Advisory Opinion No. 2016-24 Rhode Island Ethics Commission Advisory Opinion No. 2016-24 Approved: July 19, 2016 Re: Johanna Harris QUESTION PRESENTED: The Petitioner, a Commissioner of the City of Providence Board of Licenses, a municipal appointed position, requests an advisory opinion regarding whether she may make campaign contributions, or engage in campaigning or fundraising, in support of a political candidate. RESPONSE: It is the opinion of the Rhode Island Ethics Commission that the Petitioner, a Commissioner of the City of Providence Board of Licenses, a municipal appointed position, is not prohibited by the Code of Ethics from making campaign contributions, or engaging in campaigning or fundraising, in support of a political candidate provided that she does so on her own time and without the use of public resources or equipment, and further provided that she does not solicit contributions from her subordinates at the Board of Licenses. The Petitioner is a Commissioner of the City of Providence Board of Licenses (“Board of Licenses”), having been appointed by the Mayor of Providence and approved by the City Council in 2014.[1] According to its website, the five-member Board of Licenses “is responsible for processing a broad range of license applications for the City of Providence (“the City”) as well as regulating licenses. Over 8,000 licenses are issued per year in over 30 different categories, including hackney, food dispensing, peddlers, motor vehicle repair, nightlife operations and over 400 liquor licenses.”[2] The Petitioner states that she wishes to support a particular candidate for election to the Rhode Island Senate who is currently an employee in the City’s Department of Inspections and Standards. The Petitioner states that she may make a personal campaign contribution and public endorsement, and engage in fundraising efforts and other activities, in support of this candidate. The Petitioner notes that this candidate’s opponent for the Senate seat is the incumbent who, apart from his duties as a Senator, also serves as the Chair of the Board of Licenses. In her letter seeking the instant advisory opinion, the Petitioner expressly represents that she would use no resources of the City of Providence in support of her preferred candidate, would make any political contributions out of her own funds, and would not solicit any of her subordinates in the Board of Licenses to make political contributions or otherwise support the candidate. Given these facts and representations, the Petitioner asks whether the Code of Ethics prohibits her contemplated political activities. Under the Code of Ethics, a public official shall not have any interest, financial or otherwise, or engage in any business, employment, transaction or professional activity, or incur any obligation of any nature, which is in substantial conflict with the proper discharge of her duties or employment in the public interest. R.I. Gen. Laws § 36-14-5(a). A substantial conflict of interest exists if an official has reason to believe or expect that she, any person within her family, a business associate or an employer will derive a direct monetary gain or suffer a direct monetary loss by reason of her official activity. Section 36-14-7(a). Furthermore, a public official may not use her public office in any way to obtain financial gain for herself, her family, her business associates, or other employer. Section 36-14-5(d). Finally, the Code of Ethics prohibits a public official such as the Petitioner from soliciting or requesting any political contributions from a subordinate for whom, in her official duties and responsibilities, she exercises supervisory responsibilities. Commission Regulation 36-14-5011(b). For the purposes of this prohibition on solicitations, the term “subordinate” means an employee, contractor, consultant, or appointed official of the Board of Licenses. See Commission Regulation 36-14-5011(c). In applying the above Code provisions and considering whether the Petitioner’s public duties are in conflict with her political activities, the Commission primarily considers: whether the political activities are outside of the scope of her public duties; whether she holds a public position concerning elections; and whether public resources and time would be used in the pursuit of the political activities. See A.O. 2015-24 (opining that a Probate Judge for the City of East Providence, who also works part time as an attorney for the Rhode Island General Assembly, is not prohibited by the Code of Ethics from engaging in political activity for various state and local candidates provided that she does so on her own time and without the use of public resources or equipment); A.O. 2007-12 (opining that a candidate for the Providence Housing Court was not prohibited by the Code of Ethics from continuing his political activity for various federal, state and municipal candidates based upon his representation that he would not use public resources in pursuit of such political activity); A.O. 2005-42 (opining that a Providence Municipal Court Judge was not prohibited by the Code of Ethics from appearing in political advertisements relating to his son’s campaign to become Rhode Island General Treasurer, because his public duties did not involve state-wide elections and he represented that no public time or resources would be used in the pursuit of such political activity). In the present matter, as a Commissioner of the Board of Licenses the Petitioner does not have jurisdiction over local or state elections. Accordingly, provided that the Petitioner engages in the above-described political activities on her own time and without the use of public resources or equipment, and further provided that she does not solicit her subordinates for political contributions or other financial transactions, it is the opinion of the Ethics Commission that the Code of Ethics does not prohibit the Petitioner from making campaign contributions, or engaging in campaigning or fundraising in support of a political candidate. 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. Code Citations: 36-14-5(a) 36-14-5(d) 36-14-7(a) Regulation 5011 Related Advisory Opinions: A.O. 2015-24 A.O. 2008-1 A.O. 2007-12 A.O. 2006-41 A.O. 2005-42 Keywords: Political Activity [1] Appointments to the Board of Licenses are made pursuant to Article XI, Section 1102 of the Providence Home Rule Charter of 1980. Commissioners of the Board of Licenses receive compensation in the amount of approximately $20,000 per year, as established by City ordinance. [2] https://www.providenceri.com/license/about-us