James T. Pursell, Chainnan Henry B. Gray III, Vice-Chainnan Camille S. Butms Helen Shores Lee. Esq. H. Dean Buttram, Jr.. Esq. John S. Wiggins 3195 Ceasarville Road Wetumpka, Alabama 36092 STATE OF ALABAMA ETHICS COMMISSION MAILING ADDRESS P.O. BOX 4840 MONTGOMERY, AL 36103-4840 STREET ADDRESS RSA UNION 100 NORTHUNIONSTREET SUITE 104 MONTGOMERY, AL 36104 James L. Sumner, Jr. Director July 2, 1997 TELEPHONE (334) 242-2997 FAX (334) 242-0248 ADVISORY OPINION NO. 97-58 Revolving Door/Former Employee With The Department Of Transportation Providing Design Work For Engineering Firm Contracting With The Department Of Transportation. A former Drafting Section Supervisor with the Alabama Department of Transportation may accept part-time employment providing drafting work with an engineering firm that contracts with the Department of Transportation as he did not personally participate in the direct regulation, audit, inspection, or investigation of the engineering firm while employed with the Department of Transportation, nor was he involved in the negotiation, solicitation, or approval of contracts between the Department of Transportation and the engineering firm for which he intends to go to work. A former Drafting Section Supervisor with the Alabama Department of Transportation may not for a period of two years after leaving the Department of Transportation represent the engineering firm for which he works on a part-time basis before the Department of Transportation.
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James T. Pursell, ChainnanHenry B. Gray III, Vice-ChainnanCamille S. Butms
Helen Shores Lee. Esq.H. Dean Buttram, Jr.. Esq.
John S. Wiggins3195 Ceasarville RoadWetumpka, Alabama 36092
STATE OF ALABAMA
ETHICS COMMISSIONMAILING ADDRESS
P.O. BOX 4840MONTGOMERY,AL
36103-4840
STREET ADDRESS
RSA UNION100 NORTHUNIONSTREET
SUITE 104MONTGOMERY,AL 36104 James L. Sumner, Jr.
Director
July 2, 1997TELEPHONE (334) 242-2997
FAX (334) 242-0248
ADVISORY OPINION NO. 97-58
Revolving Door/Former Employee With TheDepartment Of Transportation ProvidingDesign Work For Engineering FirmContracting With The Department OfTransportation.
A former Drafting Section Supervisor withthe Alabama Department of Transportationmay accept part-time employment providingdrafting work with an engineering firm thatcontracts with the Department ofTransportation as he did not personallyparticipate in the direct regulation, audit,inspection, or investigation of theengineering firm while employed with theDepartment of Transportation, nor was heinvolved in the negotiation, solicitation, orapproval of contracts between theDepartment of Transportation and theengineering firm for which he intends to goto work.
A former Drafting Section Supervisor withthe Alabama Department of Transportationmay not for a period of two years afterleaving the Department of Transportationrepresent the engineering firm for which heworks on a part-time basis before theDepartment of Transportation.
John S. WigginsAdvisory Opinion No. 97-58Page two
Dear Mr. Wiggins:
The Alabama Ethics Commission is in receipt of your request for an Advisory Opinion ofthis Commission, and this opinion is issued pursuant to that request.
QUESTION PRESENTED
Maya former Drafting Section Supervisor/Civil Engineer upon retirement from theDepartment of Transportation go to work part-time for an engineering firm that contracts to dodesign work for the Department of Transportation?
FACTS AND ANALYSIS
John S. Wiggins is a Drafting Section Supervisor and Civil Engineer IV with theDepartment of Transportation. His job responsibilities include checking plans, assigning work toindividuals in his section, and filling out evaluation forms on employees.
It is his intent to retire from the Department of Transportation within the next fewmonths, and he has had an offer to work part-time with an engineering firm that has contracts todo design work for the Department of Transportation. This job would include working in theirDrafting Room for two or three days a week doing design work.
In or while working for the Department of Transportation, Mr. Wiggins was not involvedin the solicitation or negotiation of any contracts between the Department of Transportation andthis engineering firm, nor did he personally participate in the direct regulation, audit, inspection,or investigation of this engineering firm.
He further states that by working part-time with the engineering firm he would not haveany reason to be in a position to bargain or be involved in any contractual process.
The Alabama Ethics Law, Code of Alabama, 1975, Section 36-25-13(b) states:
"(b) No public employee shall serve for a fee as a lobbyist or otherwise representclients, including his or her employer before the board, agency, commission, ordepartment, of which he or she is a former employee for a period of two yearsafter he or she leaves such employment. For the purposes of this subsection, suchprohibition shall not include a former employee of the Alabama judiciary who asan attorney represents a client in a legal, non-lobbying capacity."
John S. WigginsAdvisory Opinion No. 97-58Page three
Section 36-25-13(c) states:
"(c) No public official, director, assistant director, department or division chief,purchasing or procurement agent having the authority to make purchases, or anyperson who participates in the negotiation or approval of contracts, grants, orawards or any person who negotiates or approves contracts, grants, or awards shallenter into, solicit, or negotiate a contract, grant, or award with the governmentalagency of which the person was a member or employee for a period of two yearsafter he or she leaves the membership or employment of such governmentalagency."
Section 36-25-13(d) states:
"(d) No public official or public employee who personally participates in thedirect regulation, audit, or investigation of a private business, corporation,partnership, or individual shall within two years of his or her departure from suchemployment solicit or accept employment with such private business,corporation, partnership, or individual."
Based on the facts as provided and the above law, a former Drafting SectionSupervisor/Civil Engineer IV with the Alabama Department of Transportation may accept part-time employment with an engineering firm under contract with the Department ofTransportation, as he did not personally participate in the direct regulation, audit, inspection, orinvestigation of the engineering firm while employed with the Department of Transportation, andfurther, that he was not involved in any contractual negotiations or agreements between theengineering firm and the Department of Transportation.
Should the former Drafting Section Supervisor/Civil Engineer IV with the Department ofTransportation accept the part-time employment with the engineering firm, he may not representthe engineering firm before the Department of Transportation for a period of two years afterleaving the Department of Transportation.
CONCLUSION
A former Drafting Section Supervisor with the Alabama Department of Transportationmay accept part-time employment providing drafting work with an engineering firm thatcontracts with the Department of Transportation as he did not personally participate in the directregulation, audit, inspection, or investigation of the engineering firm while employed with theDepartment of Transportation, nor was he involved in the negotiation, solicitation, or approval of
John S. WigginsAdvisory Opinion No. 97-58Page four
contracts between the Department of Transportation and the engineering firm for which heintends to go to work.
A former Drafting Section Supervisor with the Alabama Department of Transportationmay not for a period of two years after leaving the Department of Transportation represent theengineering firm for which he works on a part-time basis before the Department ofTransportation.
AUTHORITY
By 5 - 0 vote of the Alabama Ethics Commission on July 2, 1997.
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