Re: James A. DiPrete
QUESTION PRESENTED
The petitioner, the Chairperson of the Rhode Island Board of Regents for Elementary and Secondary Education, a state appointed position, requests an advisory opinion as to whether he may accept private employment as Director of the Rhode Island Association of School Principals (RIASP).
RESPONSE
It is the opinion of the Rhode Island Ethics Commission that the petitioner, the Chairperson of the Rhode Island Board of Regents for Elementary and Secondary Education, a state appointed position, may accept private employment as the Director of the Rhode Island Association of School Principals (RIASP) provided that, as a member of the Board of Regents, he recuses himself from participation and/or vote on any matters which may financially impact the RIASP, his employer and business associate under the Code of Ethics.
The Rhode Island Association of School Principals (RIASP) is a private, non-profit organization with membership comprised of principals and other various full-time administrators from public and private schools. Its goal is to improve the quality of education by promoting excellence in student achievement and professional development opportunities. The petitioner hopes to accept part-time employment as the RIASP’s Director and represents that his duties as Director primarily would involve administrative tasks to organize and coordinate the activities of the RIASP. He indicates that he would not be required to appear before the Board of Regents on behalf of the RISAP. He further advises that the Board is in the initial stages of developing re-certification guidelines for teachers and administrators, which likely will vary among school districts. He is uncertain whether the RISAP will sponsor any re-certification programs in the future.
Under the Code of Ethics, the petitioner 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. A substantial conflict of interest occurs if he has reason to believe or expect that he or any family member or business associate, or any business by which he is employed, will derive a direct monetary gain or suffer a direct monetary loss by reason of his official activity. See R.I. Gen. Laws §§ 36-14-5(a), 7(a). He may not accept other employment which will impair his independence of judgment as to his official duties. See R.I. Gen. Laws § 36-14-5(b). He also is prohibited from using his public position or confidential information received through his position to obtain financial gain, other than that provided by law, for himself, a business associate, or any business by which he is employed or represents. See R.I. Gen. Laws § 36-14-5(d). The Code further requires the petitioner to recuse himself from voting or otherwise participating in the consideration and/or disposition of a matter involving a business associate. See R.I. Gen. Laws § 36-14-5(f). Under R.I. Gen. Laws § 36-14-2(3), a “business associate” is defined as any individual or entity joined with a public official “to achieve a common financial objective”.
The Commission previously has ruled that public officials must recuse from participation in matters when their employer or business associate’s interest appears before them. This is often the case when the official is a private member of a board and selected for his/her experience that directly relates to the board’s mission and/or subject matter. Recently, the Commission advised members of the Governor’s Justice Commission Violence Against Women Planning Committee that they could not participate in grant recommendations where his/her employer or the nonprofit entity where he/she sits on the organization’s board of directors is a grant applicant. See A.O. 99-35. See also A.O. 98-10 (concluding that members of the Batterers Intervention Program Standards Oversight Committee and its subcommittees may not participate in any certification, appeal, variance, or other substantive matter if they are employed by or are members of the Board of Directors of an organization, or the parent or sister of that organization, that has a Batterers Intervention Program that would be affected by the matter under consideration by the Oversight Committee); and A.O. 97-93 (advising that Health Department Non-Disciplinary Alternative Program Advisory Panel member should not participate in matters once a nurse has chosen the petitioner’s employer to serve as her case manager).
Here, the Commission concludes that the petitioner may accept private employment as the Director of the Rhode Island Association of School Principals (RIASP). His employment with that private entity would not, in and of itself, constitute a conflict of interest under the Code of Ethics. However, as the RIASP’s Director, the petitioner has a business association with that entity that triggers the prohibitions set forth in R.I. Gen. Laws §§ 36-14-5(a), 5(d) and 5(f). Accordingly, in the event that matters specifically relating to the RIASP come before him as a member of the Board of Regents, he must recuse himself from any participation and/or voting in connection with said matters. Notice of recusal should be filed with the Ethics Commission and Board of Regents in accordance with R.I. Gen. Laws § 36-14-6.
In short, the Code requires that the petitioner recuse from participating in any matter that could impact his employer financially. Here, the Board of Regents is in the initial stage of establishing re-certification standards for teachers and administrators. In the event that the RIASP sponsors re-certification programs in the future, the petitioner must recuse himself from participating in the Board’s consideration of matters concerning such programs. Finally, the petitioner is reminded that he may not appear before the Board of Regents on behalf of the RIASP while affiliated with RIASP for a period of one-year following the expiration of his term of office from the Board. See R.I. Gen. Laws § 36-14-5(e).
Code Citations:
36-14-2(3)
36-14-5(a)
36-14-5(b)
36-14-5(d)
36-14-5(e)
36-14-5(f)
36-14-6
36-14-7(a)
Related Advisory Opinions:
99-84
99-77
99-64
99-35
99-5
98-131
98-111
98-10
97-142
97-93
97-88
97-19
97-4
96-77
96-72
96-46
96-42
95-66
95-43
92-17
90-50
Keywords:
Business Associate
Non-profit Boards
Private Employment
Prospective Employment
Recusal