Rhode Island Ethics Commission

 

 

Advisory Opinion No. 2014-3

 

Approved:  January 14, 2014

 

Re:  Paul Amaral

 

QUESTION PRESENTED:

 

The Petitioner, a member of the Board of Canvassers for the Town of Tiverton, a municipal appointed position, requests an advisory opinion regarding whether the Code of Ethics prohibits his simultaneous service as the Vice Chair of the Tiverton Democratic Town Committee and membership in the Democratic State Representative District 70 Endorsement Committee.

 

RESPONSE:

 

It is the opinion of the Rhode Island Ethics Commission that the Petitioner, a member of the Board of Canvassers for the Town of Tiverton, a municipal appointed position, may serve in that public position notwithstanding his simultaneous service as the Vice Chair of the Tiverton Democratic Town Committee and as his membership in the Democratic State Representative District 70 Endorsement Committee.  However, the Code of Ethics requires the Petitioner to recuse from participation in Board of Canvassers matters that involve or are likely to financially impact the Tiverton Democratic Town Committee or the Petitioner’s fellow officers thereon.

 

On August 13, 2013, the Tiverton Town Council appointed the Petitioner to serve on the Tiverton Board of Canvassers (“BOC”).  The appointment process for the BOC, and for all local canvassing authorities, is set by state statue.[1]  The BOC’s duties include, inter alia, the following: having and discharging all of the functions, powers, and duties of the Town Council concerning nominations, elections, registration of voters and canvassing rights; the preparing and correcting of voting lists; making or furnishing all returns or other things required by law to be made or furnished to or by city clerks, boards of canvassers, and district clerks, relative to the canvassing authority; and appointing and employing all of the board’s necessary clerical and technical assistants and fixing the compensation of each such person appointed, within the limits of funds available to it pursuant to law.  See R.I. Gen. Laws § 17-8-5(a).

 

The Petitioner notes that he is currently a member and the Vice Chairman of the Tiverton Democratic Town Committee, and is also a member of the Democratic State Representative District 70 Endorsement Committee.  He states that the role of the Tiverton Democratic Town Committee is to endorse local candidates for office in the Town of Tiverton, while the role of the Democratic State Representative District 70 Endorsement Committee is to endorse a candidate for District 70 of the Rhode Island House of Representatives.  The Petitioner seeks an opinion from the Ethics Commission regarding whether the Code of Ethics bars his service on the BOC while simultaneously serving as an officer and member of these two political organizations.

 

Under the Code of Ethics, a public official may not accept other employment that will either impair his independence of judgment as to his official duties or require or induce him to disclose confidential information acquired by him in the course of his official duties.  R.I. Gen. Laws § 36-14-5(b).  Furthermore, 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.  Section 36-14-5(a).  An official will have an interest in substantial conflict with his official duties if he has reason to believe or expect that a "direct monetary gain" or a "direct monetary loss" will accrue, by virtue of the public official's activity, to the official, a family member, a business associate, an employer, or any business which the public official represents.  Section 36-14-7(a).  Furthermore, a public official is also required to recuse from participating in any matter before his agency in which his family member, employer, or business associate appears or presents evidence or argument.  Commission Regulation 36-14-5002(a).  A business associate is defined as "a person joined together with another person to achieve a common financial objective."  Section 36-14-2(3).

 

The Code of Ethics does not directly address or regulate political affiliations and alliances, and does not bar members of a Board of Canvassers from belonging to political committees or to any other particular organization.  See A.O. 2007-45 (opining that a member of the Town of Johnston Board of Canvassers was not prohibited from also being member of the Johnston Republican Town Committee and the Republican State Central Committee); A.O. 2000-20 (opining that a member of the East Providence Board of Canvassers was not prohibited from belonging to political committees or to any other organization).  However, the Code of Ethics does impose restrictions on the official actions that a public official may take in certain matters that involve or financially impact themselves, their family members, employers or business associates.  See sections 36-14-5(a), (c) and (d); Regulation 36-14-5002.

 

The Commission has consistently found that while mere membership in an organization such as a political committee does not create a "business associate" relationship as defined in the Code of Ethics, a business association does exist for those in leadership positions because they direct the financial objectives of the organization.  See A.O. 2006-16 (opining that a candidate for the Westerly Town Council who was an officer of the Westerly Democratic Town Committee was considered a business associate of the organization and its officers); A.O. 2006-50(opining that an officer of the Smithfield Republican Town Committee could serve on the Smithfield Planning Board, but was a business associate of the Committee and his fellow Committee officers).  See also A.O. 2004-01 (opining that a member of the West Warwick Zoning Board of Review, who was also the Vice-Chairman of the West Warwick Democratic Town Committee (“WWDTC”), could not participate in Zoning Board matters in which the Chairman of the WWDTC acted as an attorney, as the petitioner served as an officer in the WWDTC); A.O. 2001-72 (opining that officers of a local Democratic Town Committee in Westerly were considered to be business associates under the Code of Ethics).

 

Similarly, and consistent with our past opinions, it is the opinion of the Rhode Island Ethics Commission that the Petitioner’s position as Vice Chair of the Tiverton Democratic Town Committee and as member of the Democratic State Representative District 70 Endorsement Committee does not preclude his service on the Tiverton BOC.  However, given his position as an officer of the Tiverton Democratic Town Committee the Petitioner is required to recuse from matters before the BOC which involve the Tiverton Democratic Town Committee or its other officers.  Notice of recusal must be filed with the Ethics Commission consistent with the provisions of section 36-14-6.

 

Code Citations:

36-14-2(3)
36-14-5(a)

36-14-5(b)

36-14-5(c)

36-14-5(d)
36-14-6
36-14-7(a)

Regulation 5002

 

Other Statutes

R.I. Gen. Laws § 17-8-1

R.I. Gen. Laws § 17-8-5

 

Related Advisory Opinions:

2007-45

2006-50

2006-16

2004-1

2001-72
2000-20
99-33

Keywords:

Business Associates
Political Activity

 

This Advisory Opinion is strictly limited to the facts stated herein and relates only to the application of the Rhode Island Code of Ethics.  Under the Code of Ethics, advisory opinions are based on the representations made by, or on behalf of, a public official or employee and are not adversarial or investigative proceedings.  Finally, this Commission offers no opinion on the effect that any other statute, regulation, ordinance, constitutional provision, charter provision, or canon of professional ethics may have on this situation. 

 


[1] R.I. Gen. Laws § 17-8-1 Appointment of bipartisan authority. – The legislative body of each city and town shall appoint a bipartisan canvassing authority of three (3) qualified electors of the city or town, not more than two (2) of whom shall belong to the same political party, and may appoint two (2) alternate members, not more than one of whom shall belong to the same political party. At any meeting of the canvassing authority at which a member is to be absent, the member may request that an alternate replace him or her for that meeting; provided, that the alternate member must be of the same political party as the member. The mayor or the president of the town council shall nominate the members of the canvassing authority from lists of party voters submitted by the respective chairpersons of the city or town political committee, which lists shall contain the names of five (5) times the number of persons to be appointed. If the legislative body refuses to approve the nomination of any person to the canvassing authority, the mayor or the president shall submit to the legislative body another person named on one of the lists, and so on until a person is appointed. If the chairperson of the city or town committee of a political party entitled to an appointment fails or refuses to submit a list, the mayor or the president shall nominate any party voter of the political party entitled to the appointment.