Advisory Opinion No. 2003-20

Re: John J. Lancellotta

QUESTION PRESENTED

The petitioner, a Pawtuxet River Authority member, a regional appointed position, requests an advisory opinion as to whether he 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, a Pawtuxet River Authority member, a regional appointed position, is required to file an annual financial disclosure statement with the Ethics Commission in accordance with R.I. Gen. Laws § 36-14-16. The petitioner advises that the West Warwick Town Council appointed him to the Pawtuxet River Authority in July 2002. He represents that the fifteen Authority members may request a stipend for their service, although to date he has neither requested nor received any stipend.

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).

Pursuant to both R.I. Gen. Laws § 36-14-2(9) and Commission Regulation 2002(2), a “state or municipal appointed official” includes any officer or member of a state or municipal agency who is appointed to an office specified by the constitution or a statute of this state or a charter or ordinance of any city or town or who is appointed by, through or with the advice and consent of a governing body, or any court, in state or municipal government, or highest official of state or municipal government. The Code defines “municipal agency” to include any department, division, agency, commission, board, office, bureau, authority corporation or subsidiary, quasi-public authority, or school, fire or water district within Rhode Island, other than a state agency, and whether comprised of officials and employees from a single or multiple municipalities…which exercises governmental functions other than in a purely advisory nature. R.I. Gen. Laws § 36-14-2(8)(ii); Regulation 2002(4)(b).

Here, the West Warwick Town Council appointed the petitioner to a term of office on the Pawtuxet River Authority pursuant to R.I. Gen. Laws § 46-24-3. Therefore, the petitioner is a “state or municipal appointed official” within the meaning of R.I. Gen. Laws § 36-14-4 or § 36-14-16, and is required to file a financial disclosure statement with the Ethics Commission. In accordance with R.I. Gen. Laws § 36-14-16(d), the Commission will forward the 2002 Financial Statement to the petitioner during March of 2003. The 2002 Financial Statement must be filed with the Commission on or before April 25, 2003.

Further, “in the case of [an] appointment… the appointee shall file the financial statement within thirty (30) days after the date his appointment.” R.I. Gen. Laws § 36-14-16(b). Since a financial statement covers activity for a particular calendar year, forms that are filed in 2003 will cover the 2002 calendar year (except as relating to questions 14-15 covering the part of 2003 that has already passed by). In this respect, the financial disclosure forms are much like the tax forms filed with the IRS. If appointees were to wait until the following year to file a disclosure statement, the public would not be informed as to the particular areas where conflicts of interests may arise during their initial period of appointment. Therefore, the petitioner also must complete the 2001 Financial Statement and submit it to the Ethics Commission.

Code Citations:

36-14-2(8)

36-14-2(9)

36-14-4

36-14-16

36-14-2002(4)(b)

Related Advisory Opinions:

2002-32

2001-38

2000-55

2000-47

2000-44

2000-36

2000-31

99-112

99-87

99-66

97-69

97-68

97-60

Keywords:

Financial Disclosure