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HomeMy WebLinkAbout1795 HonebrinkPHONE: 717-783..1610 TOLL FREE: 1-800-932-0936 In Re: Mark Honebrink, Respondent STME ETAICS COMMISSION FINANCE BUILDING File Docket: X-ref- Date Decided: Date Mailed: FACSIMILE: 717-787-0806 WEBWE: W�AM,ethics.pa.aov 20-030 Order No. 1795 9/14/21 9/16/21 Before: Nicholas A. Colafella, Chair Mark R. Corrigan, Vice Chair Roger Nick Melanie DePalma Michael A. Schwartz Shelley Y. Simms This, is a final adjudication of the State Ethics Commission. Procedurally, the Investigative Division of the State Ethics Commission conducted an investigation regarding possible violation(s) of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et sec.., by the above -named Respondent. At the commencement of its investigation, the Investigative Division served upon Respondent written notice of the specific allegations. Upon completion of its investigation, the Investigative Division issued and served upon Respondent a Findings Report identified as an "Investigative Complaint." A Stipulation of Findings and a Consent Agreement were subsequently submitted by the pal -ties to the Commission for consideration. The Stipulated Findings are set forth as the Findings in this Order. The Consent Agreement has been approved. 1. ALLEGATIONS: That Mark Honebrink, a public official/public employee in his former capacity as an employee of the Southeastern Pennsylvania Transportation Authority ("SEPTA"), violated Sections 1103(g), 1104(a), 1105(b)(6), and 1105(b)(7) of the State Ethics Act (Act 93 of 1998) when, following his retirement from SEPTA, he represented himself and/or another entity before SEPTA within one year of leaving public service; when he failed to file a Statement of Financial Interests for the 2019 calendar year; and when he failed to disclose on his 2017 calendar year Statement of Financial Interests gifts, transportation, lodging, and hospitality, Honebrink, 20-030 Page 2 11. FINDINGS: 1. Mark Honebrink ("Honebrink") was employed with the Southeastern Pennsylvania Transportation Authority ("SEPTA") from. approximately December 1981 until February 29, 2020. 2. Honebrink, while employed with SEPTA, held various positions. a. From approximately 1994 until February 29, 2020, Honebrink served as the Senior Director of Administration and Finance. 3. Honebrink retired from SEPTA on January 31, 2020, but he continued as a part-time annuitant until February 29, 2020. 4. SEPTA was created by the Pennsylvania Legislature on or around August 17, 1963, to coordinate government subsidies to various transit and railroad companies in southeastern Pennsylvania. 5. Articles of Incorporation were filed with the Pennsylvania Department of State creating SEPTA on or around February 6, 1964. a. SEPTA was established as a transportation authority and formed by the City of Philadelphia and the Counties of Bucks, Chester, Delaware, and Montgomery pursuant to the Metropolitan Transportation Authorities Act of 1963. 6. SEPTA is a regional public transportation authority that operates bus, rapid transit, commuter rail, light rail, and electronic trolleybus services for nearly 4 million people in five counties in and around Philadelphia, Pennsylvania. a. It also manages projects that maintain, replace and expand its infrastructure, facilities and vehicles. 7. SEPTA, as an Authority, maintains By -Laws which govern the Authority operations, etc. a. SEPTA's By -Laws were most recently approved for amendment on or around April 26, 2007. 8. Among the Articles specified within the By -Laws, Article 11, Section 2.01 Board, and Article 111, Section 3.02, Regular Meetings read in part as follows: a. Section 2.01, Board - The governing and policymaking body of the Authority shall exercise its powers in such areas of discretion or policy as the functions and programs of the Authority, the Authority's operating and capital budgets, the Authority's standard of services, utilization of technology, the organizational structure and the selection of and establishment of salaries for personnel. b. Section 3.02, Regular Meetings — At such regular meetings, the Board may transact such business as may be brought before the meeting. All action of the Board shall be by resolution. Honebrink, 20-030 Page 3 9. Honebrink's position as Senior Director of Administration and Finance was organizationally located in SEPTA's Division of Engineering, Maintenance and Construction and Department of Engineering, Maintenance and Construction, Administration and Finance. 10. Honebrinlc directly reported to Robert Lund ("Lund"), SEPTA's Assistant General Manager for the Division of Engineering, Maintenance and Construction. a. In January 2020, Lund was appointed as Deputy General Manager of SEPTA. b. Honebrink continued to report to, and be supervised by, Lund. 11. Honebrink, as the Senior Director of Administration and Finance, had basic administrative and specific responsibilities including the following: a. Basic Administrative Responsibilities. 1. Participate in the development of policies in the immediate manager's organization and interpret such policies throughout department or activity. 2. Develop objectives, policies and procedures for their activity for the approval of immediate manager. 3. Interpret and administer programs and procedures in accordance with approved policies. 9. Perform special assignments for immediate manager as requested. 5. Report performance to immediate manager. 6. Coordinate expense budget spending for department or activity to maintain performance within budget. 7. Develop a sound organization, staffed with personnel able to perform the functions of the department. 8. Develop a suitable successor and be responsible for training replacements at all levels within department. b. Specific Responsibilities. 1. Develop and implement the necessary financial controls as well as organizing and directing the various activities of the department's Administration and Financial sections to assure Divisional expenditures are within authorized Operating and Capital budgets. Ensure financial problem areas are identified and corrective action is taken. 2. Manage and coordinate all activities required to develop an annual operating budget including the necessary interface functions. 3. Manage and coordinate all activities required to develop the annual ISRP program plan and budget including the necessary interface functions. Honebrink, 20-030 Page 4 4. Direct staff in development, design, implementation, operation, and management of administrative practices and procedures. 5. Manage personnel and labor relations activities, including manpower planning, strategic recruitment efforts, IOD and LT absence case management, timekeeping and attendance points, FMLA, and implementation of policies and special projects. 6. Oversee the development, operation and management of department's technology systems. 7. Direct the Divisional contract administration efforts including the interface with the Procurement and Contracts Department, requisition creation and tracking, procurement card administration, Divisional blanket/service contract management. S. Manage the development, use, and accounting involved with support/cooperation/reimbursement agreements with PennDOT. 9. Direct SEPTA's Asset Management Program consistent with FTA guidance and regulation. Implement and provide ongoing system support for an automated asset maintenance management system for fixed and linear assets. Implement and provide ongoing system support for a State of Good Repair Investment Planning system. 10. Supervise development and implementation of short and long-range planning for the department, including coordination and management of all activities involving other departments. In addition, responsible for replacement and acquisition of vehicles and equipment. 11. Interface with operational and administrative managers of other SEPTA departments to assist in solution of mutual financial, administrative and operational problems. 12. Establish control policies and procedures to provide efficient use of production capacity and manpower. 13. Plan and schedule activities required for timely and successful completion of special projects and campaigns. 14. Supervise the development, tracking and preparation of all regular and special reports on departmental operations. 15. Direct staff in development, design, implementation and operation of an effective and efficient departmental internal communications system. 16. Perform other duties as required. 12. In or around November of 2019, Honebrink was considering retiring from SEPTA by the end of 2019. Honebrink, 20-030 Page 5 a. At the time, Honebrink was being considered for employment with Michael Baker International, Inc. ("Michael Baker International"). 13. Michael Baker International is a leading provider of engineering and consulting services, including design, planning, architectural, environmental, construction and program management. a. Michael Baker International is based in Pittsburgh, Pennsylvania with nearly 100 offices nationwide that partner with clients on everything from roads, bridges, tunnels, mass transit, and airports to water treatment plants, arctic oil pipelines, environmental restoration, and specialized overseas construction. 14. On or around December 3, 2019, Honebrink received an offer of employment from Michael Baker International in a letter from Lydia Grose, Vice -President of Michael Balser International, which in part included the following information: a. We are very pleased to extend an offer of employment to you as a Project Control Specialist IV with Michael Baker International in our Philadelphia, PA office. In this position you will report to Edward LaGuardia. If this offer is acceptable, your target start date is January 6, 2020. 15. Honebrink's position as a Project Control Specialist IV with Michael Baker International includes duties of developing and tracking project spend plans, providing financial analysis and reporting, and scheduling assistance as follows: a. Prepares project planning, development and monitoring of schedules, budgets/costs, status reports and progress using project management software; b. Tracks committed and actuals, reconciling actuals with estimated cost, developing cost forecast, analyzing variations against baselines; Investigates cost inconsistencies and booked charges as required; d. Develops reports on cost and schedule variances against baselines; Assists Project Manager in developing and reviewing cost, schedule and budget corrective action and recovery plans, and making sure needed action plans are implemented; and f. Establishes and maintains project progress measurement systems for assigned projects. 16. Beginning in or around July 2019, the Inspector General of SEPTA and the Federal Bureau of Investigation began investigations of managers from SEPTA's Division of Engineering, Maintenance and Construction. a. The investigations were related to procurement fraud and theft of property. Honebrink, 20-030 Page 6 17. Honebrink, as the Senior Director of Administration and Finance with the Division of Engineering, Maintenance and Construction, assisted with the internal investigation initiated by SEPTA. a. Honebrink's involvement concerned the elements of the disciplinary process for the managers. 18. On or around December 3, 2019, Honebrink advised Lund that he was retiring from SEPTA effective December 31, 2019. a. Lund requested that Honebrink delay his retirement from SEPTA until January 2020 to assist with personnel matters concerning the SEPTA internal investigation. b. Honebrink agreed to delay his retirement from SEPTA until a January 31, 2020, employment start date with Michael Baker International. 19. In or about mid -January 2020, Lund requested that Honebrink delay his retirement for an additional 30 days. a. Honebrink declined delaying his retirement but continued as a part-time annuitant for the month of February 2020. I. It was not uncommon for SEPTA employees to retire and return for a short time as part-time annuitants. THE FOLLOWING FINDINGS RELATE TO HONEBRINK BEING AUTHORIZED BY SEPTA OFFICIALS TO BE EMPLOYED BY A SEPTA CONTRACTOR WITHIN ONE YEAR OF RETIRING FROM SEPTA. 20, Michael Baker International has regularly contracted with SEPTA for multiple services. 21. Minutes of the SEPTA Board meeting for June 27, 2019, reflected the awarding of contracts pursuant to a Request for Proposals for several vendors which included Michael Baker International, as follows: a. (i) AECOM Technical Services, Inc.; (ii) Michael Baker International, Inc.; (iii) Jacobs Project Management Company, and (iv) WSP USA Inc. for the provision of General Engineering Consultant (GEC) Construction Management Services, which includes such disciplines as civil, track, structural, mechanical, electrical, catenary, traction power and communications/signals, with services to be performed on as "as needed, task order" basis over a period of three years expected to commence in June 2019, as described in the staff summary on this subject, for a total per contract amount not to exceed $8,000,000, Request for Proposals No. 18-00118-ACKR — General Engineering Consultant — Construction Management (GEC CM) Services." 22. On or around July 9, 2019, a Consultant Agreement for Architectural/Engineering Services was entered into by SEPTA and Michael Baker International. Honebrink, 20-030 Page 7 a. SEPTA was involved in an undertaking known as General Engineering Consultant Construction Management and Inspection Services. b. SEPTA desired to engage a consultant/surveying firm to perform certain technical and professional services. C. The Agreement provided that Michael Baker International shall perform all of the services required under the Agreement within a total of 1095 days. d. The Agreement was signed on or around July 10, 2019, by Jeffrey Knueppel, General Manager of SEPTA, and Eric Frary, Vice -President of Michael Baker International. 23. SEPTA Purchase Order No. S919454 was issued on or around July 10, 2019, for Vendor Michael Baker International, which in part listed the following descriptions: a. A/E General Engineering Consultant (GEC CM) Construction Management and Inspection Services 3-year contract on a task order basis; b. In accordance with SEPTA's RFP No. 18-0118-ACKR, Contract Documents, your resolution proposal and resolution adopted by the SEPTA Board on .Tune 27, 2019; c. Contract period 7/10/19 — 7/9/22; and d. Total Amount not to exceed $8,000,000. 24. Michael Baker International had a contract in effect with SEPTA at the time Honebrink was offered employment. a. Honebrink was provided with legal advice from SEPTA's Office of General Counsel regarding acceptance of this employment. 25. After Honebrink advised SEPTA officials that he was retiring from SEPTA in January 2020 to begin employment with Michael Baker International, he received a written determination from General Counsel Gino Benedetti ("Benedetti"). a. Lund authorized Benedetti to provide Honebrink with a determination that Honebrink could continue to provide services to SEPTA as an employee of Michael Baker International. 26. Benedetti has been employed with SEPTA since 2013 with the Office of General Counsel as Deputy General Counsel or General Counsel. a. Benedetti has served as General Counsel since 2014. 27. After Honebrink retired from SEPTA, Lund approved utilizing Honebrink's skills/expertise as a consultant for SEPTA through Michael Baker International pertaining to personnel matters due to the ongoing FBI and SEPTA internal investigation. Honebrink, 20-030 Page 8 28. Honebrink received correspondence from Benedetti dated February 7, 2020, that, in part, included the following regarding his acceptance of employment with Michael Baker International: Congratulations on your retirement on February 1, 2020 and thank you for your dedicated service to SEPTA. You will continue as a part-time pensioner until February 29, 2020. You will then work as a consultant for Michael Baker International (MBI) beginning on March 1, 2020. Section III(H) of SEPTA's Ethic(s) Policy (#A11) and the Public Official and Employee Ethics Act, 65 Pa C.S.A. §§ 1101 et. seq. prohibits you from providing services to SEPTA for MBI, a current vendor, for a one-year period from February 29, 2020. You may provide services to SEPTA as a MBI consultant before March 1, 2021, only if expressly requested by SEPTA in the form of a task order or e-mail. a. The letter was signed by Honebrink on February 10, 2020, accepting and agreeing to the letter. b. Those copied on the letter included Richard Burnfield, SEPTA Deputy General Manager - Treasurer; Lund; and Robert Marron, SEPTA AGM Audit and Investigative Services. 29. SEPTA established an Ethics Policy #A11 on or around February 14, 2011. a. The policy referenced the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1101 et sec. b. SEPTA's Ethics Policy is intended to provide guidance to employees to meet the highest ethical standards and on how employees can seek advice regarding specific ethical questions. 1. Management reserves the right to determine when an employee's activities and relationships represent a conflict of interests or impede his/her ability to discharge his/her job duties in an ethical manner. 30. Section III, Guidelines of SEPTA's Ethics Policy, Subsection H provides the following: Any former employees of SEPTA must not use proprietary information or confidential information they obtained while in SEPTA's employ or act adversely to the interests of the Authority in the performance of their new positions. Further, a former employee may not represent a new employer or business interests having a current ongoing relationship with the Authority for a period of one year after termination of employment with SEPTA. In addition, former SEPTA employees in positions as determined by SEPTA's Ethical Conduct Panel may not assist, act for, or represent a business entity to SEPTA for business purposes for a period of two years after termination. 31. No opinion was sought from the Pennsylvania State Ethics Commission by either SEPTA or Honebrink regarding Honebrink being utilized as a consultant for SEPTA through Michael Baker International. Honebrink, 20-030 Page 9 32. On February 28, 2020, Matthew Dooner ("Dooner"), SEPTA Senior Procurement Officer for Procurement, Supply Chain and DBE, submitted a letter to Eric Frary ("Frary"), Michael Baker International, approving a Limited Work Authorization under SEPTA Purchase Order No. S91954 and Task Order GEC-CM-19A-10, Administration and Finance Support. a. Dooner's correspondence approving the contract included the following: SEPTA is hereby granting your firm Limited Work Authorization (LWA) to proceed with work on the Subject Project/Initiative in accordance with the terms and conditions of the Master GEC Agreement dated July 9, 2019. This Limited Work Authorization is being issued to quickly initiate limited activity on the Subject Project/Initiative. Under no circumstances is your firm to expend in excess of $5,000 under the authority of this limited work authorization. A more comprehensive Work Authorization may be issued upon SEPTA's written request of, and your firm's submission of, an acceptable Proposal for the Subject Project. The value of this Limited Work Authorization (LWA) is to be included as part of any such Proposal submission. b. The purpose for the limited work authorization was due to Honebrink being involved in several ongoing initiatives for which his continued availability was required by SEPTA. 33. On March 2, 2020, Edward LaGuardia, Project Manager for Michael Baker International, submitted a proposal to Dooner under SEPTA Purchase Order No. S919454 and Task Order GEC-CM-19A-10 that included the $5,000 Limited Work Authorization and an amount not to exceed $65,608.00 for a total of 416 hours. The scope of services included the following: a. CM Task Order Scope of Services 2/20/2020 Administration and Finance Support — Engineering Maintenance and Construction Division Retain the services of Mark Honebrink on as needed as required basis to provide senior management level support to the DGM, EM&C senior staff, and the Administration and Finance Department. Continue on an as -needed basis the pursuit of key administration/Finance initiatives and support of other divisions including Legal and Labor relations. Specific key initiatives include: 1. SAM Discipline 2. FY21 ISRP / Operating Budget Development and Submittal 3. Support of Administration and Finance Organizational Development for DGM 4, New Position for PennDOT Coordination — Agreement Development, Hiring, Billing Honebrinkc, 20-030 Page 10 5. I95 project billing including Westmoreland Loop Construction, Resolution of cost sharing for next phase(s). 6. Facility Video Plan — New Installations: Where, How Many, Capital Funding Plan, Schedule. Scheduled Replacement of existing units based on useful life (ISRP?) 7. Utility Fleet Renewal Options / Rental vehicle reduction 8. Telephone system renewal 9. Engineer 1 program 10. Tool Inventory / annual audit. 11. Snow Contracting Best Practices. 12. OT Policy for Maintenance Managers. 13. Standardize requisition routing. Estimated requirement of 416 hours annually. Work will mainly take place at SEPTA's 1234 Market Street headquarters. Deliverables will take the form of Mark Honebrink's work effort as directed by DGM Robert Lund or his designee. This may include attendance at meetings, writing reports and policies, conducting analyses, providing guidance to Departmental staff, preparing budgets, program plans, etc. Mr. Honebrink will provide a weekly timesheet detailing his work effort and time broken down by an/all relevant SEPTA labor account codes. 34. On or around March 11, 2020, Dooner submitted a letter to Frary, advising him that SEPTA authorized Michael Baker International to proceed under Task Order GEC-CM-19A-10, Administration and Finance Support. 35. Timecard reports for Honebrink reflect the hours for the consulting work he performed for SEPTA with Michael Baker International under Task Order GECCM-19A-10, Administration and Finance Support, Project Number 177673 as follows: Date Weekday Hours Project Name Project Number Task Name 3/16/2020 Monday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/17/2020 Tuesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/18/2020 Wednesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/19/2020 Thursday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/20/2020 Friday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/23/2020 Monday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/24/2020 Tuesday 8 GECCM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/25/2020 Wednesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/26/2020 Thursday 8 GECCM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/27/2020 Friday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 3/30/2020 Monday 8 GEC -CM- 1 9A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support Honebrink, 20-030 Page I I 3/31/2020 Tuesday 8 GEC-CM-19A-10 Admin-Fin (1101) 177673 Admin/Fin Support 4/l/2020 Wednesday 8 GEC -CM- 19A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/2/2020 Thursday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/3/2020 Friday 8 GEC -CM- I 9A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/6/2020 Monday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/7/2020 Tuesday 8 GEC-CM-19A-10 Admin-Fin (HOI) 177673 Admin/Fin Support 4/8/2020 Wednesday 8 GEC-CM-19A-10 Admin-Fin (I101) 177673 Admin/Fin Support 4/9/2020 Thursday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/10/2020 Friday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/13/2020 Monday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/14/2020 Tuesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/15/2020 Wednesday 8 GEC -CM- 1 9A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/16/2020 Thursday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/17/2020 Friday 8 GEC -CM- 1 9A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/20/2020 Monday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/21/2020 Tuesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/22/2020 Wednesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/27/2020 Monday 8 GEC -CM- 19A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/28/2020 Tuesday 8 GEC -CM- 19A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/29/2020 Wednesday 8 GEC -CM- 19A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 4/30/2020 Thursday 8 GEC -CM- 19A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/1/2020 Friday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/4/2020 Monday 8 GEC-CM-I9A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/5/2020 Tuesday 8 GEC -CM- 19A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/6/2020 Wednesday 4 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/7/2020 Thursday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/8/2020 Friday 8 GEC -CM- T 9A-10 Adm in -Fin (HO 1) 177673 Admin/Fin Support 5/11/2020 Monday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/12/2020 Tuesday 8 GEC-CM-19A-10 Adm in -Fin (HO1) 177673 Admin/Fin Support 5/13/2020 Wednesday 8 GEC-CM-19A-10 Adm in -Fin (HO1) 177673 Admin/Fin Support 5/14/2020 Thursday 8 GEC-CM-19A-10 Adm in -Fin (HO1) I77673 Admin/Fin Support 5/15/2020 Friday 8 GEC-CM-19A-10 Adm in -Fin (HO1) 177673 Admin/Fin Support 5/18/2020 Monday 4 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/19/2020 Tuesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/20/2020 Wednesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support Honebrink, 20-030 Page 12 5/21/2020 Thursday 8 GEC -CM- 19A- 10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/22/2020 Friday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/26/2020 Tuesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/27/2020 Wednesday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/28/2020 Thursday 8 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 5/29/2020 Friday 4 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support 6/1/2020 Monday 8 GEC-CM-19A-10 Admin-Fin (F101) 177673 Admin/Fin Support 6/2/2020 Tuesday 4 GEC-CM-19A-10 Admin-Fin (HO1) 177673 Admin/Fin Support Total 416 a. Honebrink submitted a total of 416 hours for the consulting work he performed for SEPTA as an employee of Michael Baker International. b. Honebrink was paid $60.00 per hour as a Project Control Specialist IV for Michael Baker International on the consulting work he performed for SEPTA. 36. Michael Baker International billed SEPTA a total of $62,367.60 for the consulting services performed by Honebrink as part of Task Order GEC-CM-19A-10, Administration and Finance Support as follows: Date Invoice No. Amount Paid to MBI Total Hours Rate of Pay Amount Paid to Honebrink 5/14/2020 1083360 $39,554.05 264 $60.00 $15,840.00 6/25/2020 1087482 $20,975.64 140 $60.00 $8,400.00 7/21/2020 1089592 $1,797.91 12 $60.00 $720.00 Total $62,327.60 416 Total $24,960.00 a. Payments included $24,960.00 for the hours charged by Honebrink. b. Costs for overhead and fees were $37,367.60. 37. The consulting services provided by Honebrink to SEPTA on behalf of Michael Baker International occurred within one year of Honebrink retiring from SEPTA. a. Honebrink represented Michael Baker International before SEPTA employees/managers during this one-year period. THE FOLLOWING FINDINGS RELATE TO HONEBRINK PROVIDING CONSULTING SERVICES RELATED TO THE COVID-19 GLOBAL PANDEMIC TO SEPTA ON BEHALF OF MICHAEL BAKER INTERNATIONAL. 38. In or around April 2020, SEPTA and unions representing SEPTA employees began negotiations over safety protections for drivers and other employees working during the Honebrink, 20-030 Page 13 COVID-19 global pandemic. 39. Lund decided to utilize Michael Baker International to assist with SEPTA's response to COVID-19 protocols. 40. On or about May 22, 2020, a SEPTA Request for Task Order Authorization was created and approved by Lund. a. The task order was for temporary support in response to COVID-19. b. The consultant/contractor was Michael Baker International as part of GEC-CM- 19A-13. C. The initial cost estimate was $62,699.52. d. The anticipated task order start was May 29, 2020, with an estimated duration of 416 hours. 41. On May 26, 2020, SEPTA Procurement Officer Joel Rosario ("Rosario") forwarded a letter to Frary, requesting a proposal under SEPTA Purchase Order No. S919454 and Task Order GEC-CM-19A-13, Temporary Support in Response to COVID-19. a. SEPTA requested that Michael Baker International prepare and submit a technical and cost proposal for the project in accordance with the terms and conditions of the Master GEC Agreement dated July 9, 2019. 42. On May 26, 2020, Edward LaGuardia, Project Manager for Michael Baker International, submitted a proposal which included using Honebrink to complete the terms of the project as noted: a. Temporary Support in Response to COVID -19. Retain the services of Mark Honebrink on an as -needed as required basis to provide senior management level support to the DGM, EM&C senior staff, and the Strategic Initiatives Department. Mr. Honebrink will be supporting SEPTA's response to the COVID-19 pandemic in the following key initiatives: 1. Management, tracking and reporting of SEPTA personnel during the COVID-19 response. 2. Development and management of policies and procedures in response to COVID-19. 3. Implementation and coordination within relevant areas of SEPTA's recovery Program. 4. Supplemental support of standard business functions of the EM&C Administration & Finance and Strategic Initiatives Department while those groups are assisting with COVID-19 response and recovery program. Honebrink, 20-030 Page 14 Estimated requirement of 416 hours annually. Work will mainly take place at SEPTA's 1234 Market Street headquarters. Deliverables will take the form of Mark Honebrink's work effort as directed by DGM Robert Lund or his designee. This may include attendance at meetings, writing reports and policies, conducting analyses, providing guidance to Departmental staff, preparing policies, program plans, forecasts, etc. Mr. Honebrink will provide a weekly timesheet detailing his work effort and time broken down by any/all relevant SEPTA labor account codes. 43. On or around .Tune 5, 2020, Rosario advised Frary that SEPTA authorized Michael Baker International to proceed with the Task Order on Temporary Support in Response to COVID-19. 44. Timecard entry reports for Honebrink for the consulting services that he performed for SEPTA on behalf of Michael Baker International as part of GECCM-19A-13, Temp. Supp (H02), Project Number 179084 were as follows: Date Weekday Hours Project Name Project Number Task Name 6/8/2020 Monday 8 GECCM-19A-13 Temp Supp (H02) 179084 Mark Honebrink 6/9/2020 Tuesday 8 GEC -CM- 1 9A- 13 Temp Supp (1102) 179094 Mark Honebrink 6/10/2020 Wednesday 8 GEC-CM-19A-13 Temp Supp (H02) 179084 Mark Honebrink 6/11/2020 Thursday 8 GEC-CM-19A-13 Temp Supp (H02) 179084 Mark Honebrink 6/12/2020 Friday 8 6EC-CM-19A-13 Temp Supp (H02) 179084 Mark Honebrink 6/15/2020 Monday 8 GEC -CM- 19A- 13 Temp Supp (H02) 179084 Mark Honebrink 6/16/2020 Tuesday 8 GEC-CM-19A-13 Temp Supp (H02) 179084 Mark Honebrink 6/17/2020 Wednesday 8 GECCM-19A-13 Temp Supp (H02) 179084 Mark Honebrink 6/18/2020 'Thursday 8 GEC-CM-19A-13 Temp Supp (H02) 179084 Mark Honebrink 6/19/2020 Friday 8 GEC-CM-19A-13 Temp Supp (1102) 179084 Mark Honebrink 6/22/2020 Monday 8 GEC-CM-19A-13 Temp Supp (H02) 179084 Mark Honebrink 6/23/2020 Tuesday 8 GEC-CM-19A-13 Temp Supp (H02) 179084 Mark Honebrink Total 96 a. The hours submitted by Honebrink were related to assistance he provided to SEPTA as an employee of Michael Baker International. 45. Michael Baker International billed SEPTA a total of $15,140.31 for the consulting work performed by Honebrink as part of Task Order GEC-CM-19A-13, Temporary Support in Response to COVID-19 as follows: Date Invoice No. Amount Paid to MBI Total Hours Rate of Pay__Honebrink Amount Paid to 7/13/2020 1088797 $14,383.29 96 $60.00 $5,760.00 7/24/2020 1089912 $757.00 0 $60.00 $0 Total $15,140.29 1 96 Total $5,760.00 Honebrinlc, 20-030 Page 15 a. Payments included $5,760.00 for the hours charged by Honebrink. b. Costs for overhead and fees were $9,380.29. 46. Honebrink performed consulting services on behalf of Michael Baker International for SEPTA within one year of retiring from SEPTA. a. Honebrink retired from SEPTA effective January 31, 2020. b. Honebrink began consulting for SEPTA on March 16, 2020, and continued through June 23, 2020. 1. Some of the services performed by Honebrink related to matters Honebrink worked on as a SEPTA employee. 47. Between March 5, 2020, and May 14, 2020, staff of the State Ethics Commission provided in -person and Webex training to SEPTA officials that included members of the Office of General Counsel. The training was related to the Pennsylvania Public Official and Employee Ethics Act, 65 Pa. C.S. § 1101 et seq. b. This included training on Section 1103(g), Restricted Activities, that 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). C. Based on these presentations, SEPTA legal staff concluded that Honebrinlc's representation may violate Section 1103 (g). 48. On or around June 26, 2020, at the direction of Benedetti, the Michael Baker International GEC Task Orders, GEC-CM-19A-13 and GEC-CM-19A-10, were canceled. a. The task orders were canceled following the presentations made by State Ethics Commission staff. 49. On December 15, 2020, a telephonic interview was conducted with Benedetti by a member of the investigative staff of the State Ethics Commission during which he provided the following information: a. Benedetti admitted making a mistake in the legal opinion/letter he provided to Honebrink authorizing him to work as a consultant for SEPTA through Michael Baker International within one year of retiring from SEPTA; b. Benedetti admitted the mistake was an incorrect interpretation of the State Ethics Act; C. Benedetti realized making a mistake in or around either March or May 2020, after meeting and consulting with at the time Investigative Counsel Jeff Frankenburger and Deputy Executive Director/Director of Investigations Brian Jacisin from the Honebrink, 20-030 Page 16 State Ethics Commission, when they were providing training to SEPTA officials; and d. Benedetti requested that he be the one held accountable by the State Ethics Commission and not Honebrink due to the legal advice he gave to Honebrink. 50. W-2 Wage and Tax Statements for Honebrink for 2020 from Michael Baker International and SEPTA reflected the following compensation: Name Amount Michael Baker International $100,707.72 SEPTA $58,451.46 a. The compensation Honebrink received from Michael Baker International in 2020 was for serving as a consultant to SEPTA and other entities. b. The compensation Honebrink received from Michael Baker International in 2020 related to consulting work he performed for SEPTA was $30,720.00. 51. On March 3, 2021, Honebrink was interviewed by a member of the investigative staff of the State Ethics Commission during which he provided the following information: a. Honebrink retired from SEPTA effective January 31, 2020; b. Honebrink served as a part-time pensioner with SEPTA for the month of February 2020; C. Honebrink planned on starting with Michael Baker International as a consultant on or around March 1, 2020; d. Honebrink confirmed receiving a letter dated February 7, 2020, from Benedetti, advising him he could serve as a consultant for SEPTA with Michael Baker International if it was part of a task order or email; e. After Honebrink started with Michael Baker International he was asked by Lund to come back and assist SEPTA; f. Honebrink confirmed he assisted SEPTA with Michael Baker International as part of an internal investigation being conducted by SEPTA that included being involved in elements of a disciplinary process for managers of SEPTA; g. Honebrink believed that he did not intentionally violate the State Ethics Act in appearing before SEPTA as an employee of Michael Baker International; h. Honebrink had worked for SEPTA for 38 years, and after retiring, he was asked to come back and help; Honebrink, 20-030 Page 17 i. Honebrink was aware of the provisions of Section 1103(g) but relied on the advice of Benedetti along with Lund when he performed the consulting work for SEPTA on behalf of Michael Baker International; and j . Honebrink did not believe he was benefitting personally from the work he performed for SEPTA with Michael Baker International because he was assisting other entities that included AMTRAK, 52. Honebrink, as a former public employee with SEPTA, appeared before SEPTA as an employee of Michael Baker International while being compensated on matters before SEPTA, his former governmental body, within one year after leaving SEPTA. a. Honebrinlc's services included meeting with SEPTA official s/employe es and submitting reports/documents. THE FOLLOWING FINDINGS RELATE TO HONEBRINK FILING A DEFICIENT STATEMENT OF FINANCIAL INTERESTS FOR CALENDAR YEAR 2017 WHEN HE FAILED TO DISCLOSE GIFTS, TRANSPORTATION, LODGING AND HOSPITALITY AND WHEN HE FAILED TO FILE A STATEMENT OF FINANCIAL INTERESTS FOR THE 2019 CALENDAR YEAR. 53. Honebrink, in his official capacity as the Senior Director of Administration and Finance for SEPTA, was annually required to file a Statement of Financial Interests ("SFI") form by May 1" containing information for the prior calendar year. 54. Honebrink was required to file SFIs for calendar years 2017 through 2019 while serving as the Senior Director of Administration and Finance for SEPTA. 55. Honebrink was provided with filing reminders and the forms by the Human Resources Office of SEPTA. 56. Honebrink filed SFIs with the SEPTA Hyman Resources Office for calendar years 2017 and 2018 with the following disclosures: a. Calendar Year: (2019) Wrong calendar year listed as it should have been 2018. Date Filed: 4/19/19 Public Position: Sr. Dir Admin. & Finance Governmental Entity: SEPTA Occupation or Profession: SEPTA Dir. Admin. & Finance Real estate Interests: None Creditors: None Direct or Indirect Sources of Income: SEPTA 1234 Market St. Phila., PA 19107 Gifts: None Transportation, Lodging, Hospitality: None Office Directorship or Employment in any Business: None Honebrink, 20-030 Page 18 Financial Interests in any Legal Entity in Business for Profit: Business Interests Transferred to Immediate Family Member: b. Calendar Year: 2017 Date Filed: 4/9/18 Public Position: Governmental Entity: Occupation or Profession: Real estate Interests: Creditors: Direct or Indirect Sources of Income: Gifts: Transportation, Lodging, Hospitality: Office Directorship or Employment in any Business: Financial Interests in any Legal Entity in Business for Profit: Business Interests Transferred to Immediate Family Member: None None No response SEPTA Sr. Dir. Admin. & Finance None None SEPTA 1234 Market St. Phila., PA 19107 No Response No Response None None None 57. On the SFI Honebrink filed for calendar year 2017, he failed to provide any answer to questions regarding receipt of gifts and transportation, lodging and hospitality. 58. Honebrink failed to file an SFI for calendar year 2019 by May 1, 2020. 59. After meeting with investigative staff of the State Ethics Commission on March 3, 2021, Honebrink filed amended SFIs for calendar years 2017 and 2018 and SFIs for calendar years 2019 and 2020 that reflected the following information: a. Calendar Year: Date Filed: Public Position: Governmental Entity: Occupation or Profession: Real estate Interests: Creditors: Direct or Indirect Sources of Income Gifts: Transportation, Lodging, Hospitality: 2017 3/5/21 Sr. Dir Admin. & Finance SEPTA SEPTA Dir. Admin. & Finance None None SEPTA 1234 Market St. Phila., PA 19107 None None Honebrinlc, 20-030 Page 19 Office Directorship or Employment in any Business: None Financial Interests in any Legal Entity in Business for Profit: None Business Interests Transferred to Immediate Family Member: None b. Calendar Year: 2018 Date Filed: 3/5/21 Public Position: Sr. Dir. Admin & Finance Governmental Entity: SEPTA Occupation or Profession: Sr. Dir. Admin. & Finance Real estate Interests: None Creditors: None Direct or Indirect Sources of Income: SEPTA 1234 Market St. Phila., PA 19107 Gifts: None Transportation, Lodging, Hospitality: None Office Directorship or Employment in any Business: None Financial Interests in any Legal Entity in Business for Profit: None Business Interests Transferred to Immediate Family Member: None C. Calendar Year: 2019 Date Filed: 3/5/21 Public Position: Sr. Dir. Admin & Finance Governmental Entity: SEPTA Occupation or Profession: Sr. Dir. Admin. & Finance Real estate Interests: None Creditors: None Direct or Indirect Sources of Income: SEPTA 1234 Market St. Phila., PA 19107 Gifts: None Transportation, Lodging, Hospitality: None Office Directorship or Employment in any Business: None Financial Interests in any Legal Entity in Business for Profit: None Business Interests Transferred to Immediate Family Member: None Honebrink, 20-030 Page 20 d. Calendar Year: Date Filed: Public Position: Governmental Entity: Occupation or Profession: Real estate Interests: Creditors: Direct or Indirect Sources of Income: Gifts: Transportation, Lodging, Hospitality: Office Directorship or Employment in any Business: 2020 3/11/21 Sr. Dir. Admin & Finance SEPTA Sr. Dir. Admin. & Finance None None SEPTA 1234 Market St. Phila., PA 19107 Michael Baker Intl. 1818 Market St., Suite 3110 Phila, PA 19103 None None None Financial Interests in any Legal Entity in Business for Profit: None Business Interests Transferred to Immediate Family Member: III. DISCUSSION: None As the Senior Director of Administration and Finance for the Southeastern Pennsylvania Transportation Authority ("SEPTA") from approximately 1994 until February 29, 2020, Respondent Mark Honebrink, also referred to herein as "Respondent," "Respondent Honebrink," and "Honebrink," was a public employee subject to the provisions of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa. C.S. § 1101 et seq. The allegations are that Honebrink violated Sections 1103(g), 1104(a), 1105(b)(6), and 1105(b)(7) of the Ethics Act when, following his retirement from. SEPTA, he represented himself and/or another entity before SEPTA within one year of leaving public service; when he failed to file a Statement of Financial Interests ("SFI") for the 2019 calendar year; and when he failed to disclose on his 2017 calendar year SFI gifts, transportation, lodging, and hospitality. Section 1103(g) of the Ethics Act prohibits a former public official/public employee from representing a person with promised or actual compensation on any matter before the governmental body with which he has been associated for a period of one year after he leaves that body: § 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 Honebrink, 20-030 Page 21 with which he has been associated for one year after he leaves that body. 65 Pa.C.S. § 1103(g). The terms "represent, "person," "governmental body," 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." Any department, authority, commission, committee, council, board, bureau, division, service, office, officer, administration, legislative body or other establishment in the executive, legislative or judicial branch of a state, a nation or a political subdivision thereof or any agency performing a governmental function. "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. Section 1 I04(a) of the Ethics Act provides that each public official/public employee must file an SFI for the preceding calendar year, each year that he holds the position and the year after he leaves it. Section 1105(b) of the Ethics Act and its subsections detail the financial disclosure that a person required to file the SFI form must provide. Subject to certain statutory exceptions, Section 1105(b)(6) of the Ethics Act requires the filer to disclose on the SFI the name and address of the source and the amount of any gift or gifts valued in the aggregate at $250 or more and the circumstances of each gift. Subject to certain statutory exceptions, Section 1105(b)(7) of the Ethics Act requires the filer to disclose on the SFI the name and address of the source and the amount of any payment for or reimbursement of actual expenses for transportation and lodging or hospitality received in Honebrink, 20-030 Page 22 connection with public office or employment where such actual expenses exceed $650 in an aggregate amount per year. As noted above, the parties have submitted a Consent Agreement and Stipulation of Findings. The parties' Stipulated Findings are set forth above as the Findings of this Commission. We shall now summarize the relevant facts as contained therein. SEPTA is a regional public transportation authority that operates bus, rapid transit, commuter rail, light rail, and electronic trolleybus services for nearly 4 million people in and around Philadelphia, Pennsylvania. Honebrink was employed with SEPTA from approximately December 1981 until February 29, 2020. Honebrink began serving as the Senior Director of Administration and Finance for SEPTA in approximately 1994. The position of Senior Director of Administration and Finance was organizationally located in SEPTA's Division of Engineering, Maintenance and Construction, and Honebrink directly reported to Robert Lund ("Lund"), SEPTA's Assistant General Manager for the Division of Engineering, Maintenance and Construction. Beginning in or around July 2019, the Inspector General of SEPTA began an internal investigation of managers of SEPTA's Division of Engineering, Maintenance and Construction in relation to procurement fraud and theft of property. Honebrink, as the Senior Director of Administration and Finance, assisted with the internal investigation with respect to the disciplinary process for the managers. Michael Baker International, Inc. ("Michael Baker International") is a leading provider of engineering and consulting services. Michael Baker International has nearly 100 offices in the United States and has regularly contracted with SEPTA to provide multiple services. On or around July 9, 2019, a consultant agreement for architectural/engineering services was entered into by SEPTA and Michael Baker International. On or around July 10, 2019, SEPTA Purchase Order S919454 (the "SEPTA Purchase Order") was issued for the provision of General Engineering Consultant (GEC) Construction Management and Inspection Services by Michael Baker International, with services to be performed on a task order basis over a three-year period at a total cost not to exceed $S million. In or around November 2019, Honebrink was considering retiring from SEPTA by the end of 2019. At the time, Honebrink was being considered for employment with Michael Baker International. On or around December 3, 2019, Honebrink received a letter from Lydia Grose, Vice -President of Michael Baker International, which offered him employment as a Project Control Specialist IV in Michael Baker International's office in Philadelphia, Pennsylvania, with a target start date of January 6, 2020. On or around December 3, 2019, Honebrink advised Lund that he would be retiring from SEPTA effective December 31, 2019, to begin employment with Michael Baker International. After Lund requested that Honebrink delay his retirement from SEPTA until January 2020 to assist with personnel matters concerning the SEPTA internal investigation, Honebrink delayed his retirement until January 31, 2020. Honebrink then worked for SEPTA as a part-time annuitant until February 29, 2020. Honebrinlc, 20-030 Page 23 After Honebrink advised SEPTA that he would be retiring from SEPTA to begin employment with Michael Balser International, Lund authorized SEPTA General Counsel Gino Benedetti ("Benedetti") to provide Honebrink with a written determination as to Honebrink's ability to provide services to SEPTA as an employee of Michael Balser International. Honebrink subsequently received a letter from Benedetti dated February 7, 2020, in which Benedetti stated that SEPTA's ethics policy and the Ethics Act would prohibit Honebrink from providing services to SEPTA for Michael Baker International for a one-year period from February 29, 2020. Benedetti erroneously advised Honebrink that he "may provide services to SEPTA as an MBI consultant before March 1, 2021, only if expressly requested by SEPTA in the form of a task order or e-mail." Neither SEPTA nor Honebrink sought an opinion from the Pennsylvania State Ethics Commission with regard to Honebrink being utilized as a consultant for SEPTA through Michael Baker International. Lund, who was copied on Benedetti's letter, approved utilizing Honebrink as a consultant for SEPTA through Michael Baker International with regard to personnel matters related to the ongoing SEPTA internal investigation. On February 28, 2020, Matthew Dooner ("Dooner"), SEPTA Senior Procurement Officer for Procurement, Supply Chain and DBE, submitted a letter to Eric Frary ("Frary"), Vice -President of Michael Baker International, which granted Michael Baker International limited work authorization under the SEPTA Purchase Order and SEPTA Task Order GEC-CM-19A-10, Administration and Finance Support ("Task Order GEC-CM-19A-10") in relation to SEPTA's utilization of Honebrink's consulting services. On March 2, 2020, Edward LaGuardia ("LaGuardia"), Project Manager for Michael Baker International, submitted a proposal to Dooner under Task Order GEC-CM-19A-10 for the retention of Honebrink's services on an as - needed basis. The proposal provided that Honebrink would furnish senior management level support to SEPTA in relation to various key initiatives and that his work would mainly take place at SEPTA's headquarters under the direction of Lund or his designee. The proposal further provided that Honebrink would work an estimated total of 416 hours at a cost not to exceed $65,608.00. On or around March 11, 2020, Dooner advised Frary that SEPTA authorized Michael Baker International to proceed under Task Order GEC-CM-19A-10. Between March 16, 2020, and June 2, 2020, Honebrink performed a total of 416 hours of consulting work for SEPTA under Task Order GEC-CM-19A-10. Michael Baker International billed SEPTA a total of $62,367.60 for the consulting work that Honebrink performed under Task Order GEC-CM-19A-10. Based upon Honebrink's pay rate of $60.00 per hour as a Project Control Specialist IV for Michael Baker International, Honebrink was paid a total of $24,960.00 for his consulting work under Task Order GEC CM- I9A-10. In or around April 2020, SEPTA and unions representing SEPTA employees began negotiations over safety protections for drivers and other employees working during the COVID- 19 pandemic. Lund decided to utilize Michael Baker International to assist with SEPTA's response to the COVID-19 pandemic. On or about May 22, 2020, Lund created and approved SEPTA Task Order GEC-CM-19A-13, Temporary Support in Response to COVID-19 ("Task Order GEC-CM-19A- 13 "), for Michael Baker International's services for an estimated total of 416 hours at an estimated cost of $62,699.52. On May 26, 2020, SEPTA Procurement Officer Joel Rosario ("Rosario") forwarded a letter to Frary which requested that Michael Baker International submit to SEPTA a technical and cost proposal for work related to SEPTA's response to the COVID-19 pandemic. LaGuardia subsequently submitted a proposal to SEPTA for the retention of Honebrink's services on an as -needed basis. The proposal provided that Honebrink would Honebrink, 20-030 Page 24 furnish senior management level support to SEPTA in relation to various key initiatives pertaining to SEPTA's response to the COVID-19 pandemic and that his work would mainly take place at SEPTA's headquarters under the direction of Lund or his designee. The proposal further provided that Honebrink would work an estimated total of 416 hours. On or around June 5, 2020, Rosario advised Frary that SEPTA authorized Michael Baker International to proceed with Task Order GEC-CM-19A-13. Timecard entry reports for Honebrink reflect that he performed a total of 96 hours of consulting work for SEPTA under Task Order GEC -CM- I 9A- 13 between June 8, 2020, and June 23, 2020. Michael Baker International billed SEPTA a total of $15,140.31 for the consulting work that Honebrink performed under Task Order GEC-CM-19A-13. Based upon Honebrink's pay rate of $60.00 per hour as a Project Control Specialist IV for Michael Baker International, Honebrink was paid a total of $5,760.00 for his consulting work under Task Order GEC-CM-19A-13. Between March 5, 2020, and May 14, 2020, staff of the State Ethics Commission made presentations to SEPTA officials, including members of SEPTA's Office of General Counsel. The presentations included information on the post -employment restrictions of Section I I03(g) of the Ethics Act. Based on these presentations, SEPTA legal staff concluded that Honebrink's provision of consulting services to SEPTA might be a violation of Section 1103(g) of the Ethics Act. On or around June 26, 2020, at the direction of Benedetti, Task Order GEC-CM-19A-10 and Task Order GEC-CM-19A-13 were canceled. In an interview with a member of the investigative staff of the State Ethics Commission, Benedetti admitted that he incorrectly interpreted the Ethics Act when he advised Honebrink that he could work as a consultant for SEPTA through Michael Baker International within one year of retiring from SEPTA. Honebrink, as the Senior Director of Administration and Finance for SEPTA, was required to file an SFI by May 1 annually containing information for the prior calendar year. Honebrink failed to provide any answers to questions regarding receipt of gifts and transportation, lodging and hospitality on his SFI for calendar year 2017, and he failed to file an SFI for calendar year 2019 by May 1, 2020. After meeting with investigative staff of the State Ethics Commission on March 3, 2021, Honebrink filed amended SFIs for calendar years 2017 and 2018 as well as SFIs for calendar years 2019 and 2020. Per the Consent Agreement, the parties are in agreement that Honebrink is not required to file any additional SFIs. Having highlighted the Stipulated Findings and issues before us, we shall now apply the Ethics Act to determine the proper disposition of this case. The parties' Consent Agreement sets forth a proposed resolution of the allegations as follows: 3. The Investigative Division will recommend the following in relation to the above allegations: a. That a technical violation of Section 1103(g) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1103(g), occurred in relation to Honebrink's representation of Michael Baker International for compensation before SEPTA within one year of his departure from SEPTA. Honebrink, 20-030 Page 25 b. That a violation of Sections 1104(a) and 1105(b)(6) and (7) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §§ 1104(a) and 1105(b)(6) and (7), occurred when Honebrink failed to file a Statement of Financial Interests for the 2019 calendar year; and when he failed to disclose gifts, transportation, lodging, and hospitality on his 2017 calendar year Statement of Financial Interests. 4. Honebrink agrees to make payment in the amount of $250,00 in settlement of this matter payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission, within thirty (30) days of the issuance of the final adjudication in this matter. This $250.00 represents a civil penalty for Honebrink's Statement of Financial Interests violations in paragraph 3(b) of this agreement. a. There is no restitution or penalty associated with the 1103(g) technical violation because Honebrink received a letter from SEPTA General Counsel advising him that he could serve as a consultant for SEPTA with Michael Baker International. 5. Honebrink filed amended Statements of Financial Interests for calendar years 2017 and 2018 on March 5, 2021. Honebrink filed Statements of Financial Interests for calendar years 2019 and 2020 on the same day. As such, no further Statements of Financial Interests are required to be filed. 6. Honebrink agrees to not accept any reimbursement, compensation or other payment from the Southeastern Pennsylvania Transportation Authority (SEPTA) representing a full or partial reimbursement of the amount paid in settlement of this matter. 7. The Investigative Division will recommend that the State Ethics Commission take no further action in this matter; and make no specific recommendations to any law enforcement or other authority to take action in this matter. Such, however, does not prohibit the Commission from initiating appropriate enforcement actions in the event of Respondent's failure to comply with this agreement or the Commission's order or cooperating with any other authority who may so choose to review this matter further. Consent Agreement, at 1 -2. We accept the recommendation of the parties for a finding that a technical violation of Section 1103(g) of the Ethics Act occurred in relation to Honebrink's representation of Michael Baker International for compensation before SEPTA within one year of his departure from SEPTA. Honebrink, 20-030 Page 26 Section 1103(g) of the Ethics Act prohibits a former public official/public employee from representing a person with promised or actual compensation before the governmental body with which he has been associated for a period of one year after he leaves that body. The term "person" is defined to include, inter alia, corporations and other businesses. When Honebrink terminated employment with SEPTA on February 29, 2020, he became a former public employee subject to the restrictions of Section 1103(g) of the Ethics Act. Pursuant to Section 1103(g) of the Ethics Act, during the first year following termination of Honebrink's employment with SEPTA, Honebrink was prohibited from representing a "person" —including but not limited to his new employer, Michael Baker International —before SEPTA with promised or actual compensation. After Honebrink terminated employment with SEPTA and began employment with Michael Baker International as a Project Control Specialist IV, SEPTA authorized Michael Baker International to proceed under two SEPTA Task Orders that retained Honebrink's consulting services on an as -needed basis. Between March 16, 2020, and June 23, 2020, Honebrink performed a total of 416 hours of consulting work for SEPTA under Task Order GEC-CM-19A- 10 in relation to various SEPTA key initiatives. Honebrink additionally performed a total of 96 hours of consulting work for SEPTA under Task Order GEC-CM-19A-13 in relation to SEPTA's response to the COVID-19 pandemic. Honebrink's consulting work was performed during the one-year period following termination of his employment with SEPTA on February 29, 2020. Honebrink was paid a grand total of $30,720.00 for his consulting work under Task Order GEC-CM-19A-10 and Task Order GEC-CM-19A-13. Honebrink performed his consulting work for SEPTA under the Task Orders after he received a letter from SEPTA's General Counsel which erroneously informed him that he would be permitted to provide services to SEPTA for Michael Baker International before March 1, 2021, if SEPTA expressly requested his services through a Task Order or an email. Based upon the Stipulated Findings and the Consent Agreement, we hold that Honebrink technically violated Section 1103(g) of the Ethics Act, 65 Pa.C.S. § 1103(g), in relation to his representation of Michael Baker International for compensation before SEPTA within one year of his departure from SEPTA. We agree with the parties, and we hold, that a violation of Sections 1104(a) and I I05(b)(6) and (7) of the Ethics Act, 65 Pa.C.S. §§ I I04(a) and 1 I05(b)(6) and (7), occurred when Honebrink failed to file an SF1 for calendar year 2019, and when he failed to disclose gifts, transportation, lodging, and hospitality on his SFI for calendar year 2017. As part of the Consent Agreement, the parties have agreed that no restitution or payment of a penalty will be ordered in association with the Section 1103(g) technical violation because Honebrink received a letter from SEPTA's General Counsel advising him that he could serve as a consultant for SEPTA with Michael Baker International. As part of the Consent Agreement, Honebrink has agreed to make payment in the amount of $250.00 payable to the Commonwealth of Pennsylvania, representing a civil penalty Honebrink, 20-030 Page 27 for his SFI violation(s), with such payment to be forwarded to this Commission within thirty (30) days of the issuance of the final adjudication in this matter. Honebrink agrees to not accept any reimbursement, compensation or other payment from SEPTA representing a full or partial reimbursement of the amount paid in settlement of this matter. We determine that the Consent Agreement submitted by the parties sets forth a proper disposition for this case, based upon our review as reflected in the above analysis and the totality of the facts and circumstances. Accordingly, per the Consent Agreement of the parties, Honebrink is directed to make payment in the amount of $250.00 payable to the Commonwealth of Pennsylvania and forwarded to this Commission by no later than the thirtieth (30"') day after the mailing date of this adjudication and Order. No restitution or payment of a penalty will be ordered in association with the Section 1103(g) technical violation because Honebrink received a letter from SEPTA's General Counsel advising him that he could serve as a consultant for SEPTA with Michael Baker International. Per the Consent Agreement of the parties, Honebrink is directed to not accept any reimbursement, compensation or other payment from SEPTA representing a full or partial reimbursement of the amount paid in settlement of this matter. Compliance with the foregoing will result in the closing of this case with no further action by this Commission. Noncompliance will result in the institution of an order enforcement action. IV. CONCLUSIONS OF LAW: As the Senior Director of Administration and Finance for the Southeastern Pennsylvania Transportation Authority ("SEPTA") from approximately 1994 until February 29, 2020, Respondent Mark Honebrink ("Honebrink") was a public employee subject to the provisions of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et se . 2. Honebrink technically violated Section I I03(g) of the Ethics Act, 65 Pa.C.S. § 1103(g), in relation to his representation of Michael Baker International, Inc. for compensation before SEPTA within one year of his departure from SEPTA. 3. A violation of Sections 1104(a) and 1105(b)(6) and (7) of the Ethics Act, 65 Pa.C.S. §§ 1104(a) and 1105(b)(6) and (7), occurred when Honebrink failed to file a Statement of Financial Interests for calendar year 2019, and when he failed to disclose gifts, transportation, lodging, and hospitality on his Statement of Financial Interests for calendar year 2017. In Re: Mark Honebrink, File Docket: 20-030 Respondent Date Decided: 9/14/21 Date Mailed: 9/16/21 ORDER NO. 1795 Mark Honebrink, a public employee in his capacity as the Senior Director of Administration and Finance for the Southeastern Pennsylvania Transportation Authority ("SEPTA") from approximately 1994 until February 29, 2020, technically violated Section 1103(g) of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1103(g), in relation to his representation of Michael Baker International, Inc. for compensation before SEPTA within one year of his departure from SEPTA. 2. A violation of Sections 1104(a) and 1105(b)(6) and (7) of the Ethics Act, 65 Pa.C.S. §§ I I04(a) and 1105(b)(6) and (7), occurred when Honebrink failed to file a Statement of Financial Interests for calendar year 2019, and when he failed to disclose gifts, transportation, lodging, and hospitality on his Statement of Financial Interests for calendar year 2017. Per the Consent Agreement of the parties, Honebrink is directed to make payment in the amount of $250.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30") day after the mailing date of this Order. a. No restitution or payment of a penalty will be ordered in association with the Section 1103(g) technical violation because Honebrink received a letter from SEPTA's General Counsel advising him that he could serve as a consultant for SEPTA with Michael Baker International, Inc. 4. Per the Consent Agreement of the parties, Honebrink is directed to not accept any reimbursement, compensation or other payment from SEPTA representing a full or partial reimbursement of the amount paid in settlement of this matter. Compliance with paragraphs 3 and 4 of this Order will result in the closing of this case with no further action by this Commission. a. Non-compliance will result in the institution of an order enforcement action. BY THE COMMISSION, A�� La±&zd,& Nicholas A. Colafella, Chai