Advisory Opinion No. 2018-50 Rhode Island Ethics Commission Advisory Opinion No. 2018-50 Approved: October 16, 2018 Re: Peter S. Friedrichs QUESTION PRESENTED: The Petitioner, the former Director of the City of Central Falls Planning and Economic Development Department, a municipal employee position, requests an advisory opinion regarding the application of the “revolving door” provisions of the Code of Ethics, given that his new private employer may provide development/fundraising services to a multi-institutional collaborative effort across three communities, including Central Falls, to improve conditions along Broad Street. RESPONSE: It is the opinion of the Rhode Island Ethics Commission that the Petitioner, the former Director of the City of Central Falls Planning and Economic Development Department, a municipal employee position, may participate in his private employer’s development/fundraising services to a multi-institutional collaborative effort across three communities, including Central Falls, provided that the Petitioner does not utilize any confidential information obtained through his prior public employment and he does not represent himself or others before the Central Falls Planning and Economic Development Department. The Petitioner represents that he was the Director (“Director”) of the City of Central Falls Planning and Economic Development Department until June 30, 2018. He then accepted a position with the Policastro Group, a Providence-based consulting firm. The Petitioner explains that during his tenure as the Director, he worked on the Broad Street Regeneration Initiative (“Initiative”), a collaborative effort among the communities of Central Falls, Cumberland, Pawtucket, and the Blackstone Valley Tourism Council to engage local community leaders and mobilize local businesses, residents and other stakeholders towards the revitalization of Broad Street.[1] The Petitioner notes that the Policastro Group was recently approached by officials from the City of Pawtucket to provide development/fundraising services for the Initiative. He further states that if the Policastro Group agrees to provide such services, he will not represent the Policastro Group before the City of Central Falls. Given this set of facts, the Petitioner asks the Ethics Commission for guidance on the application of the “revolving door” provisions of the Code of Ethics regarding his ability to participate in the Policastro Group’s fundraising relative to the Initiative during the one-year period following the date of his severance from public employment. The Code of Ethics prohibits a public official or employee from representing himself or others, or authorizing another person to appear on his behalf, before a state or municipal agency of which he is a member, by which he is employed, or for which he is the appointing authority. R.I. Gen. Laws § 36-14-5(e)(1) & (2) (“section 5(e)”); Commission Regulation 5016(a)(2) & (3) (“Regulation 5016”).[2] 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). These prohibitions continue while the official or employee remains in public office and for a period of one year thereafter. Section 36-14-5(e)(4). See, e.g., A.O. 2006-42 (opining that the 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). Section 5(e)’s prohibitions are designed to minimize any undue influence that a former public official or employee may have over his former agency and colleagues by reason of his service or 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). Finally, subsections 36-14-5(b), (c) & (d) of the Code of Ethics prohibit the use and/or disclosure of confidential information acquired by an official or employee during the course of or by reason of his official duties, particularly for the purpose of obtaining financial gain. In the instant matter, the Petitioner states that he will not disclose any confidential information he acquired through his public employment to his private employer and that he will not represent his private employer before the City of Central Falls or its departments. Accordingly, given the Petitioner’s representations and the above-stated provisions of the Code of Ethics, it is the opinion of the Ethics Commission that the Code of Ethics does not prohibit the Petitioner from participating in the Policastro Group’s fundraising relative to the Initiative during the one-year period following the date of his severance from public employment. The Code of Ethics does not prohibit the Petitioner from having purely personal or ministerial interactions with the Planning and Economic Development Department members or staff, provided that such interactions and conversations do not involve Planning and Economic Development Department decision-making over matters involving or financially impacting the Petitioner himself or his private employer. 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(12) § 36-14-2(13) § 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. 2006-42 Keywords: Post-Employment Revolving Door [1] See http://www.mybroadstreetri.com/s/ (last visited October 9, 2018). [2] In May 2018, the Ethics Commission codified the Code of Ethics into the Rhode Island Code of Regulations (“RICR”), a uniform state code containing the rules and regulations of the various Rhode Island agencies. In order to do so, the Ethics Commission reformatted and renumbered the Code of Ethics. As a result, Regulation 36-14-5016 now corresponds to Regulation 520-RICR-00-00-1.1.4 Representing Oneself or Others, Defined (36-14-5016).