Advisory Opinion No. 2005-11 Re: Raymond C. Church QUESTION PRESENTED: The petitioner, a member of the Rhode Island House of Representatives, a state elected position, requests an advisory opinion regarding what steps he should take to comply with the Code of Ethics when matters come before him relating to the Rhode Island Accountancy Statute or to certified public accountants in general, given his employment as the Executive Director of the Rhode Island Society of Certified Public Accountants. RESPONSE: It is the opinion of the Rhode Island Ethics Commission that the petitioner, a member of the Rhode Island House of Representatives, a state elected position, will be in compliance with the Code of Ethics as to his participation in matters relating to the Rhode Island Accountancy Statute and to matters that are part of his employer's legislative agenda, provided he follows the plan for recusal outlined in his representations. The petitioner is a recently elected member of the Rhode Island House of Representatives and serves as a member of the House Corporations Committee. In his private employment, since 1990 the petitioner has been the Executive Director of the Rhode Island Society of Certified Public Accountants (RISCPA). The petitioner represents that RISCPA is a professional individual membership association consisting of approximately 1,500 members. According to the petitioner, membership in RISCPA is voluntary and requires adherence to a professional code of conduct. RISCPA's revenue is principally derived from member dues and from fees generated through the offering of continuing professional education courses. The petitioner states that he is a salaried employee of RISCPA, managing its day to day operations, but that RISCPA is ultimately governed by a Board of Directors. The petitioner informs that RISCPA's Board of Directors has retained Trion Communications (Trion) as its government relations specialist. Trion is RISCPA's registered lobbyist and represents RISCPA's interests before the Rhode Island General Assembly. The petitioner represents that, although part of his duties include communicating with Trion, there is a Government Relations Committee of RISCPA's Board of Directors that is primarily responsible for coordinating RISCPA's legislative agenda with Trion. The petitioner notes that bills concerning the Rhode Island Accountancy Statute and certified public accountants in general will be presented to the House of Representatives, and in particular to the House Corporations Committee, for consideration. The petitioner states that out of an abundance of caution he will recuse from participating or voting on any legislation, either in committee or on the House floor, which references the Rhode Island Accountancy Statute. He further represents that he will recuse from participating in any committee meetings or hearings on bills for which RISCPA has directed its lobbyist, Trion, to appear. The petitioner asks whether such recusal is in sufficient compliance with the Code of Ethics. Further, the petitioner asks the Commission for an opinion regarding whether he may participate in other legislation that might impact certified public accountants generally, but would not financially impact his employer, RISCPA, and is not related to the Accountancy Statute. Under the Code of Ethics, a public official may not participate in any matter in which he has an interest, financial or otherwise, which is in substantial conflict with the proper discharge of his duties in the public interest. R.I. Gen. Laws § 36-14-5(a). A public official will have an interest in substantial conflict with his official duties if it is reasonably foreseeable that that a "direct monetary gain" or a "direct monetary loss" will accrue, by virtue of his activity, to himself, a family member, a business associate, an employer, or any business which the official represents. See R.I. Gen. Laws § 36-14-7(a); Regulation 7001. Additionally, the Code provides that a public official may not use his office to obtain financial gain for himself, a family member, a business associate, an employer, or any business which he represents. See R.I. Gen. Laws § 36-14-5(d). Finally, a public official must recuse from participating in the consideration of a matter when his business associate appears to represent an interest or act as an expert witness before his public body. See R.I. Gen. Laws § 36-14-5(f). The petitioner has greatly narrowed our discussion and application of the above-referenced Code provisions through his previously discussed, voluntary recusals. We commend the petitioner on his decision to recuse in these instances prior to receiving our opinion and find that such action is consistent not only with the Code of Ethics, but also with the Rhode Island Constitution's charge that public officials "adhere to the highest standards of ethical conduct" and "avoid the appearance of impropriety[.]" When recusing the petitioner is advised to complete a statement of conflict of interest and to file copies with the Ethics Commission and the appropriate officer of the House of Representatives pursuant to R.I. Gen. Laws § 36-14-6. Beyond these recusals, the petitioner seeks general advice concerning his ability to participate in the House's consideration of legislation that, while not specifically referencing the Accountancy Statute or constituting an item on RISCPA's legislative agenda, may nevertheless have an impact on certified public accountants in Rhode Island. In the absence of a reference to particular bills or matters, the Commission finds this request to be too broad to allow for issuance of a specific and binding opinion. Instead, we simply remind the petitioner that the Code prohibits his participation in matters likely to result in a financial impact to himself, his family, his employers or his business associates. See §§ 36-14-5(a); 36-14-7(a). If such an impact on these entities is not reasonably foreseeable, then in most cases the Code would allow the petitioner's participation. The petitioner is cautioned to carefully consider whether such an impact is reasonably foreseeable on each matter before him and to seek further advice from the Commission as needed. Code Citations: 36-14-5(a) 36-14-5(d) 36-14-5(f) 36-14-6 36-14-7(a) Regulation 7001 Related Advisory Opinions: 2004-25 003-2 2002-5 98-40 97-51 97-21 96-91 96-71 Keywords: Private Employment Recusal Lobbying