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HomeMy WebLinkAbout04-609 ReeseKaren A. Reese, P.E. Susan K. Gilliland 1703 Hannah Furnace Road Phillipsburg, PA 16866 ADVICE OF COUNSEL December 23, 2004 04 -609 Re: Former Public Employee; Section 1103(g); Senior Civil Engineer Supervisor Transportation; Highway Draftsman Designer; PennDOT; District 2 -0. Dear Ms. Reese and Ms. Gilliland: This responds to your letter of November 22, 2004, by which you requested advice from the State Ethics Commission. Issue: Whether the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa. .S. § 1101 et seq., presents any restrictions upon employment of a Senior Civil Engineer Supervisor Transportation or a Highway Draftsman Designer following termination of service with the Commonwealth of Pennsylvania, Department of Transportation ( "PennDOT "). Facts: As current PennDOT employees, you have submitted a joint request for an advisory from the State Ethics Commission regarding the post - employment restrictions of the Ethics Act. You have submitted facts, which may be fairly summarized as follows. Karen A. Reese, P.E. is employed as a Senior Civil Engineer Supervisor Transportation with PennDOT, District 2 -0, a position that Ms. Reese has held for approximately four years. Although Ms. Reese has been a registered professional engineer in Pennsylvania since September 1999, her registration is not a requirement of her current position, and Ms. Reese does not utilize her registration in the performance of her job duties at PennDOT. Susan K. Gilliland is employed as a Highway Draftsman Designer with PennDOT, District 2 -0. Ms. Gilliland occasionally performs computer drafting, but primarily researches rights -of -way for projects being designed by PennDOT's in -house design staff. Ms. Gilliland is also responsible for maintaining all of the District's record plans for completed construction projects. Your future plans include forming a legal corporation operating as a Women Owned Business /Disadvantaged Business Enterprise ( "WBE /DBE ") in Pennsylvania. The proposed corporation would provide engineering and inspection services to clients both in and out of the transportation arena. Reese /Gilliland, 04 -609 December 23, 2004 Page 2 You have submitted copies of both of your job descriptions, as well as copies of the organizational charts for the Design Division and Plans Unit of Engineering District 2- 0, which documents are incorporated herein by reference. Based upon the foregoing facts, you seek a determination regarding the restrictions of the Ethics Act that would apply to you should you terminate your employment with PennDOT. 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 requestor based upon the facts that the requestor has submitted. In issuing the advisory based upon the facts that the requestor 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 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. In your respective positions as a Senior Civil Engineer Supervisor Transportation and as a Highway Draftsman Designer for PennDOT, each of 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 your respective job descriptions, 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. (See, Klingerman, Advice 00 -589; Deen, Advice 00 -529; Lantz, Advice 99 -554). Consequently, upon termination of public service, each of you would 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 Reese /Gilliland, 04 -609 December 23, 2004 Page 3 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 employee himself, 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 /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 new employer to the former governmental body, even though the invoices ertain 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 Reese /Gilliland, 04 -609 December 23, 2004 Page 4 governmental body where the public official /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 No. 90 -006; Sharp, Opinion 90- 009 -R. The governmental body with which each of you would be deemed to have been associated upon termination of public service would be PennDOT in its entirety including, but not limited to, Engineering District 2 -0. Therefore, for the first year after termination of service with PennDOT, Section 1103(g) of the Ethics Act would apply and restrict "representation" of "persons" before PennDOT. 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 forming a corporation that would provide engineering and inspection services to clients both in and out of the transportation arena, Section 1103(g) would restrict your conduct to the extent that such conduct would constitute prohibited "representation" before PennDOT during the first year following termination of employment with PennDOT. Based upon the facts that 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 /employee and no public official /employee shall solicit or accept anything of monetary value based upon the understanding that the vote, official action, or judgment of the public official /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. Specifically not addressed herein is the applicability of the Governor's Code of Conduct. Conclusion: In your respective positions as a Senior Civil Engineer Supervisor Transportation and as a Highway Draftsman Designer for PennDOT, District 2 -0, you, Karen A. Reese, P.E., and Susan K. Gilliland would each be considered a "public employee" subject to the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1101 et seq. ("Ethics Act "). Upon termination of service with PennDOT, each of you would become a "former public employee" subject to Section 1103(g) of the Ethics Act. The former governmental body would be PennDOT in its entirety including, but not limited to, Engineering District 2 -0. 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 as to each of you 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. Reese /Gilliland, 04 -609 December 23, 2004 Page 5 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 S 13.2(h). The appeal may be received at the Commission by hand delivery, United States mail, delivery service, or byy 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