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Home My WebLink About26-515-S Grimm 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 304 HARRISBURG, PA 17120-0400 ADVICE OF COUNSEL April 13, 2026 To the Requester: Jonathan Grimm 26-515-S Dear Mr. Grimm: This responds to your letter dated March 17, 2026, by which you requested a supplemental advisory from the Pennsylvania State Ethics Commission (“Commission”), seeking guidance as to the general issue presented below: Issue: Whether Section 1103(g) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(g), would impose restrictions upon a former employee of the Pennsylvania Department of Transportation (“PennDOT”) Construction Unit from appearing on invoices for a new employer within the first year following termination of employment with PennDOT if those invoices were for contracts with another unit of 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 appearing on invoices for a new employer unless those routine invoices involved preexisting contracts that do not involve the District where the former employee worked and the signature on the invoice is required by the regulations of PennDOT. Facts: By letter dated February 17, 2026, you initially requested an advisory from the Commission. In response to your initial advisory request, Grimm, Advice of Counsel 26-515, was issued to you on March 5, 2026. Grimm, 26-515-S April 13, 2026 Page 2 Advice of Counsel 26-515 was based upon the following submitted facts: From December 2007 until January 2, 2026, you were employed with PennDOT in Engineering District 11-0. You left your employment with PennDOT to take a position with a consulting engineering firm, H.W. Lochner – Pittsburgh Office (“the Firm”). At the time that you left your Commonwealth employment, you were working as an Assistant Construction Engineer in the Construction Unit of Engineering District 11-0. In that position, you oversaw the planning, coordination, and inspection of construction materials and workmanship for projects in Engineering District 11-0. In particular, you worked on locally sponsored projects with the Allegheny County Department of Public Works and the City of Pittsburgh. Because these projects were federally funded, the federal government required that PennDOT provide oversight for the projects. As a Senior Construction Manager with the Firm, you oversee construction inspection and construction management in the Pittsburgh region. The Firm pursues consultant services contracts with PennDOT, the City of Pittsburgh, the Allegheny County Department of Public Works, utility companies, and other entities to provide inspection and management for their projects. You seek guidance as to whether the Ethics Act would impose prohibitions or restrictions upon you with regard to performing work for the Firm during the first year following termination of your employment with PennDOT. In particular, you ask whether you would be permitted to pursue contracts with the City of Pittsburgh or the Allegheny County Department of Public Works to provide construction management and inspection services on federally funded projects overseen by PennDOT. Grimm, Advice of Counsel 26-515, at 1-2. Advice of Counsel 26-515 determined as follows: In your former capacity as an Assistant Construction Engineer with PennDOT, you were a public employee subject to the provisions of the Ethics Act. Consequently, upon termination of your employment with PennDOT, you became a “former public employee” subject to Section 1103(g) of the Ethics Act. The governmental body with which you are deemed to have been associated upon termination of your employment with PennDOT is PennDOT in its entirety, including Engineering District 11-0. Therefore, for the first year following termination of your Grimm, 26-515-S April 13, 2026 Page 3 employment with PennDOT, Section 1103(g) of the Ethics Act would apply and restrict you from “representing” a “person” — including but not limited to your new employer, the Firm — before PennDOT. The restrictions as to representation outlined above must be followed. Section 1103(g) of the Ethics Act would not prohibit you from pursuing contracts with the City of Pittsburgh or the Allegheny County Department of Public Works to provide construction management and inspection services on federally funded projects overseen by PennDOT as long as in so doing, you would not engage in any activity that would involve prohibited representation of the Firm before PennDOT. Grimm, Advice of Counsel 26-515, at 4. In so concluding, Advice of Counsel 26-515 noted the following: 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 preexisting 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. Grimm, Advice of Counsel 26-515, at 3. In your March 17, 2026, advisory request letter, you express your view that pursuant to Advice of Counsel 26-515, you would be permitted to appear on routine invoices for your new employer if they did not involve the PennDOT unit where you previously worked. Specifically, you ask for clarification as to whether you, as a former employee of PennDOT’s Construction Unit, can appear on invoices for a contract that your new employer has with PennDOT’s Design Unit. Discussion/Conclusion: This supplemental advisory incorporates herein by reference the quotations, citations, and commentary as to the Ethics Act set forth in Grimm, Advice of Counsel 26-515. In response to your request for a supplemental advisory, you are advised as follows: It appears that you have misconstrued the holding in Abrams/Webster, Opinion 95-011. Abrams/Webster held that if a preexisting contract does not involve the District where the former public employee worked, the name of the former public employee may appear on routine invoices submitted to his former governmental body if required by the regulations of the entity to which the Grimm,26-515-S April 13, 2026 Page 4 billing is being submitted.Id.The holding in Abrams/Websteris limited to the submission of billing hours. In applying Abrams/Webster, supra, to the instant matter, you are advised that during the one-year period of applicability of Section 1103(g), if you would perform work for your new employer on PennDOT contracts that existed beforeyou terminated employment with PennDOT, andif such contracts would not involve the PennDOT Districtwhere you formerly worked, specifically District 11-0,then your name could appear on routinebillinginvoices submitted to PennDOT as to those particular preexisting contracts ifrequired by the regulations of PennDOT. It is important to note that the “unit” where you formerly worked would encompass PennDOT District 11-0 in its entirety, not just the Construction Unit.Section 1103(g) of the Ethics Act would still prohibit you from (1) having direct contact with PennDOT or PennDOT personnel on behalf of your new employer; or (2) having any other contact within the ambit of prohibited representation as set forth in Advice 26-515. 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. 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