3.)

If a DOT employee contacts a consultant because of an ad the consultant ran, then does the consultant have to go to the DOT employees immediate supervisor or all the way to the Branch Manager for permission to talk to the employee? Is this permission acceptable verbally or does it have to be written?

This request will go to the Branch Manager (or equivalent). The Branch Manager will respond in writing to the consultant, desirably within five working days, after receipt of the request. The Branch Manager will send a copy to the appropriate Unit Head.

4.)

Can a consultant ask an existing DOT employee for the names of DOT employees who have retired and that may be qualified to fill an open position with said consultant?

Yes.

5.)

If a consultant is found to be in violation of the terms of the contract, and it is determined they will not be selected for future work for one year, when does the one year start and who determines the one year?

The one-year will start from the letter confirming a violation. It is anticipated that violations will be determined by the Branch Manager and other involved parties on a case by case basis. This is further discussed in question 16.

6.)

Are the rules, policies and interpretations of the agreement terms the same for all divisions, branches and units within DOT? How about other State agencies, like DENR?

The rules and policies are the same and are to be applied throughout the Department of Transportation. Interpretations and exceptions may vary based on specific conditions and issues. These rules do not apply to other State agencies.

7.)

Can a consultant have employment conversations with a retired DOT employee who has continued to work on a part-time, limited basis for the Department?

Yes, providing the provisions for obtaining DOT permission to interview are followed.

8.)

Who will monitor these policies and rules?

DOT will monitor the adherence to these policies, rules and contract provisions through the appropriate Branch Manager in the day to day administration of consultant contracts and/or in response to specific complaints.

9.)

If a consultant hires a DOT employee that was involved while at DOT with the selection process for a specific project that the consultant is now working on, and DOT later specifically requests his services for that project (perhaps because of past knowledge of the project), what is the approval process in this case?

This would constitute a need for an exception that would require the Secretary’s recommendation and approval by the Board of Transportation. The appropriate Branch Manager would request to have an exception granted by the Board of Transportation.

10.)

What if a consultant’s staff member (field crew, inspector, or technician) who is not in position to do hiring, but is simply carrying on a conversation with a DOT employee happens to mention the possibility of employment with his company, is this considered a violation?

This will be considered a violation. Each consultant, as well as DOT, will make certain their employees, no matter what the level, are advised of the policy.

11.)

What about the situation where a multistate consulting firm with a North Carolina office, is recruiting for positions in another state, can they initiate "hiring" conversations with current DOT employees?

They can only initiate hiring conversations after they have obtained approval from the employee’s Branch Manager.

12.)

What about the situation where a consulting firm operates with multiple business units (i.e. transportation, environmental or architecture and/or branch offices) and one business unit has employment discussions with a DOT employee without the supervisors written permission, would this violation impact all business units or just the offending unit?

It would impact the firm as a whole. DOT is contracting with the firm, not the specific unit.

13.)

Can casual conversations be held with DOT employees eligible for retirement to determine their future plans without the discussion of any position or offer?

No. The same rules apply and the consultant must have written permission to have those discussions. If the DOT employee has already retired, then he/she is free to have discussions with consultants and vice versa without being considered a violation.

14.)

If a DOT employee decides that they would like to pursue opportunities in the private sector, can they use a blanket letter of permission ("To Whom It May Concern") to comply with the requirements of this policy?

No. A blanket letter of permission will not be issued.

If the DOT employee is interested in working for a firm that has a DOT contract, or is on the prequalified list, a letter of permission will be required. This does not apply to consultants or other business entities who aren’t interested in DOT work and/or not on the prequalified list of firms.

15.)

What documentation should consulting firms maintain to show that the required procedures are being followed in discussing employment opportunities with DOT employees?

Each consultant should keep copies of all permission letters in their files as documentation that proper procedures were followed.

16.)

In terms of enforcement, once an alleged violation is determined, will there be some sort of hearing/review process where the involved parties are allowed to state their case? Is there an appeals process?

Yes. Written notification of an alleged violation will be provided. Then a meeting to discuss the alleged violation with the firm will be held. Once a decision is made based on all information available, a letter will be issued to the consultant stating DOT’s decision. The appeals process is outlined in the "DISPUTES" section of the Agreement.

17.)

Can a consulting firm have a "head hunter" employment agency get names of DOT employees who are potentially interested in working for consultants and give those employees the name of the firm that is recruiting people?

No. The "head hunter", as an agent of the consulting firm, by such action would be making first contact with DOT employees which is contrary to the contract provisions. The firm, on the other hand, is at liberty to place an advertisement for a vacant position in the newspaper and conduct such other "passive" recruiting, such that the DOT employee makes the initial contact with the consulting firm.

18.)

A consultant has hired a "head hunter" to help fill a position. The position requires DOT experience. Unknown to the consultant, the head hunter contacts several individuals in DOT both to conduct research on possible names and solicit interest from those individuals. Does this constitute a violation?

Yes. It is the consulting firm’s responsibility to advise head-hunters of the DOT Ethics Policy and hiring restrictions so that they can conduct their actions accordingly.

19.)

If a DOT design employee resigns without having contacted consulting firms about employment, and then begins contacts which lead to employment by a firm, are the employee and firm bound by the DOT Ethics Policy regarding restricted projects?

Yes. If the former DOT employee was involved in drafting the contract, defining the scope of work, selection of the firm, negotiation of the fee (including preparation of manday estimates) or administration of a contracted project awarded to the firm, the employee is restricted from working on that contracted project irrespective of the passage of time. If the former DOT employee was not involved in the consultant process there would be no restrictions

20.)

If a DOT employee resigns and begins employment with a consulting firm in another state, are the employee and firm bound by the NCDOT Ethics Policy regarding restricted DOT projects.

Yes. The restriction applies to the firm and not just to the firm’s North Carolina Office.

21.

Can a DOT employee have a "head hunter" employment agency get names of consultant firms who are potentially interested in hiring DOT employees with certain qualifications?

Yes. The interested firms must follow proper procedures in obtaining written permission from the DOT Employee’s Branch Manager prior to discussing employment opportunities.

22.)

If a DOT employee works on TIP Project R-2554 in solely a technical sense, and was not involved in any manner with consultant activities before it was given to a consultant for design, is the DOT employee restricted in any way for working on this project if they are employed by the consultant.

No. The former DOT employee would not be restricted in any way.

23.)

Doesn’t the restrictions on discussion of job employment hinder a DOT employee from seeking information concerning employment opportunity with private engineering firms?

No. The procedures do not hinder a DOT employee from seeking information from the private engineering firm. Permission to discuss job employment opportunities will be granted by the Branch Manager unless there are unusual circumstances. Also, these procedures have been in place within some Branches at DOT for many years.

24.)

Consider the situation where a TIP project (R-235) is broken into two parts (R-235A and R-235B) for right of way plan preparation. A DOT employee is involved in selecting a consulting firm for right of way project R-235A and later goes to work for that firm. If the firm subsequently is selected for preparation of final plans on R-235B, can the former DOT employee work on contracted project R-235B?

Yes. While the former DOT employee cannot work on contracted project R-235A, he or she had no direct involvement at DOT in drafting the contract, defining the scope of work, selection of the firm, negotiation of the fee (including preparation of manday estimates) or administration of the contract with the firm for final plan project R-235B. The R-235B is a separate contract from contracted project R-235A.

25.)

Consider the situation where a DOT employee is involved in selecting a consulting firm to prepare an environmental document on TIP project U-532. The DOT employee then goes to work with that firm. U-532 is later broken into U-532A and U-532B for preparation of right of way plans. If the firm is subsequently selected for preparation of right of way plans on U-532A, can the former DOT employee work on that contracted project?

Yes. While the former DOT employee cannot work on contracted project U-532 for the environmental document, he or she had no direct involvement at DOT in selecting the firm for right of way plan project U-532A, which is a separate contract from contracted project U-532.

26.)

The contract provision "Approval of Personnel" in part states, "…In the event of engagement, the Engineers or their subcontractors shall restrict such person or persons from working on any of the Engineers’ contracted projects in which the person or persons were formerly involved while employed by the State…" What is meant by "contracted projects"?

"Contracted projects" is interpreted to mean an entire TIP project or any part of an entire TIP project that is defined by the project limits (TIP breakdown number) and scope of work in a specific contract between DOT and a consulting firm. The restriction does not apply to any other part of the TIP project that is not defined by that specific contract.

27.)

If a DOT employee is involved in the selection of a consultant for a limited services agreement and then employed by that consultant, is that employee restricted from involvement with any project which the firm may be asked to do, for the duration of that contract?

Yes, for the duration of that individual contract.

28.)

If a consultant’s former DOT employee is not involved in the selection of a consultant, but was involved in the scoping and/or review of a particular phase of work (or a particular project) covered by a limited services agreement, is the employee restricted from further work on that contract?

No. If the employee is not involved with the selection of the consultant, the employee is only restricted from work activities related to the particular scope/review in which he or she was involved, and any extensions of that scope or review.

29.)

What should be done, as far as requesting permission goes, if a DOT employee of one Branch applies for work with a consultant who has a contract with another DOT Branch, or applies with a firm that has separate contracts with both Branches?

The letter requesting permission to interview should go to the DOT employee’s Branch manager.

30.)

A consultant submits a letter to the Branch Manager stating they plan to interview a DOT employee but they aren’t specifically requesting permission because they don’t have a current contract. Is this a correct procedure?

If the firm is prequalified on the NCDOT list of qualified firms, the firm should request permission even if they don’t have a current contract. Acknowledgement of DOT’s Ethics Policy and hiring restrictions is part of DOT’s current prequalification package.

31.)

A technician of the NCDOT Construction Unit is working on the stakeout of TIP Project R-2000EA. Can the Contractor who was awarded that project hire the technician to work on this project?

No. There are provisions in the contract between NCDOT and the Contractor that disallow this practice. This, as well as other restrictions, may exist in contracts utilized by different NCDOT Branches and Units. Each Branch should make all employees and contracting business entities aware of all rules, policies and provisions that exist above and beyond these mentioned in these situational questions and answers.