Advisory Opinion No. 2001-16

Re: Nicholas Nardacci

QUESTION PRESENTED

The petitioner, a former Case Worker in the Providence Long Term Care Office of the Rhode Island Department of Human Services (DHS), a state employee position, requests an advisory opinion as to whether in his employment in the private sector he may assist clients in the preparation and submission of applications for Medical Assistance benefits to the DHS.

RESPONSE

It is the opinion of the Rhode Island Ethics Commission that the petitioner, a former Case Worker in the Providence Long Term Care Office of the Rhode Island Department of Human Services (DHS), a state employee position, may assist clients in the preparation and submission of applications for Medical Assistance benefits to the DHS, provided that any involvement in matters regarding the Providence Long Term Care Office must be of a ministerial nature for a period of one year following his date of separation.

In December 2000, the petitioner retired from his position as a Case Worker II in the Providence Long Term Care Office of the Rhode Island Department of Human Service (DHS), where he had worked since 1992. The Long Term Care Office handles Medical Assistance applications for assistance with nursing home payment and in-home services for the elderly and disabled. He represents that the DHS has separate Long Term Care Offices for Woonsocket, Cranston, East Providence, Newport and Providence. He presently is employed as a legal assistant for a law firm and wishes to assist in the preparation and submission of client applications for Medical Assistance benefits to the DHS.

The Code of Ethics provides that a public official or employee may not represent himself or any other person before any state or municipal agency of which he is a member or by which he is employed. R.I. Gen. Laws §§ 36-14-5(e)(1), (2). Additionally, the petitioner may not act as an expert witness before the DHS with respect to any matter the agency's disposition of which will or can reasonably be expected to directly result in an economic benefit or detriment to him, his employer or any business that he represents. R.I. Gen. Laws § 36-14-5(e)(3). R.I. Gen. Laws § 36-14-5(e)(4) extends these prohibitions for a period of one year after the petitioner has officially severed his position with the DHS. This "revolving door" language is provided so as to minimize any influence the former public employee may have with his former agency that is not available to the general public. Finally, R.I. Gen. Laws §§ 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 his official employment, particularly for the purpose of obtaining financial gain.

Although the Commission has concluded that individuals subject to the Code may not appear before their own agency or board prior to the expiration of one year from their date of separation, that prohibition does not extend to the performance of ministerial acts. See A.O. 99-108 ; A.O. 97-46. In an analogous opinion, the Commission previously concluded that a DHS Casework Supervisor in the East Providence Long Term Care Unit could accept private employment that may involve contact with the DHS so long as contact with East Providence Long Term Care Unit is ministerial in nature for a period of one-year from the date of his separation from that Unit. See e.g., A.O. 98-5.

Therefore, consistent with its earlier opinions, the Commission concludes that the petitioner may assist clients in the preparation and submission of benefits applications to the DHS, provided that he may not have any personal involvement with a matter before the Providence Long Term Care Office that goes beyond ministerial activities for a period of one year following his date of separation. Ministerial tasks include actions that do not require discretion such as hand-delivering documents, responding to inquiries regarding factual information, reviewing files at the Office, or other non-substantive activities. Section 5(e)'s revolving door restrictions also do not extend to the petitioner having substantive involvement in matters before the DHS’ other Long Term Care Offices. Finally, the petitioner may not use any confidential information he obtained while working for the DHS for financial gain. R.I. Gen. Laws § 36-14-5(b), (c), (d).

Code Citations:

36-14-5(b)

36-14-5(c)

36-14-5(d)

36-14-5(e)

Related Advisory Opinions:

2000-66

2000-19

99-140

99-126

99-125

99-108

99-61

98-96

98-92

98-11

98-5

97-25

97-01

97-02

96-102

96-59

94-13

Keywords:

Revolving door