| Date: | 04/03/1979 |
|---|---|
| Organization: | State Ethics Commission |
A state employee now involved in a private general consulting practice may not perform consulting services for anyone other than the Commonwealth relating to "particular matters" in which he "participated" as a state employee.
You were employed by a state agency from 1976 to 1979, as an actuary/statistician. You are now involved in a private general consulting practice in which you will perform work similar to your work as a state employee with the agency. You ask whether General Laws Chapter 268A places restrictions upon your consulting work.
As a state employee, you prepared statistical and actuarial analyses for the agency's submission in rate hearings concerning various matters analyzed and evaluated filings made by other parties and appeared in rate hearings as an expert witness on behalf of the agency; performed actuarial and statistical analyses in testing the impact of proposed rates upon the public; and, in the course of your work for the agency you participated in developing a new statistical model for a particular type of rate-setting, which you and a colleague have described in a professional journal. You state that you are aware of no filings pending before the agency in which you participated in any manner. You also state that you had no responsibility for the work of others, apart from those matters in which you participated directly.
As a former state employee, § 5(a) prohibits you from receiving compensation from, or acting as agent or attorney for, anyone other than the Commonwealth or a state agency in connection with any particular matter in which you participated as a state employee, if such matter is one in which the Commonwealth or a state agency is a party or has a direct ad substantial interest. The "particular matters" (defined in § 1(k)) in which you participated as a state employee were submissions in rate-setting proceedings for specific years. Your analyses used a base period of one to three years, depending on the type of rate, and took into account specific social, economic and legal circumstances existing at a given point in time. Since the base period and the current circumstances will be different for any work you might perform in reference to future rate-setting proceedings, we find that, for purposes of your participation as an actuary/statistician, such proceedings would be different and distinct particular matters.
Therefore, we answer your questions as follows:
First, you may perform professional services for any party in connection with rate-setting proceedings in which you did not participate as a state employee.
Second, you may also perform professional services in relation to the intellectual contributions which you made to the field of rate-setting while a state employee. Although the statistical model was initially presented in the context of a specific rate-setting proceeding, it is not a "particular matter" apart from the particular context in which it was then presented.
Third, regardless of your past participation, you may receive compensation for your services from the Attorney General or any other state agency in reference to any matter.
Fourth, you are also free to participate in any matters in other states or countries because these matters are not of direct or substantial interest to the Commonwealth.
Finally, if any further rate-setting proceedings should utilize specific analyses which you performed for the state, your participation as a private consultant may be restricted. Since you indicate that this is an unlikely possibility, the Commission will not advise you at this time about the conflict that may exists in the absence of a specific factual situation.
End Of Decision
