability of Section 1103(g), your name cannot appear on invoices submitted to PennDOT by the Consulting Firm. However, if you would perform work for the Consulting Firm on PennDOT contracts that existed before you terminated your employment with PennDOT, and if such contracts do not involve the “unit” of PennDOT where you formerly worked, specifically Engineering District 11-0, your name could appear on routine invoices submitted to PennDOT as to those particular pre-existing Walls, 23-562 December 27, 2023 Page 5 contracts if required by the regulations of PennDOT. See, Abrams/Webster, supra. However, Section 1103(g) of the Ethics Act would still prohibit you from engaging in conduct falling within the ambit of prohibited representation before PennDOT as set forth above. 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 notbeen considered. Conclusion: During your employment as a Senior Civil Engineer Supervisor — Transportation with PennDOT, you were considered a “public employee” subject to the Ethics Act and the Regulations of the State Ethics Commission. Upon termination of your employmentwith PennDOT, you became a “former public employee” subject to Section 1103(g) of the Ethics Act.Your former governmental body isPennDOT inits entirety, including but not limited to Engineering District 11-0. For the first year following termination of your employmentwith PennDOT, Section 1103(g) of the Ethics Act would apply and restrict “representation” of a “person” — including but not limited to your new employer, HNTB — before PennDOT. The restrictions as to representation outlined above must be followed. 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