Advisory Opinion No. 2001-60

Re: Margaret L. Hogan, Esq.

QUESTION PRESENTED

The petitioner, who serves both as the District Solicitor for the Union Fire District of Wakefield and legal counsel to the State Labor Relations Board, independent contractual positions, requests an advisory opinion as to whether she is required to file an annual financial disclosure Statement with the Ethics Commission.

RESPONSE

It is the opinion of the Rhode Island Ethics Commission that the petitioner, the District Solicitor for the Union Fire District of Wakefield and legal counsel to the State Labor Relations Board, independent contractual positions, is not required to file an annual financial disclosure statement with the Ethics Commission pursuant to R.I. Gen. Laws § 36-14-16.

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.

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). Further, independent contractors of a state or municipal government are neither “employees” nor appointed officials subject to the provisions of the Code of Ethics. See Suzanne Worrell Gemma, et al. v. Rhode Island Ethics Commission (C.A. No. 94-3404, filed Sept. 17, 1994).

Here, the petitioner informs that she is neither elected nor appointed to her positions, but serves in both capacities as an independent contractor. Accordingly, she is not a municipal elected or appointed official within the meaning of R.I. Gen. Laws § 36-14-4 and is not required to file a financial disclosure statement. See R.I. Gen Laws § 36-14-16. Further, as an independent contractor, the petitioner does not fall under the jurisdiction of the Ethics Commission and is not covered by the conflict of interest provisions contained in the Code of Ethics. See R.I. Gen. Laws § 36-14-2.

Code Citations:

36-14-2(9)

36-14-4

36-14-16

Related Advisory Opinions:

2001-38

2001-23

2000-46

2000-36

99-18

98-85

98-73

98-62

97-141

97-70

96-40

96-39

96-38

96-37

96-51

96-50

Related Case Law:

Gemma v. R.I. Ethics Commission, (R.I. Sup. Ct., C.A. No. 94-304, filed September 17, 1994)

Keywords:

Code jurisdiction

Financial disclosure