Advisory Opinion No. 2010-8 Rhode Island Ethics Commission Advisory Opinion No. 2010-8 Re: Peder Schaefer QUESTION PRESENTED The Petitioner, Chief of the Division of Municipal Finance at the Rhode Island Department of Revenue, a state employee position, requests an advisory opinion regarding whether the Code of Ethics places any limitations on his ability, upon leaving state employment, to serve as the Associate Director of the Rhode Island League of Cities and Towns. RESPONSE It is the opinion of the Rhode Island Ethics Commission that the Petitioner, Chief of the Division of Municipal Finance at the Rhode Island Department of Revenue, is prohibited by the Code of Ethics from lobbying or otherwise representing a private employer before the Department of Revenue and its divisions for a period of one (1) year following his termination of state employment. However, the Petitioner may engage in lobbying of the General Assembly as well as other state agencies in all branches of government. The Petitioner is currently employed by the Rhode Island Department of Revenue as the Chief of the Division of Municipal Finance. He states that this position has substantial involvement in state policy as it relates to municipalities. He further states that his duties include testifying before the legislature concerning state policy relating to municipalities and assisting municipalities in responding to state policy. The Petitioner has applied for a position in the private sector, to become the Associate Director of the Rhode Island League of Cities and Towns ("the League"). He indicates that he would terminate his state employment to accept this position. The Petitioner's duties at the League would include acting as a League lobbyist before the legislature, and also representing the League's interests before Executive branch agencies such as the Department of Revenue, Department of Administration and Department of Education. Given the above representations, the Petitioner seeks guidance as to what limitations the Code of Ethics would place upon him should he accept this employment with the League. Pursuant to R.I. Gen. Laws § 36-14-5(e)(1) and (2), a public official or employee is not permitted to represent himself or any other “person” before any state or municipal agency of which he is a member or by which he is employed. A “person” is defined as an individual or business entity. R.I. Gen. Laws § 36-14-2(7). Subsection 36-14-5(e)(4) extends these prohibitions for a period of one year after the official or employee has officially severed his position with the agency. The Ethics Commission has applied section 5(e)'s prohibitions in several analogous advisory opinions. For example, in Advisory Opinion 2006-56, the Ethics Commission opined that the Chief of Staff and Legislative Director in the Office of the Rhode Island Attorney General could not lobby the Office of Attorney General for one year from the date of his severance from state employment, but that he could immediately engage in private lobbying of the General Assembly and federal, state and municipal governmental agencies. Similarly, in Advisory Opinion 2003-56, the Commission determined that the Code of Ethics did not prohibit the former Director of Legislative and Governmental Affairs in the Rhode Island Office of the Lieutenant Governor from engaging in lobbying of the General Assembly and other state agencies in his private employment, provided that he did not lobby the Office of the Lieutenant Governor, his former employer. See also A.O. 2003-32 (opining that the former Director of Administrative Records in the Rhode Island Office of the Secretary of State may lobby the General Assembly and other state agencies in his private employment, provided that he did not engage in any form of appearance or lobbying before the Office of the Secretary of State); A.O. 2005-6 (opining that the former Legislative Director for the Governor of the State of Rhode Island may engage in lobbying of the General Assembly and state and municipal agencies other than the Office of the Governor). As in these previous opinions, section 5(e) of the Code of Ethics acts to prohibit the Petitioner from lobbying his own agency, the Department of Revenue, as well as its subdivisions,[1] for a period of one year following the termination of his public employment. However, the Code of Ethics does not prohibit his lobbying or otherwise representing the League before the General Assembly or other state agencies such as the Department of Administration and the Department of Education. Finally, the petitioner is advised that this opinion solely addresses the Code of Ethics and does not, and cannot, address whether other laws, policies, regulations, or rules restrict or prohibit such employment. Code Citations: 36-14-5(e) Related Advisory Opinions: 2006-56 2006-4 2005-6 2004-4 2003-56 2003-32 2001-26 Keywords: Lobbying Private Employment [1] The Department of Revenue oversees the following five departments: Division of Motor Vehicles, Division of Municipal Finance, Division of Taxation, Office of Revenue Analysis, and The Rhode Island Lottery.