Advisory Opinion No. 2001-23

Re: Almas Kalafian

QUESTION PRESENTED

The petitioner, a Warwick Affirmative Action Commission member, requests an advisory opinion as to whether she must file a financial disclosure statement.

RESPONSE

It is the opinion of the Rhode Island Ethics Commission that the petitioner, a Warwick Affirmative Action Commission member, is not required to file a financial disclosure statement pursuant to R.I. Gen. Laws § 36-14-16 since that Commission acts in a purely advisory capacity and, therefore, is not a “state or municipal agency” for purposes of the Code of Ethics.

The Code of Ethics requires all state and municipal elected and appointed officials to file annual financial statements with the Ethics Commission. See R.I. Gen. Laws § 36-14-16.

Members of many Commissions serve as volunteers or are not compensated for their public service; however, the General Assembly has deemed that if an official is appointed by the highest governing body of the state or municipality or for a term of office and exercises governmental functions other than in an advisory nature, the public official is required to file a personal financial statement pursuant to the Code of Ethics. See R.I. Gen. Laws § 36-14-2(9). Section 36-14-2(8)(ii) of the Code of Ethics defines a "municipal agency" as any agency in any branch of municipal government that "exercises governmental functions in other than … an advisory nature." Section 36-14-2002(4)(b) defines "municipal agency " using the same language as statutory Section (2)(8)(ii), except that it requires that an agency exercise governmental functions in other than a "purely advisory nature" in order for the members or employees of such agency to be exempted from the Code of Ethics.

The Commission previously has found that certain boards or commissions are solely advisory in nature and need not file a financial disclosure form or comply with the substantive dictates of the Code of Ethics. A.O. 98-36 (advising a member of the Special Legislative Commission to Review Statewide Recycling Efforts and to Make Recommendations Therefor is not required to file a personal financial disclosure statement); A.O. 2000-13 (concluding a Little Compton Harbor Advisory Commission member is not covered by the Code of Ethics); A.O. 82-5 (finding the Newport Waterfront Commission is not a municipal agency since it does not expend public funds and serves as a strictly advisory body to the Town Council).

Here, the petitioner is appointed as a member of the Warwick Affirmative Action Commission, pursuant to Warwick Municipal Ordinance No. 0-94-20, which also proscribes the duties and responsibilities of its members. Those duties are solely "advisory in nature". The Commission’s responsibilities generally involve encouraging and supporting the employment and advancement of under represented groups within the City of Warwick. Its role in reviewing and recommending actions to the Director of Personnel relating to affirmative action does not constitute sufficient subjective involvement in the policy-making area to warrant the categories of disclosure mandated by the General Assembly in the Code of Ethics. Based on this information, the petitioner is not a "state or municipal appointed official" within the meaning of R.I. Gen. Laws § 36-14-4 or § 36-14-16 and, therefore, is not required to file a financial disclosure statement.

Code Citations:

36-14-2(8), (9)

36-14-2001(22)

36-14-2002(4)(b)

36-14-4

36-14-16

Related Advisory Opinions:

2000-37

2000-13

2000-14

2000-15

98-36

84-49

82-78

81-45

Keywords:

Advisory body

Financial disclosure