Advisory Opinion No. 2001-26

Re: Michael DiBiase

QUESTION PRESENTED

The petitioner, the former Chief of Staff for the Governor, a state employee position, requests an advisory opinion as to the manner in which revolving door and/or post-employment restrictions affect his new employment as Vice President, State Government Relations, Fidelity Investments, particularly with respect to communications, including lobbying, with various branches and agencies of government in the State of Rhode Island.

RESPONSE

It is the opinion of the Rhode Island Ethics Commission that the petitioner, the former Chief of Staff for the Governor, a state employee position, is subject to the revolving door and post-employment restrictions with respect to any substantive involvement with the Office of the Governor, as well as with any agencies and departments within the executive branch of the Rhode Island state government. These restrictions remain applicable for a period of one year after the termination of the petitioner's state service. The revolving door and post-employment restrictions do not apply with respect to dealings the petitioner might have with the General Assembly, the courts, or any of the state constitutional offices, such as the Attorney General or Secretary of State. The revolving door and post-employment restrictions may apply with respect to state quasi-public agencies over which the petitioner exercised supervisory, policy-making or fiscal authority during his tenure as the Governor's Chief of Staff, and the petitioner is encouraged to seek further guidance from this Commission if and when he has occasion to have substantive dealings with a quasi-public agency. Finally, the petitioner is advised that he may not disclose confidential information learned while in state employment, particularly for financial advantage or to assist in his private employment.

The Code of Ethics provides that the petitioner 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), (2). Section 36-14-5(e)(4) extends these prohibitions for a period of one year after the petitioner has officially severed her position with the agency. The Code of Ethics provides that a public official may not accept any reward or promise of future employment in return for or based on any understanding or expectation that his or her vote, official action or judgment would be influenced thereby. See R.I. Gen. Laws § 36-14-5(g).

The petitioner in this matter represents that he terminated his employment as the Governor's Chief of Staff on February 21, 2001. On February 25 he began work in the private sector as Vice President, State Government Relations, Fidelity Investments, a position that likely will require him to have communications, including lobbying, with various branches and agencies of government in the State of Rhode Island. As the Governor's Chief of Staff the petitioner's duties and responsibilities were extensive, touching upon virtually every aspect of the internal and external work of the executive branch. The revolving door and post-employment restrictions set out in the Code of Ethics prohibit a former state employee from appearing before a state agency by which he was employed for a period of one year after the termination of that employment. Given the breadth of the petitioner's duties and responsibilities as the Governor's Chief of Staff, we conclude that for him these prohibitions extend to any substantive involvement with any agencies and departments within the executive branch of the Rhode Island state government.

We further conclude, however, that these restrictions do not apply with respect to dealings the petitioner might have with the General Assembly, the courts, or any of the state constitutional offices, such as the Attorney General or Secretary of State. While the petitioner played an important and substantive role on behalf of the Governor with respect to these other branches and offices of state government, his employment within the executive branch does not carry-over, with the accompanying restrictions, to other branches or offices of state government. The revolving door and post-employment restrictions may apply, however, with respect to state quasi-public agencies over which the petitioner exercised supervisory, policy-making or fiscal authority during his tenure as the Governor's Chief of Staff, and the petitioner is encouraged to seek further guidance from this Commission if and when he has occasion to have substantive dealings with a quasi-public agency.

Code Citations:

36-14-5(e)(1)

36-14-5(e)(2)

36-14-5(e)(4)

36-14-5(g)

Keywords:

Post-Employment

Revolving Door