Advisory Opinion No. 95-3

Re: Constance A. Howes, Esq.

Pursuant to a letter dated October 28, 1994 received in the Office of the Ethics Commission on October 31, 1994, from Constance A. Howes, Esq.

  1. Constance A. Howes is an attorney in the offices of Tillinghast, Collins & Graham. Tillinghast, Collins & Graham serves as counsel to the Rhode Island Housing and Mortgage Finance Corporation ("Rhode Island Housing"). It requests advice from the Ethics Commission regarding the activities of Richard H. Godfrey, Jr. and George A. Calcagni.
  2. Richard H. Godfrey, Jr. serves as Executive Director of Rhode Island Housing. Rhode Island Housing is supervised and controlled by a Board of Commissioners. Mr. Godfrey reports directly to and serves at the pleasure of the Board of Commissioners.
  3. George A. Calcagni is Vice-Chairman and a member of the Board of Commissioners of Rhode Island Housing.
  4. In connection with a private land development, Mr. Calcagni has filed an appeal with the Housing Appeals Board.
  5. The Housing Appeals Board is a state agency which includes within its jurisdiction the location for subsidized low income housing within the state. By virtue of statutory designation, Mr. Godfrey serves as one of nine members of the Housing Appeals Board.
  6. Mr. Calcagni's business interests would be coming before Mr. Godfrey in his capacity as a member of the Housing Appeals Board.
  7. Ms. Howes requests advice from the Ethics Commission as to whether such activities are permitted under the Code of Ethics.

This Advisory Opinion is addressed to Constance A. Howes, Esq. Ms. Howes is an attorney with the offices of Tillinghast, Collins & Graham. Tillinghast, Collins & Graham serves as counsel to Rhode Island Housing and Mortgage Finance Corporation ("Rhode Island Housing"). Richard H. Godfrey, Jr. serves as Executive Director of

Rhode Island Housing. By virtue of Mr. Godfrey's employment as Executive Director of Rhode Island Housing, he simultaneously serves as one of nine members of the Housing Appeals Board established by R.I. Gen. Laws § 45-53-7.

Rhode Island Housing's powers of a corporation are vested in a seven member Board of Commissioners. The Executive Director of Rhode Island Housing reports directly to and serves at the pleasure of the Board of Commissioners. George A. Calcagni serves as Vice-Chairman and a member of the Board of Commissioners of Rhode Island Housing.

Ms. Howes has advised us that Mr. Calcagni has filed an appeal with Housing Appeals Board regarding land he owns upon which an unaffiliated charitable organization proposes to locate subsidized low income housing. She requests advice as to the manner in which Mr. Godfrey and Mr. Calcagni may participate or vote on matters given their status as described.

We first conclude that the offices of the Board of Commissioners of Rhode Island Housing and Executive Director of Rhode Island Housing are "business associates" as defined by R.I. Gen. Laws § 36-14-2(8) in that they have a single goal of betterment and financial success for Rhode Island Housing. Because of the relationship between Mr. Godfrey and Mr. Calcagni in connection with their responsibilities at Rhode Island Housing, we conclude that in connection with Mr. Calcagni's appeal before the Housing Appeals Board, R.I. Gen. Laws § 36-14-5(f) requires that whenever such a matter appears before Mr. Godfrey, he should (a) advise the agency in writing of the nature of his business relationship with Mr. Calcagni, and (b) recuse from voting or otherwise participating in the agency's consideration and disposition of the matter.

During the pendency of Mr. Calcagni's appeal, we likewise advise Mr. Calcagni that in connection with his service as a Vice-Chairman and member of the Board of Commissioners of Rhode Island Housing, he must exercise notice and recusal whenever any matter appears before him involving Mr. Godfrey's position with the agency such as personnel issues and the like.

We recognize that under the State Housing Appeals Board, the Housing Appeals Board may request a staff analysis of an appeal from Rhode Island Housing. In the event such request is made, we advise Mr. Godfrey to refer the matter to another employee within the agency and at all times to recuse from any participation within the agency in connection with said matter.

We remind all parties that all recusal notices should be in writing and a copy of same should be filed with the Ethics Commission as required by R.I. Gen. Laws § 36-14-6.

Keywords

Business Associate

Dual Public Roles