Advisory Opinion No. 97-17

Re: Frank J. Alfano

A. QUESTION PRESENTED

Whether the Petitioner, a recently elected member of the Warren Town Council, who also serves on the Board of Directors for the Bristol County Water Authority ("the Water Authority") may a) remain on the Board of the Water Authority while simultaneously serving on the Warren Town Council, and b) may continue to be compensated as a member of the Board given that his original appointment to that position was made by the Warren Town Council, albeit prior to his becoming a member of that body.

B. SUMMARY

The Petitioner may simultaneously serve on the Town Council and the Water Authority and be compensated, provided that service does not otherwise present conflicts under the Code of Ethics. See Commission Regulation 5006. He may not, however, seek or accept reappointment to the Water Authority so long as he remains a member of the Town Council and for one year after the expiration of his service as a member of the Council. The Petitioner may not appear before either the Town Council or the Water Authority, representing the interests of the other entity. See R.I. Gen. Laws § 36-14-5(e). Finally, the Petitioner may not take any action as a member of the Town Council or as a member of the Water Authority that would directly or indirectly benefit himself as a member of the other entity.

C. FACTS

In February, 1995, the Warren Town Council unanimously appointed the Petitioner to a three-year term as a member of the Board of Directors of the Bristol County Water Authority. The appointment was made through an open interview process, a new requirement under the Town Charter. Members of the Board serve at the pleasure of the Town Council. The Water Authority's Board consists of three members each from Warren, Bristol and Barrington. Members of the Board are compensated $35.00 for each meeting attended; the maximum annual compensation is $1000.00. At the time of his appointment the Petitioner was not a member of the Warren Town Council.

On November 5, 1996, the Petitioner won election to a four year term on the Warren Town Council and was sworn in on December 3, 1996. The compensation for serving on the Town Council is $1200.00 per year.

D. DISCUSSION

Commission Regulation 36-14-5006 provides that no elected or appointed official may accept an appointment by the body of which he or she is a member to any position which carries with it financial benefit or remuneration. Here, the Petitioner received his appointment to the Water Authority before he was a member of, or even a candidate for election to, the Warren Town Council. Therefore, the Petitioner may simultaneously serve on the Town Council and the Water Authority, provided that service does not otherwise present conflicts under the Code of Ethics. He may not, however, seek or accept reappointment to the Water Authority so long as he remains a member of the Town Council and for one year after the expiration of his service as a member of the Council.

In that regard, R.I. Gen. Laws § 36-14-5(e) provides, inter alia, that no public official may represent any other person before a state or municipal agency of which he or she is a member. This restriction would apply to an appearance by the Petitioner before either the Town Council or the Water Authority were the purpose of the appearance to press the interests of the other entity of which he was a member.

In addition, the prohibitions set out in R.I. Gen. Laws § 36-14-5(a), (b) and (d), in general, preclude an official from taking action that would benefit himself or herself, a family member or a business associate. Therefore, the Petitioner may not take any action as a member of the Town Council or as a member of the Water Authority that would directly or indirectly benefit himself as a member of the other entity.

Finally, Section 36-14-2(8) of the Code of Ethics defines "business associate" as a "person joined together with another person to achieve a common financial objective." The underlying definition of "business" does not, however, extend to public entities such as the Town Council or the Water Authority. Therefore, the Code of Ethics does not prohibit the Petitioner from participating in matters relating to, or even benefiting, the Water Authority while a member of the Town Council, or vice versa, so long as the matters at issue do not involve potential direct or indirect benefit to himself.

Code Citations:

36-14-2(8)

36-14-5(a)

36-14-5(b)

36-14-5(d)

36-14-5(e)

36-14-5006

Related Advisory Opinions:

96-26

94-55

94-48

Keywords:

dual public roles