Advisory Opinion No. 2017-13 Rhode Island Ethics Commission Advisory Opinion No. 2017-13 Approved: April 4, 2017 Re: Wade A. Palazini QUESTION PRESENTED: The Petitioner, a former Chief Plan Review Officer with the Rhode Island Division of State Fire Marshal, Department of Public Safety, a state employee position, requests an advisory opinion regarding the application of the revolving door provisions of the Code of Ethics in light of his new private employment with a private fire protection engineering and consulting firm. RESPONSE: It is the opinion of the Rhode Island Ethics Commission that the Petitioner, a former Chief Plan Review Officer with the Rhode Island Division of State Fire Marshal, Department of Public Safety, a state employee position, is prohibited by the Code of Ethics from representing himself or others, including his new private employer, or acting as an expert witness, before the Rhode Island Division of State Fire Marshal for a period of one year following the date of severance from his state employment. The Petitioner represents that he was employed by the Rhode Island Division of State Fire Marshal, Department of Public Safety (“State Fire Marshal”) as the Chief Plan Review Officer until March 31, 2017. The Petitioner explains that the State Fire Marshal is responsible for enforcing the fire code on all state-owned buildings and buildings holding state licenses such as daycares, nursing homes, and hospitals. The Petitioner represents that the State Fire Marshal is also required to enforce the fire code in communities without individuals trained as Assistant Deputy State Fire Marshals. The Petitioner states that as the Chief Plan Review Officer, he reviewed construction documents to ensure compliance with fire code requirements and supervised three other plan reviewers. The Petitioner states that upon leaving state service, he began private employment as a Senior Code Consultant with Jensen Hughes, a private engineering and consulting firm specializing in fire protection, life safety, security, risk, forensic, research and testing services. The Petitioner states that as a Senior Code Consultant, he reviews construction documents and consults with architects on compliance with fire code requirements. The Petitioner represents that he is aware that the Code of Ethics and its “revolving door” provisions prohibit him from representing himself or others, or acting as an expert witness before the State Fire Marshal. The Petitioner explains that he has discussed these prohibitions with his new employer. However, out of an abundance of caution, he is asking the Ethics Commission for guidance on the application of the “revolving door” provisions of the Code of Ethics. The Code of Ethics prohibits a public official or employee from representing himself, representing other persons or organizations, or acting as an expert witness before a state or municipal agency of which he is a member or by which he is employed. R.I. Gen. Laws § 36-14-5(e)(“section 5(e)”). A person represents himself or another person before an agency when he participates in the presentation of evidence or arguments before that agency for the purpose of influencing the judgment of that agency. Section 36-14-2(12) & (13); Commission Regulation 36-14-5016(a) & (b). This prohibition applies not only during the period of employment, but is extended for a period of one year thereafter. Section 36-14-5(e)(4). Section 5(e)’s prohibitions are designed to minimize any undue influence that a former employee may have over his former agency and colleagues by reason of his past employment there. However, interactions with a former agency that are ministerial in nature and do not involve agency decision-making are not prohibited. See, e.g., A.O. 2013-28 (opining that a former Principal Policy Associate for the Rhode Island Office of the Health Insurance Commissioner (“OHIC”) could accept private employment with Neighborhood Health Plan of Rhode Island during the year following his severance from state employment, provided that he did not represent his private employer before OHIC during that year and any contacts that he had with OHIC were purely ministerial in nature, such as hand delivering documents, reviewing public records, and requesting public information). In addition to section 5(e)’s post-employment restrictions, section 36-14-5(b), (c) and (d) of the Code of Ethics prohibits the use and/or disclosure of confidential information acquired by an official or employee during the course of or by reason of his official employment, particularly for the purpose of obtaining financial gain. The Commission has issued numerous advisory opinions interpreting section 36-14-5(e)(4)’s requirements with respect to former state employees interacting with their former agencies during the one year period following state employment. For example, in Advisory Opinion 2006-42, the Ethics Commission opined that a former Rhode Island State Fire Marshal may provide consulting services to private companies, national services, and schools, provided that he did not represent his employers’ or his business associates’ interests before his former agency for a period of one year following his official severance of employment, and that he did not disclose confidential information obtained during the course of his state employment. See also A.O. 2012-12 (former senior environmental scientist at DEM is not prohibited by the Code of Ethics from working for the Rhode Island Natural Resources Conservation Service upon his retirement, provided that he does not have any personal involvement with a matter before his former agency for a period of one year following his official date of severance, and he does not disclose confidential information he may have obtained during the course of his state employment). Considering the Petitioner’s above representations and consistent with our past advisory opinions in this area, it is the opinion of the Ethics Commission that the Petitioner is prohibited by the Code of Ethics from representing himself or others, including his new private employer, or acting as an expert witness, before the State Fire Marshal or its representatives for a period of one year following his state employment. Finally, the Petitioner may not use any confidential information he obtained while working for the State Fire Marshal for financial gain. Section 5(b), (c) & (d). This Advisory Opinion is strictly limited to the facts stated herein and relates only to the application of the Rhode Island Code of Ethics. Under the Code of Ethics, advisory opinions are based on the representations made by, or on behalf of, a public official or employee and are not adversarial or investigative proceedings. Finally, this Commission offers no opinion on the effect that any other statute, regulation, ordinance, constitutional provision, charter provision, or canon of professional ethics may have on this situation. Code Citations: § 36-14-2 § 36-14-5(b) § 36-14-5(c) § 36-14-5(d) § 36-14-5(e) Commission Regulation 36-14-5016 Related Advisory Opinions: A.O. 2013-28 A.O. 2012-12 A.O. 2006-42 Keywords: Revolving Door Private Employment Post Employment