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Home My WebLink About24-547-S Thompson 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 September 23, 2024 To the Requester: Rebecca Thompson 24-547-S Dear Ms. Thompson: This responds to your letter dated September 9, 2024, by which you requested a supplemental advisory from the Pennsylvania State Ethics Commission (“Commission”), seeking guidance as to the issue presented below: Issue: Whether, during the first year following termination of your employment as a Civil Engineer — Transportation with the Pennsylvania Department of Transportation (“PennDOT”), Section 1103(g) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(g),would impose prohibitions or restrictions upon you with regard to your name appearing on invoices that a municipal project sponsor would submit to PennDOT for processing. Brief Answer: YES. During the first year following termination of your employment as a Civil Engineer — Transportation with PennDOT, Section 1103(g) of the Ethics Act would prohibit you from including your name on invoices to a municipal project sponsor that you know or reasonably expect will be submitted to PennDOT for processing. Facts: By a submission received July 1, 2024, you initially requested an advisory from the Commission regarding the post-employment restrictions of Section 1103(g) of the Ethics Act. In response to your initial advisory request, Thompson, Advice of Counsel 24-547, was issued to you on July 11, 2024. Advice of Counsel 24-547 determined that as a Civil Engineer — Transportation with PennDOT, you are a “public employee” subject to the Ethics Act and the Regulations of the Thompson, 24-547-S September 23, 2024 Page 2 State Ethics Commission, and that upon termination of your employment with PennDOT, you would become a “former public employee” subject to the restrictions of Section 1103(g) of the Ethics Act. The Advice determined that the governmental body with which you would be deemed to have been associated upon termination of your employment with PennDOT would be PennDOT in its entirety, including Engineering District 11-0. The Advice set forth the restrictions of Section 1103(g) of the Ethics Act and stated that 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 a new employer — before PennDOT. In response to questions that you posed with regard to invoicing, the Advice concluded as follows: \[G\]enerally, during the one-year period of applicability of Section 1103(g), your name cannot appear on invoices submitted to PennDOT by a new employer. However, if you would perform work on PennDOT contracts that existed before you terminated your employment with PennDOT, andif 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 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. Thompson¸ Advice of Counsel 24-547, at 6. In your letter dated September 9, 2024, you state that the Advice of Counsel did not clearly respond to one of your questions as it related “to the issue of submission of billing hours to a municipal project sponsor and NOT PennDOT District 11, but that would be subsequently processed by PennDOT District 11 because of funding from a combination of Federal and State funds.” You state that the issue is “whether my name can appear on an invoice for a contract that is held by the municipal project sponsor and NOT PennDOT District 11, but that would be subsequently processed by PennDOT District 11 within the Local Projects Unit where I am currently working, because of funding from a combination of Federal and State funds.” Discussion/Conclusion: This supplemental advisory incorporates herein by reference the quotations, citations, and commentary as to the Ethics Act set forth within Thompson, Advice of Counsel 24-547. Based upon the additional facts submitted by your request for supplemental advice, you are advised as follows. During the first year following termination of your employment as a Civil Engineer — Transportation with PennDOT, Section 1103(g) of the Ethics Act would prohibit you from including your name on invoices to a municipal project sponsor that you know or reasonably expect will be submitted to PennDOT for processing. Cf., Kunselman, Advice 99-631-C. This is because Section 1103(g) would prohibit you from permitting your name to appear on material Thompson, 24-547-S September 23, 2024 Page 3 submitted to PennDOT that would not fall within the narrow parameters of the Commission’s holding in Abrams/Webster, Opinion 95-011, and the aforesaid invoices would not fall within those parameters. Lastly, the propriety of the proposed conduct has only been addressed under the Ethics Act. 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