Advisory Opinion No. 2007-35

Advisory Opinion No. 2007-35

Re: Elizabeth M. Strout

QUESTION PRESENTED

The petitioner, a former paid intern with the Office of the General Treasurer, requests an advisory opinion regarding whether the Code of Ethics limits her ability to interact with the Office of the General Treasurer in her private employment as an account manager for an advertising agency.

RESPONSE

It is the opinion of the Rhode Island Ethics Commission that the Code of Ethics does not prohibit the petitioner, a former paid intern with the Office of the General Treasurer, from accepting private employment as an account manager for an advertising agency.  However, the Code does prohibit the petitioner from representing her employer before the Office of General Treasurer for a period of one year following the completion of her paid internship.

The petitioner states that from January 3, 2007, through June 22, 2007, she served as a paid intern with the Office of the General Treasurer.  The petitioner states that this internship fulfilled a graduation requirement for her degree in marketing communications from Johnson & Wales University.  The petitioner states that her internship duties involved conducting research under the guidance of the Treasurer’s Communications Director.  She expressly represents that as an intern she had no access to confidential information and no decision-making authority.  The petitioner states that as an intern she received the standard stipend afforded to seasonal interns, but did not receive any benefits such as healthcare, pension, vacation or sick time accruals.

The petitioner represents that she has been offered private employment by Nail Communications (“Nail”), an advertising firm.  She further states that Nail has been awarded a contract to manage an advertising campaign for the CollegeBoundfund, Rhode Island’s 529 college savings program.  Nail was awarded the contract by Alliance Bernstein Investments, Inc. (“AllianceBernstein”), which manages the CollegeBoundfund pursuant to a contract with the Rhode Island Higher Education Assistance Authority (“RIHEAA”).  The petitioner asserts that although the General Treasurer serves as an ex officio member of the RIHEAA, and has management responsibilities over the CollegeBoundfund, the Treasurer’s Office does not direct or control the selection of Nail employees, nor will Nail receive any funds directly from the state pursuant to its contract with AllianceBernstein.

The petitioner states that, in order to minimize any potential conflicts of interest and to avoid the appearance of impropriety, for a period of one year from the termination of her internship she will avoid any contact with the Treasurer’s Office that could influence the Treasurer’s decision-making, if any, regarding Nail or its contract with AllianceBernstein.  She states that she will limit her interaction with the Treasurer’s Office, during that one-year period, to ministerial matters of coordination and basic correspondence. Given all of these representations, she asks if she will be in compliance with the Code of Ethics.

Initially, we opine that the petitioner, as a salaried intern with the Treasurer’s Office, was a state employee subject to the Code of Ethics.  The Code of Ethics applies to “employees of state and local government.”  This term is broadly defined to include “any individual receiving a salary from a state or municipal agency, whether elected or not, on a full-time or part-time basis.”  Commission Regulation 36-14-2002 (3)(a).  The petitioner’s paid internship falls within this definition.

Section 5(e) of the Code of Ethics sets forth, among other things, post-employment restrictions for former state employees.  R.I. Gen. Laws § 36-14-5(e).  In particular, this provision prohibits a former state employee from representing herself or any other person before any state or municipal agency of which she is a member or by which she is employed, for a period of one year after she has officially severed her position with said state agency.  See §§ 36-14-5(e)(1), 5(e)(2) and (5)(e)(4).  A person “represents” another person before a state or municipal agency if she, with the other person’s authorization, participates in the “presentation of evidence or arguments before that agency for the purpose of influencing the judgment of the agency in favor of that other person[.]”  See § 36-14-2(13).

Applying section 5(e) to the instant facts as represented, the petitioner is prohibited from representing her private employer, Nail, before the Treasurer’s Office for a period of one year following the termination of her paid internship. Such representation would include her participation in Nail’s presentation of arguments before the Treasurer’s Office for the purpose of influencing the Treasurer’s decision-making or judgment in Nail’s favor.  On the other hand, the petitioner may interact with the Treasurer’s Office on ministerial matters, such as coordination and correspondence, that do not involve the Treasurer’s decision-making authority. If needed, the petitioner may seek more specific guidance from the Commission as to permissible interaction with the Treasurer on particular matters.

Code Citations :

36-14-2(13)

Regulation 36-14-2002(3)(a).

36-14-5(e)

Keywords :

Post-Employment