Advisory Opinion No. 2017-2 Rhode Island Ethics Commission Advisory Opinion No. 2017-2 Approved: January 10, 2017 Re: Jamia R. McDonald QUESTION PRESENTED: The Petitioner, the outgoing Chief Strategy Officer for the Executive Office of Health and Human Services, a state employee position, requests an advisory opinion regarding the application of the Code of Ethics to her impending private employment with Deloitte Consulting LLP, a state vendor. RESPONSE: It is the opinion of the Rhode Island Ethics Commission that the Code of Ethics restricts the Petitioner, the outgoing Chief Strategy Officer for the Executive Office of Health and Human Services, a state employee position, from using confidential information received through her public employment to benefit her new employer, or from representing her new employer before the Executive Office of Health and Human Services, the Department of Children, Youth and Families, the Department of Administration or the Office of the Governor for one year after leaving her state employment. The Petitioner has been an employee of the State of Rhode Island since 2008, serving in various capacities in the Executive Office of Health and Human Services (“OHHS”), the Governor’s Office and the Rhode Island Emergency Management Agency. On January 20, 2015, the Petitioner began serving in the newly created position of Chief Strategy Officer for OHHS[1] where she was tasked with leading the turnaround of the Department of Children, Youth and Families (“DCYF”) following the resignation of its former Director. The Petitioner notes that although she was never officially appointed as the Director of DCYF, a title that would have required Senate confirmation, she has been serving as the agency’s executive and administrative head, implementing systemic reform within DCYF and representing the agency at all departmental meetings both inside and outside of government, including before the General Assembly and other key stakeholders. The Petitioner states that she has given notice that she intends to leave her public position to accept private employment with Deloitte Consulting LLP (“Deloitte”), a US-based company that, among other things, provides services in public finance, public sector management and information technology. Deloitte is currently a vendor for the State of Rhode Island, under contract to build the Unified Health Infrastructure Project (“UHIP”), a computer system for handling public-assistance programs such as Medicaid, food stamps and Rhode Island’s health benefits exchange. Given her current employment with the State of Rhode Island, and in light of Deloitte’s status as a state vendor, the Petitioner requests guidance from the Ethics Commission as to the application of the Code of Ethics to her prospective employment. Under the Code of Ethics, a public official may not represent herself or any other person before any state or municipal agency of which she is a member or by which she is employed. R.I. Gen. Laws § 36-14-5(e)(1) and (2). Furthermore, the Code of Ethics prohibits any director or head of a state department from representing herself or any other person before the Office of the Governor or the Department of Administration (“DOA”). Commission Regulation 36-14-5015(b). These restrictions both last while the public official is serving and for a period of one (1) year thereafter. Section 36-14-5(e)(4); Regulation 36-14-5015(b)(3). See A.O. 2016-14 (retiring engineer with the Department of Administration is not prohibited from engaging in private employment as a structural engineer provided that he does not represent his private clients before the Department of Administration or its divisions for one year after leaving state service). Such “revolving door” restrictions were enacted so as to minimize any undue influence a former public official may have in a matter before her former agency or, in the case of an executive branch department head, before the DOA or the Office of the Governor. Additionally, sections 36-14-5(b), (c), and (d) prohibit the use and/or disclosure of confidential information acquired by an official or employee during the course of, or by reason of, her official employment, particularly for the purpose of obtaining financial gain. In the instant matter, the Petitioner is officially an employee of OHHS, yet for the past two (2) years she has worked solely at DCYF in the role of its Director in all but title. The Petitioner recognizes that there is ambiguity surrounding which agency she is employed by for the purposes of the Code of Ethics, and so she has reasonably and prudently represented that she will treat both OHHS and DCYF as her employer with respect to application of section 36-14-5(e). Furthermore, the Petitioner accepts the application of Regulation 36-14-5015 to her as the effective head of DCYF. Accordingly, consistent with the requirements of these sections of the Code of Ethics, the Petitioner shall not represent herself, Deloitte or any other person or entity before DCYF, OHHS, DOA or the Office of the Governor for a period of one (1) year after leaving state service. Provided that the Petitioner complies with the above-stated post-employment and confidentiality restrictions, the Code of Ethics does not prohibit her private employment with Deloitte upon her termination of state employment. The Petitioner is encouraged to seek additional guidance from the Ethics Commission as to any more specific conflict of interest issues that may arise as she transitions into private employment. 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: § 36-14-5(b) § 36-14-5(c) § 36-14-5(d) § 36-14-5(e) Regulation 36-14-5015 Related Advisory Opinions: A.O. 2016-14 Keywords: Post-Employment Revolving Door