Advisory Opinion No. 2003-43

Re: William D. Falcone

QUESTION PRESENTED

The petitioner, the Staff Director for the Rhode Island Water Resources Board, a state employee position, requests an advisory opinion regarding whether following his retirement from state service he may accept employment as the Executive Director for the Rhode Island Water Works Association.

RESPONSE

It is the opinion of the Rhode Island Ethics Commission that the petitioner, the Staff Director for the Rhode Island Water Resources Board, a state employee position, may accept private employment as the Executive Director for the Rhode Island Water Works Association immediately following his retirement from the Rhode Island Water Resources Board provided that he does not appear before his former Board for a period of one year after his retirement.

The petitioner represents that he is employed as the Staff Director for the Rhode Island Water Resources Board (WRB) and will retire from his position on June 30, 2003. He represents that he has been offered a position as the part-time Executive Director for the Rhode Island Water Works Association (RIWWA). He informs that this is a non-profit organization that represents the 32 municipal water supply systems in Rhode Island. In this capacity, his duties will include attendance at monthly meetings, serving as the newsletter editor, performing annual membership duties, updating the web page and coordinating all meetings. While the petitioner does not anticipate appearing before the WRB on behalf of the RIWWA, he seeks this advisory opinion to determine whether there would be any limitations placed on his employment with the RIWWA.

The Code of Ethics provides that a public official 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). Section 36-14-5(e)(4) extends these prohibitions for a period of one year after the petitioner has officially severed his position with the agency. Further, the Code provides that the petitioner may not accept other employment which will impair his independence of judgment as to his official duties. R.I. Gen. Laws § 36-14-5(b). Finally, he is prohibited from using his public position or confidential information received through his position to obtain financial gain, other than that provided by law, for himself, a business associate, or any business by which he is employed or represents. R.I. Gen. Laws § 36-14-5(d).

The Commission consistently has concluded that under the very strict, but very clear, language of Section 5(e) public officials and employees may not appear before their own agency or board before the expiration of one year from their date of separation. See A.O. 99-125 (finding that a former Department of Health employee or his firm should not appear before his former Division in variance hearings for a period of one-year following the date of the petitioner’s official severance of employment with that agency); A.O. 98-92 (advising former Providence Department of Public Works employee that he should not appear before that his former Department on behalf of his new employer for a period of one year from the date of his official severance from City service except as to ministerial activities such as submitting or retrieving information); and A.O. 96-11 (concluding that a former Senior Budget Analyst should not represent himself, any other person or entity, or act as an expert witness before the State Budget Office for a period of one year after having officially severed his position with that office).

The Commission concludes that the Code of Ethics does not per se prohibit the petitioner from accepting post-state service employment with the RIWWA, a non-profit organization. However, if matters arise in the course of the petitioner’s employment with the RIWWA that would require him to appear before the WRB, the petitioner is prohibited from such appearance until the expiration of the one-year period following his retirement. Finally, while the petitioner may accept such post-state service employment, he may not use confidential information obtained while working with the WRB to obtain financial gain for himself, his business associate, or any business by which he is employed or by which he represents. See R.I. Gen. Laws §36-14-5(d).

Code Citations:

36-14-5(b)

36-14-5(d)

36-14-5(e)(1)

36-14-5(e)(2)

36-14-5(e)(4)

Related Advisory Opinions:

2001-26

2000-60

99-125

98-92

96-11

Keywords:

Private Employment

Revolving Door