J. Lawrence Dunn Complaint No. 99-3

STATE OF RHODE ISLAND

BEFORE THE RHODE ISLAND ETHICS COMMISSION

In Re: J. Lawrence Dunn Complaint No. 99-3

INFORMAL RESOLUTION AND SETTLEMENT

Respondent J. Lawrence Dunn and the Rhode Island Ethics Commission hereby agree to a resolution of the above- referenced matter as follows:

I. FINDINGS OF FACT AND ADMISSIONS(1)

A. 1998 Financial Disclosure Statement

  1. The Respondent is an elected member of the Charlestown Planning Commission and has held that position from 1984 to the present.
  2. As a Charlestown Planning Commission member, the Respondent is a municipal elected official subject to the financial disclosure requirements set forth in R.I. Gen. Laws § 36-14-16.
  3. Under the provisions of R.I. Gen. Laws § 36-14-16, all municipal and elected state officials are required to file on or before the last Friday in April of each year a financial statement provided by the Commission.
  4. According to mailing lists maintained by the Ethics Commission, the staff of the Commission forwarded a 1998 Financial Statement to the Respondent at his residence on March 17, 1999, more than thirty days prior to the April 30, 1999 filing deadline.
  5. Both the files stored at the Commission headquarters and the corresponding computer records maintained by the Commission reflect that the Respondent did not file his 1998 Financial Statement until December 31, 1999, after both the deadline and the filing of the Complaint in this matter.

B. Failure to Disclose Property Interest

  1. In April of 1994, the Charlestown Tax Collector publicly noticed that “Unknown Parcel No. 11”, located at Tax Assessor’s Map No. 9, Lot No. 61-2, would be sold at tax sale for unpaid taxes. The roughly 3.6 acre “island” property on Ninigret Pond was placed on the Town’s tax rolls in December of 1994 and had no prior record owners.
  2. In response to the tax sale notice, the Respondent and Malcolm Makin discussed purchasing the property for the purpose of establishing blinds for duck hunting. The Respondent and Mr. Makin, both actively involved with the Marsh Neck Rod and Gun Club, believed that the property might be suitable for the Club’s use. They agreed to bid on the property for the Club, and in the event that the Club did not want it, they would keep it for themselves.
  3. On April 21, 1994, Mr. Makin attended the tax sale and successfully bid on the property in the amount of the tax arrears, $1, 921.97. The conveyance to Mr. Makin by tax deed was recorded on April 25, 1994.
  4. By check dated May 21, 1994, the Respondent paid Mr. Makin $961.00 for his one-half ownership interest in the property. The Respondent did not record his ownership interest in the parcel at that time.
  5. Upon closer examination of the property, the Respondent determined that it would not be suitable for duck hunting. The property remained unused, with Mr. Makin paying the annual property taxes on the parcel.
  6. During late 1997, the Respondent and Mr. Makin discussed the possibility of donating the unusable property to the South County Conservancy, Inc., a charitable land trust.
  7. On or about December 24, 1998, Mr. Makin conveyed to the Respondent by quit-claim deed a one-half interest in said property. Immediately thereafter, the Respondent and Mr. Makin quit-claimed their interests in the parcel to the South County Conservancy, for no consideration.
  8. Pursuant to R.I. Gen. Laws § 36-14-17, all individuals required to file Financial Disclosure Statements must list the address or legal description of any real estate, other than their principal residence, in which they, their spouse, or their dependent child has a financial interest.
  9. The Respondent’s 1995, 1996 and 1997 Financial Statements on file with the Commission do not reflect his interest in the property located at Tax Assessor’s Map No. 9, Lot No. 61-2.

II. CONCLUSIONS OF LAW AND SETTLEMENT

A. 1998 Financial Disclosure Statement

  1. The Commission finds that the Respondent, a Charlestown Planning Commission member, is a municipal elected official subject to the financial disclosure requirements set forth in R.I. Gen. Laws § 36-14-16.
  2. The Commission further finds that by failing to file his 1998 Financial Statement until December 31, 1999, after both the April 30, 1999 filing deadline and the filing of the Complaint in this matter, the Respondent violated R.I. Gen. Laws § 36-14-16.

B. Failure to Disclose Property Interest

  1. The Commission finds that during the 1995, 1996 and 1997 calendar years, the Respondent held an equitable interest in real property located at Charlestown Tax Assessor’s Map 9, Lot No. 61-2.
  2. The Commission further finds that the Respondent’s interest in said property amounted to a financial interest that was required to be reported on his 1995, 1996 and 1997 Financial Disclosure Statements in accordance with R.I. Gen. Laws § 36-14-17.
  3. The Commission further finds that by his failure to disclose his interest in said property on his 1995, 1996 and 1997 Financial Statements, the Respondent violated R.I. Gen. Laws § 36-14-17.

C. Mitigating Factors

The Respondent, J. Lawrence Dunn, asserts the following mitigating factors to justify a reduction of the recommended civil penalty of Two Hundred ($200.00) Dollars to a lesser or no monetary sanction.

2. The Respondent has filed Financial Statements with the Commission pursuant to R.I. Gen. Laws § 36-14-16 for each year in which he was so required from 1984 to the present.

3. The Respondent acknowledges that he habitually files his annual Financial Statements several months after the filing deadline. However, he has never failed to file a Financial Statement since his election to the Planning Commission in 1984.

3. The Respondent has a vigorous veterinary practice which includes the provision of services to the Mystic Aquarium in Connecticut. He represents that the Financial Statements fall due during his practice’s busiest season and that he routinely does not file them until his business has slowed down in the fall.

4.The Respondent has never attempted to conceal his interest in the property at issue. On May 21, 1997, he recused himself from participation in a Planning Commission matter involving an abutter to the parcel and disclosed the nature of his interest in said property.

5.In June of 1997, as part of a lawsuit filed by private developers against members of the Charlestown Town Council and Planning Commission, the Respondent was deposed and answered questions about property he owned. The Respondent disclosed his interest in the parcel at issue during the deposition.

6.The Respondent did not take legal title to the property in question until December 24, 1998, at which time he immediately quit-claimed his one-half interest to the South County Conservancy. The Respondent held legal title to the property for a passing moment during its conveyance to the Conservancy.

7.The Respondent did not believe he was required to disclose his interest in the property on his 1995, 1996 and 1997 Financial Statements given that he did not hold title to said property during those years.

D.Settlement

The Respondent agrees that, pursuant to the above Findings of Fact and Conclusions of Law, the Prosecution will recommend, pursuant to R.I. Gen. Laws § 36-14-13(d), the imposition of a civil penalty of $200.00. The Respondent reserves the right to argue for a lesser penalty or the imposition of no penalty.

The above terms represent the full and complete Informal Resolution and Settlement for Complaint No. 99-3.

Footnote (1) In addition to the allegations addressed herein, the Complaint in this matter contained various, vague allegations that the Respondent somehow violated the Code of Ethics by participating in a “questionable” real estate transaction that originated with the Charlestown Tax Assessor’s Office. Said allegations do not set forth sufficient facts to support a violation of the Code of Ethics. Further, the investigation conducted by the Commission in this matter revealed no evidence that the Respondent’s purchase of property located at Tax Assessor’s Map No. 9, Lot No. 61-2, and its subsequent conveyance to the South County Conservancy, Inc., violated any provisions of the Code of Ethics, R.I. Gen. Laws § 36-14-1, et seq..

Katherine Tammelleo, Commission Prosecutor

J. Lawrence Dunn, Respondent

Note: The Commission accepted the Settlement, but did not impose a civil penalty (April 4, 2000).