HomeMy WebLinkAbout04-573 HackTerry H. Hack
3808 Griffin Lane
Harrisburg, Pa 17110
Dear Mr. Hack:
Duties:
ADVICE OF COUNSEL
July 22, 2004
04 -573
Re: Former Public Employee; Section 1103(g); Deputy Director for ImaginePA; Office of
Administration.
This responds to your letter received June 23, 2004, by which you requested advice
from the State Ethics Commission.
Issue: Whether the Public Official and Employee Ethics Act ( "Ethics Act "), 65
Tra.G.S. § 1101 et seq., presents any restrictions upon employment of a Deputy Director
for ImaginePA foirowing termination of service with the Office of Administration.
Facts: You are employed with the Office of Administration as Deputy Director for
ImaginePA. You provide the following description of your job responsibilities:
My position reported to the Project Director and managed the SAP Technical
Infrastructure for the Commonwealth's Imagine PA Organization. The
Technical Infrastructure manages all aspects of mySAP.com IT resources
including Systems (server) Management, Storage and Database Administration,
Output Management, Performance Management, Disaster Recovery and
Planning, Agency IT Coordination, Application Development, Security
Administration, and Capacity Planning. These responsibilities were
accomplished by a multi- disciplined team of experts consisting of highly
technical IT professionals, contractors and subcontractors, and other
OA/OIT professionals. This environment processes the Commonwealth's
Procurement, Finance, Human Resource, and Payroll transactions for all
agencies under the Governor's jurisdiction.
You state that you will retire from Commonwealth service on June 25, 2004. You
ask what restrictions under the Ethics Act will apply to you if you become employed by
companies seeking state business or state contracts.
Hack, 04 -573
July 22, 2004
Page 2
Discussion: It is initially noted that ursuant to Sections 1107(10) and 1107 (11) of
the Ethics Act, 65 Pa.C.S. §§ 1107(10), (11), advisories are issued to the requestor based
upon the facts which the requestor has submitted. In issuing the advisory based upon the
facts which the requestor has submitted, the Commission does not engage in an
independent investigation of the facts, nor does it speculate as to facts which have not been
submitted. It is the burden of the requestor 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 requestor has truthfully disclosed all of the material facts.
As Deputy Director for ImaginePA, Office of Administration, you would be 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 submitted mss 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; planning; inspecting; administering
or monitoring grants; leasing; regulating; auditing; or other activities where the economic
impact is greater than de minimis on the interests of another person.
Consequently, upon termination of public service, you will become 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 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.
Hack, 04 -573
July 22, 2004
Page 3
The term "person" is very broadly defined. It includes, inter alia, corporations and
other businesses. It also includes the former public employee-hiimself, Confidential
Opinion, 93 -005, as well as a new governmental employer. Ledebur, Opinion 95 -007.
The term "representation" 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
f
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 though the
invoices pertain to a contract that existed prior to termination of public service. Shay,
Opinion 91 -012. However, if such a pre- existing contract does not involve the unit where
the 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() 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- 006Sharp, Opinion 90- 009 -R.
The governmental body with which you would be associated upon termination of
public service is the Office of Administration in its entirety. Therefore, for the first year after
termination of service with the Office of Administration, Section 1103(g) of the Ethics Act
would apply and restrict "representation" of "persons" before the Office of Administration.
Having set forth the restrictions of Section 1103(g) of the Ethics Act, you are
advised that although the Ethics Act would not restrict you from accepting employment
with a company seeking state business or state contracts, the Act would restrict your
conduct in your new position to the extent that such conduct would constitute prohibited
"representation" before the Office of Administration during the one -year period as
delineated above. You should be particularly cognizant of the restrictions of Section 1103(g)
where your new job duties would involve the Office of Administration, your former
governmental body.
Hack, 04 -573
July 22, 2004
Page 4
Based upon the facts which have been submitted, this Advice has addressed the
applicability of Section 1103(g) only. It is expressly assumed that there has been no use
of authority of office for a private pecuniary benefit as prohibited by Section 1103(a) of the
Ethics Act. Further, you are advised that Sections 1103(b) and 1103(c) of the Ethics Act
provide in part that no person shall offer to a public official /public employee and no public
official /public employee shall solicit or accept anything of monetary value based upon the
understanding that the vote, official action, or judgment of the public official /public
employee would be influenced thereby. Reference is made to these provisions of the law
not to imply that there has been or will be any transgression thereof but merely to provide
a complete response to the question presented.
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 in that they do not involve an
interpretation of the Ethics Act.
Conclusion: As Deputy Director for ImaginePA, Office of Administration, you would
be considered a "public employee" as defined in the Public Official and Employee Ethics
Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq. Upon termination of service with the Office of
Administration, you will become a "former public employee" subject to Section 1103(g) of
the Ethics Act. The former governmental body is the Office of Administration in its entirety.
The restrictions as to representation outlined above must be followed. The
propriety of the proposed conduct has only been addressed under the Ethics Act.
Further, should service be terminated, as outlined above, the Ethics Act would
require that a Statement of Financial Interests be filed by no later than May 1 of the year
after termination of service.
Pursuant to Section 1107(11), 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 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.
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.
Sincerely,
Vincent J. Dopko
Chief Counsel