Advisory Opinion No. 2006-40

Advisory Opinion No. 2006-40

Re: Richard M. Lucia, P.E.

QUESTION PRESENTED

The petitioner, a Principal Civil Engineer employed by the Coastal Resources Management Council, a state employee position, requests an advisory opinion regarding his ability to privately prepare and submit ISDS applications to the Department of Environmental Management.

RESPONSE

It is the opinion of the Rhode Island Ethics Commission that the petitioner, a Principal Civil Engineer employed by the Coastal Resources Management Council, a state employee position, may privately prepare and submit ISDS applications to the Department of Environmental Management provided that (1) his private business does not relate to his official duties, (2) he completes the work on his own time without the use of public resources, and (3) the nature of his work does not require him to appear before his own agency.

The petitioner informs that since September of 1994 he has been employed by the Coastal Resources Management Council (hereinafter “CRMC”) as a Principal Civil Engineer in the permitting section.  He informs that the CRMC is a management agency primarily responsible for the preservation, development and restoration of the state’s coastal areas.

The petitioner advises that he is a registered Professional Engineer.  He wishes to take an examination to obtain an Individual Sewage Disposal System (ISDS) Class III Designer's license, and upon obtaining the license wishes to commence designing ISDS systems as a side business.  The Class III Designer's license exam is administered by the Department of Environmental Management’s Office of Water Resources (hereinafter “DEM”).  The petitioner represents that (1) he will not submit ISDS applications to DEM which would require further permitting by the CRMC, and (2) he will not accept private employment from developers or other professionals who conduct business with the petitioner in his public capacity. 

The Code of Ethics prohibits the petitioner from representing himself or any other person before any state or municipal agency of which he is a member or by which he is employed.  See R.I. Gen. Laws § 36-14-5(e)(1), (2).  This prohibition continues for one year following the petitioner's official severance from said state or municipal agency.  R.I. Gen. Laws § 36-14-5(e)(4).  The Code of Ethics also provides that the petitioner shall not accept other employment which will either impair his independence of judgment as to his official duties or induce him to disclose confidential information acquired by him in the course of and by reason of his official duties.  R.I. Gen. Laws § 36-14-5(b).

The facts as represented do not indicate that the petitioner's side business as an ISDS designer will be in substantial conflict with the proper discharge of his current duties as a Principal Civil Engineer employed by the CRMC.  Similarly, there is no indication that this side work will impair the petitioner's independence of judgment as to his duties with the CRMC or induce him to disclose confidential information.  For all of these reasons, the petitioner may take the Class III Designer's exam and, if he passes, prepare and submit private ISDS applications to RIDEM.

Code Citations:

36-14-5(a)

36-14-5(b)

36-14-5(e)

Related Advisory Opinion:

2004-35

Keywords:

Revolving Door

Private Employment