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Home My WebLink About26-559 Brown 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 August 31, 2026 To the Requester: Rochelle M. Brown, RN 26-559 Dear Ms. Brown: This responds to your letter dated August 11, 2026, received August 19, 2026, by which you requested an advisory from the Pennsylvania State Ethics Commission (“Commission”), seeking guidance as to the issue presented below: Issue: Whether the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq., would prohibit an individual who is a registered nurse from contracting to provide services to the Intense Medical Case Management Unit of the Bureau of Fee-for-Service Programs within the Pennsylvania Department of Human Services (“Department of Human Services”) following termination of her employment as a Medical Records Examiner with the Department of Human Services. Brief Answer: YES. During the first year following termination of the individual’s employment as a Medical Records Examiner with the Department of Human Services, Section 1103(g) of the Ethics Act would apply and restrict the individual from engaging in any activity that would involve “representing” a “person” — including but not limited to herself — before her “former governmental body,” the Department of Human Services. Accordingly, for the first year following termination of her Commonwealth employment, Section 1103(g) would prohibit the individual from contracting to provide services to the Intense Medical Case Management Unit of the Bureau of Fee-for-Service Programs within the Department of Human Services, as engaging in such activity would constitute prohibited representation of “person” — herself as a private contractor — before the Department of Human Services. Brown, 26-559 August 31, 2026 Page 2 Facts: You request an advisory from the Commission based upon submitted facts that may be fairly summarized as follows. You are a Registered Nurse. From 2014 until September 2023, you worked as a private contractor within the Bureau of Fee-for-Service Programs of the Department of Human Services. Beginning September 5, 2023, you moved to a different Bureau within the Department of Human Services while remaining a private contractor. On February 2, 2026, you began employment with the Department of Human Services as a Medical Records Examiner. In accordance with Merit System Employment Regulations, you were required to serve a minimum probationary period of 180 days. You subsequently resigned from your employment with the Department of Human Services effective the close of business on August 7, 2026. You wish to return to your former contract position within the Intense Medical Case Management Unit of the Bureau of Fee-for-Service Programs, which is composed of private contractors and has no state employment positions. The Intense Medical Case Management Unit serves Pennsylvania Medicaid recipients who face complex or severe medical crises. You state that due to staffing shortages, the remaining nurses who are providing services as private contractors have heavier than usual caseloads. You seek guidance as to whether Section 1103(g) of the Ethics Act would impose prohibitions or restrictions upon you during the first year following termination of your employment with the Department of Human Services. In particular, you ask whether Section 1103(g) would prohibit you from providing services to the Intense Medical Case Management Unit as a private contractor, and if so, whether the Commission could grant an exemption based upon an urgent need due to a staffing shortage. 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. The post-employment restrictions of Section 1103(g) of the Ethics Act apply to former public officials/public employees. 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”: Brown, 26-559 August 31, 2026 Page 3 § 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. 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. During the one-year period of applicability of Section 1103(g) of the Ethics Act, Section 1103(g) generally would prohibit a former public official/public employee from contracting with Brown, 26-559 August 31, 2026 Page 4 the former governmental body (see, Shaub, Order 1242; Confidential Opinion, 97-008; Confidential Opinion, 93-005) or providing consulting services constituting representation before the former governmental body (see, Claycomb, Opinion 14-004; Schrempf, Opinion 13-004). 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 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. Conclusion: In your former capacity as a Medical Records Examiner with the Department of Human Services, you were a “public employee” subject to the provisions of the Ethics Act. Consequently, upon termination of your employment with the Department of Human Services, 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 the Department of Human Services is the Department of Human Services in its entirety. For the first year following termination of your employment with the Department of Human Services, Section 1103(g) of the Ethics Act would apply and restrict you from “representing” a “person” — including but not limited to yourself — before the Department of Human Services. The restrictions as to representation outlined above must be followed. Brown, 26-559 August 31, 2026 Page 5 You are advised that during the first year following termination of your employment with the Department of Human Services, Section 1103(g) of the Ethics Act would prohibit you from providing services to the Intense Medical Case Management Unit of the Bureau of Fee-for- Services within the Department of Human Services as a private contractor. This is because such activity would constitute prohibited representation of a “person” — yourself — before your former governmental body, the Department of Human Services. See, Shaub, supra; Claycomb, supra; Schrempf, supra; Confidential Opinion, 97-008; Confidential Opinion, 93-005. You are further advised that even though there may be a staffing shortage in the Intense Medical Case Management Unit, the Ethics Act does not provide for waivers of or exemptions to the applicability of its restrictions, and as such, the Commission does not have the authority or discretion to grant you a waiver of or exemption to the restrictions of Section 1103(g) of the Ethics Act. Cf., Confidential Opinion, 17-007; Whitlock, Opinion 04-015; Ziegler, Opinion 98-001; Long, Opinion 97-010; Richardson, Opinion 93-006. 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 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. Respectfully, Bridget K. Guilfoyle Chief Counsel