Advisory Opinion No. 2016-22 Rhode Island Ethics Commission Advisory Opinion No. 2016-22 Approved: July 19, 2016 Re: Steven Sepe QUESTION PRESENTED: The Petitioner, Registrar of the City of Cranston Board of Canvassers, a municipal appointed position, requests an advisory opinion as to whether he may continue to exercise all of his duties in that position, given that his father is a declared candidate for the office of Mayor of the City of Cranston in the upcoming 2016 election. RESPONSE: It is the opinion of the Rhode Island Ethics Commission that the Petitioner, Registrar of the City of Cranston Board of Canvassers, a municipal appointed position, may continue to serve in that position notwithstanding his father’s declared candidacy for the office of Mayor of the City of Cranston, provided that the Petitioner does not exercise discretionary or decision-making authority with respect to the mayoral election. The Petitioner represents that he is employed as Registrar of the City of Cranston Board of Canvassers (“Board”), having been appointed to that position by the Cranston City Council in January 2013 and reappointed in January 2015. In that capacity, he informs that his duties include, but are not limited to, supervising all elections in the City of Cranston (“City”), certifying all nomination papers from candidates, supervising staff, supervising and processing absentee voting by mail, setting up polling locations and workers throughout the City on election days, and working alongside the State Board of Elections and the Office of the Secretary of State. The Petitioner represents that he reports to a three-member bipartisan Board which approves any election-related actions that he takes or decisions that he makes. The Petitioner further informs that ballot counting is always conducted by Board members. Additionally, the Petitioner states that the canvassing authority consists of three permanent, full-time employees, namely, the Petitioner and two others who report to him. He explains that, during election years, temporary employees that are hired to assist in election matters also report to him directly. The Petitioner seeks guidance as to whether and to what extent the Code of Ethics prohibits or limits his duties as Registrar of the Board, given his father’s declared candidacy for the office of Mayor of the City. Under the Code of Ethics, 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. See R.I. Gen. Laws § 36-14-5(a). A substantial conflict of interest occurs if he has reason to believe or expect that he, 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 § 36-14-7(a). The official further 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 a family member. See R.I. Gen. Laws § 36-14-5(d). In Advisory Opinion 2003-69, the Commission opined that a mail ballot clerk for the City of East Providence Board of Canvassers could continue to serve in that position, notwithstanding her spouse’s potential candidacy for a seat on the East Providence City Council, provided that she did not exercise discretionary or decision-making authority with respect to the City Council election and she recused from participation in any matters affecting the candidacy of her spouse and/or any other City Council candidates. See also A.O. 2001-65 (opining that a Newport Board of Canvassers member could continue to serve in that capacity despite the fact that his spouse was a Newport School Committee candidate, provided that he recused himself from participation and/or vote on all Board matters relating to or affecting the candidacy of his spouse and/or other School Committee candidates); A.O. 2001-64 (opining that the petitioner could manage a mayoral candidate’s campaign while serving on the Woonsocket Board of Canvassers, but was required to recuse from participation in matters relating to or affecting that candidate, other mayoral candidates, and the mayoral election); A.O. 2000-75 (opining that a file clerk at the Board of Canvassers in the City of Cranston could continue to exercise all of her duties in that position, notwithstanding her spouse’s candidacy for City Council, given the petitioner’s representation that her position did not involve exercising discretionary authority that could affect her spouse’s candidacy); and A.O. 98-122 (concluding that a Scituate Board of Canvassers member could continue to serve on the Board notwithstanding her spouse’s candidacy for the Scituate School Committee, provided that she recused herself from participation and/or vote on all Board matters relating to or affecting the candidacy of her spouse and/or other School Committee candidates). Here, the Petitioner represents that his position as Registrar does not involve exercising any discretionary authority that could affect the candidacy of his father or anyone else. As such, the Petitioner would not have an opportunity to use his position to benefit his father. However, because the public responsibilities of the Board of Canvassers include administering an impartial election process, the Petitioner is advised that he should exercise diligence in identifying any actions that he might be asked to take that would involve discretionary authority as to the mayoral election process, and he must recuse from participation in any matters relating to or affecting the candidacy of his father and any other mayoral candidates. If, for example, the certification of signatures on nomination papers involves any exercise of discretion or decision making, then the Petitioner should recuse from such duties as they relate to the mayoral candidates. Such participation would constitute a substantial conflict with the discharge of his duties in the public interest. If and when matters affecting his father or other mayoral candidates come before the Petitioner in his official capacity, he should: (1) advise the Board, in writing, of the nature of his interest in the matter at issue, and (2) recuse from any participation and/or vote in relation to such matters. Notice of recusal should be filed with the Ethics Commission pursuant to R.I. Gen. Laws § 36-14-6. 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) § 36-14-6 § 36-14-7(a) Related Advisory Opinions: A.O. 2001-65 A.O. 2001-64 A.O. 2000-75 A.O. 98-122 Keywords: Candidate Discretionary Authority Family: Public Employment Political Activity