Rhode Island Code of Ethics
Definitions & Prohibited Activities
RHODE ISLAND GENERAL LAWS, §
36-14-1 et seq.,
R.I. Gen. Laws § 36-14-1 Declaration of
Policy.
It is the policy of the state of Rhode
Island that public officials and employees must adhere to the
highest standards of ethical conduct, respect the public trust
and the rights of all persons, be open, accountable and
responsive, avoid the appearance of impropriety, and not use
their position for private gain or advantage.
R.I. Gen. Laws § 36-14-2 Definitions.
(1) "Any person within his or her family"
means a spouse and any dependent children of any public official
or public employee as well as a person who is related to any
public official or public employee, whether by blood, adoption
or marriage, as any of the following: father, mother, son,
daughter, brother, sister, grandfather, grandmother, grandson,
granddaughter, father-in-law, mother-in-law, brother-in-law,
sister-in-law, son-in-law, daughter-in-law, stepfather,
stepmother, stepson, stepdaughter, stepbrother, stepsister,
halfbrother or halfsister.
(2) "Business" means a sole proprietorship,
partnership, firm, corporation, holding company, joint stock
company, receivership, trust or any other entity recognized in
law through which business for profit or not for profit is
conducted;
(3) "Business associate" means a person
joined together with another person to achieve a common
financial objective;
(4) "Employees of state and local
government, of boards, commissions and agencies" means any
full-time or part-time employees in the classified,
non-classified and unclassified service of the state or of any
city or town within the state, any individuals serving in any
appointed state or municipal position, and any employees of any
public or quasi-public state or municipal board, commission or
corporation;
(5) "Governmental function" means any action
that is public in nature and is performed for the common good of
all the people;
(6) "Open and public process" means the open
solicitation for bids or proposals from the general public by
public announcement or public advertising followed by a public
disclosure of all bids or proposals considered and contracts
awarded;
(7) "Person" means an individual or a
business entity;
(8) (i) "State agency" means any department,
division, agency, commission, board, office, bureau, authority,
or quasi-public authority within Rhode Island, either branch of
the Rhode Island general assembly, or any agency or committee
thereof, the judiciary, or any other agency that is in any
branch of Rhode Island state government and which exercises
governmental functions other than in an advisory nature;
(ii) "Municipal agency" means any
department, division, agency, commission, board, office, bureau,
authority quasi-public authority, or school, fire or water
district within Rhode Island, other than a state agency and any
other agency that is in any branch of municipal government and
exercises governmental functions other than in an advisory
nature;
(9) "State or municipal appointed official"
means any officer or member of a state or municipal agency as
defined herein who is appointed for a term of office specified
by the constitution or a statute of this state or a charter or
ordinance of any city or town or who is appointed by or through
the governing body or highest official of state or municipal
government;
(10) "State or municipal elected official"
means any person holding any elective public office pursuant to
a general or special election;
(11) A person's natural child, adopted
child, or stepchild is his or her "dependent child" during a
calendar year if the person provides over fifty percent (50%) of
the child's support during the year;
(12) A person "represents" him or herself
before a state or municipal agency if he or she participates in
the presentation of evidence or arguments before that agency for
the purpose of influencing the judgment of the agency in his or
her own favor;
(13) A person "represents" another person
before a state or municipal agency if he or she is authorized by
that other person to act, and does in fact act, as the other
person's attorney at law or his or her attorney in fact in the
presentation of evidence or arguments before that agency for the
purpose of influencing the judgment of the agency in favor of
that other person;
(14) "Major decision-making position" means
the executive or administrative head or heads of a state agency,
whether elected or appointed or serving as an employee and all
members of the judiciary, both state and municipal. For state
agencies, a "major decision-making position" shall include the
positions of deputy director, executive director, assistant
director and chief of staff.
Regulation 36-14-2 (1) "State or
municipal elected official" means any person duly elected to or
holding any elective public office pursuant to a general or
special election.
Regulation 36-14-2001 (Additional
Definitions).
(14) Complainant: A person or persons who
files a sworn statement with the Commission against a person
subject to the statute containing allegations of prohibited
activities.
(15) Respondent: A person against whom a
complaint has been filed.
(16) Business subject to direct state or
municipal regulation: A business which is directly regulated by
a state or municipal agency as defined herein other than in a de
minimus manner. This includes a business funded with state or
municipal funds or federal funds disbursed by a state or
municipal agency. If a specific regulatory body exists to
control or supervise the business, and such body regulates and
monitors the business' activities, it is a business subject to
direct regulation. Utilities, insurance companies and regulated
financial institutions are included. A business is not directly
regulated because it is subject to general laws, tax or health
laws for example, applicable to all businesses or, the fact that
a business requires a license to operate, or a professional
license is obtained. Businesses regulated by professional boards
and occupational boards are excluded.
(17) Cash value interest: Cash value
interest is an ownership interest or a financial interest in the
nature of an investment such as bonds, notes, debentures,
mortgages and similar business investment interests. Deposits in
any financial institution, savings and checking accounts, shares
in a credit union or a cooperative bank, life insurance policies
and annuities are not included.
(18) Doing business: Engaging in a financial
transaction, about which the public official has actual or
constructive knowledge, which transaction constitutes a loan,
purchase, sale or other type of transfer or exchange of money,
goods, other property, or services for value. Doing business
does not include the retail purchase of consumer goods bought
primarily for personal, family or household purposes, and
financial transactions of a personal nature, such as personal
loans and individual insurance transactions.
(19) Income: Any money or thing of value
received or to be received as a claim on future services whether
in form of a fee, salary, expenses, allowance, forbearance,
forgiveness, interest, dividend, royalty, rent, capital gain, or
any other form of recompense that constitutes income under the
Federal Internal Revenue Code.
(20) Ownership interest: An interest in
stock, assets, net profits, or losses of a business. The value
of an ownership interest is determined at its highest fair
market value in the calendar year.
(21) Persons within the third degree of
consanguinity: Persons within the third degree of consanguinity
include any of the following relations: Brothers, sisters,
parents, sons, daughters, grandparents, great grandparents,
grandchildren. great grand- children, uncles, aunts, brothers
and sisters-in- law, mothers and fathers-in-law, nieces and
nephews, grandsons and granddaughters-in-law, and sons and
daughters-in-law.
(22) State or municipal agency: Shall also
include any group of persons, or corporations, organization, or
other entity, however created, which:
(a) exercises governmental functions other
than in an advisory nature, and expends public funds in excess
of $10,000 yearly, or;
(b) those entities whose directors or other
governing members are appointed by or through the governing body
or highest official of state or municipal government.
(23) Political party officials: Elected or
appointed officers in a state, county, town or city political
party organization are not elected or appointed officials
subject to this act.
Regulation 36-14-2002 Additional
Definitions (see R.I. Gen. Laws 36-14-2)
(1) "State or municipal elected official"
means any person holding any elective public office pursuant to
a general or special election;
(2) "State or municipal appointed official"
means any officer or member of a state or municipal agency as
defined herein who is appointed to an office specified by the
constitution or a statute of this state or a charter or
ordinance of any city or town or who is appointed by, through or
with the advice and consent of a governing body, or any court,
in state or municipal government, or highest official of state
or municipal government;
(3) "Employees of state and local
government, of boards, Commissions and agencies" means:
(a) any individual receiving a salary from a
state or municipal agency, whether elected or not, on a
full-time or part-time basis;
(b) any individual in the classified,
non-classified and unclassified service of the judicial,
executive and legislative branches of state government;
(c) any individual in the classified,
non-classified and unclassified service of any municipality
within the state;
(d) any individual receiving a salary from
any public or quasi-public state or municipal board, commission,
corporation, or other public or quasi-public agency however
named; and,
(e) any state or municipal appointed
official who receives a salary or stipend for their appointed
service.
(4) (a) "State agency" means any department,
division, agency, commission, board, office, bureau, authority,
corporation or subsidiary, or quasi-public authority within the
executive branch of the state government of Rhode Island, either
branch of the Rhode Island general assembly, or any agency or
committee thereof, the judiciary, or any other department,
division, agency, commission, board, office, bureau, authority,
corporation or subsidiary, or quasi-public authority that is in
any branch of the Rhode Island state government and which
exercises governmental functions other than in a purely advisory
nature;
(b) “Municipal agency" means any department,
division, agency, commission, board, office, bureau, authority,
corporation or subsidiary, quasi-public authority, or school,
fire or water district within Rhode Island, other than a state
agency, and whether comprised of officials and employees from a
single or multiple municipalities, and any other agency that is
in any branch of municipal government and which exercises
governmental functions other than in a purely advisory nature.
R.I. Gen. Laws § 36-14-3 Code of Ethics.
Sections 36-14-4 through 36-14-7 of this
chapter shall constitute the Rhode Island Code of Ethics in
government.
R.I. Gen. Laws § 36-14-4 Persons subject
to the Code of Ethics.
The following persons shall be subject to
the provisions of the Rhode Island Code of Ethics in government:
(1) State and municipal elected officials;
(2) State and municipal appointed officials;
and
(3) Employees of state and local government,
of boards, Commissions, and agencies.
R.I. Gen. Laws § 36-14-5 Prohibited
Activities.
(a) No person subject to this Code of Ethics
shall have any interest, financial or otherwise, direct or
indirect, 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
his or her duties or employment in the public interest and of
his or her responsibilities as prescribed in the laws of this
state, as defined in section 36-14-7.
(b) No person subject to this Code of Ethics
shall accept other employment which will either impair his or
her independence of judgment as to his or her official duties or
employment or require him or her, or induce him or her, to
disclose confidential information acquired by him or her in the
course of and by reason of his or her official duties.
(c) No person subject to this Code of Ethics
shall willfully and knowingly disclose, for pecuniary gain, to
any other person, confidential information acquired by him or
her in the course of and by reason of his or her official duties
or employment or use any such information for the purpose of
pecuniary gain.
(d) No person subject to this Code of Ethics
shall use in any way his or her public office or confidential
information received through his or her holding any public
office to obtain financial gain, other than that provided by
law, for him or herself or any person within his or her family,
any business associate, or any business by which the person is
employed or which the person represents.
(e) No person subject to this Code of Ethics
shall:
(1) Represent him or herself before any
state or municipal agency of which he or she is a member or by
which he or she is employed. In cases of hardship the Ethics
Commission may permit such representation upon application by
the official and provided that he or she shall first:
(i) Advise the state or municipal agency in
writing of the existence and the nature of his or her interest
in the matter at issue, and
(ii) Recuse him or herself from voting on or
otherwise participating in the agency's consideration and
disposition of the matter at issue, and
(iii)Follow any other recommendations the
Ethics Commission may make to avoid any appearance of
impropriety in the matter.
(2) Represent any other person before any
state or municipal agency of which he or she is a member or by
which he or she is employed.
(3) Act as an expert witness before any
state or municipal agency of which he or she is a member or by
which he or she is employed with respect to any matter the
agency's disposition of which will or can reasonably be expected
to directly result in an economic benefit or detriment to him,
or herself, or any person within his or her family or any
business associate of the person or any business by which the
person is employed or which the person represents.
(4) Shall engage in any of the activities
prohibited by subsection (e)(l), (e)(2) or (e)(3) of this
section for a period of one year after he or she has officially
severed his or her position with said state or municipal agency;
provided, however, that this prohibition shall not pertain to a
matter of public record in a court of law.
(f) No business associate of any person
subject to this Code of Ethics shall represent him or herself or
any other person or act as an expert witness before the state or
municipal agency of which the person is a member or by which the
person is employed unless:
(1) He or she shall first advise the state
or municipal agency of the nature of his or her business
relationship with the said person subject to this Code of
Ethics; and
(2) The said person subject to this Code of
Ethics shall recuse him or herself from voting on or otherwise
participating in the said agency's consideration and disposition
of the matter at issue.
(g) No person subject to this Code of Ethics
or spouse (if not estranged) or dependent child or business
associate of the person or any business by which the person is
employed or which the person represents, shall solicit or accept
any gift, loan, political contribution, reward, or promise of
future employment based on any understanding that the vote,
official action, or judgment of the person would be influenced
thereby.
(h) No person subject to this Code of Ethics
and or any person within his or her family or business associate
of the person or any business entity in which the person or any
person within his or her family or business associate of the
person has a ten percent (10%) or greater equity interest or
five thousand dollars ($5,000) or greater cash value interest,
shall enter into any contract with any state or municipal agency
unless the contract has been awarded through an open and public
process, including prior public notice and subsequent public
disclosure of all proposals considered and contracts awarded;
provided, however, that contracts for professional services
which have been customarily awarded without competitive bidding
shall not be subject to competitive bidding if awarded through a
process of public notice and disclosure of financial details.
(i) No person shall give or offer to any
person covered by this Code of Ethics, or to any candidate for
public office, or to any person within his or her family or
business associate of any such person, or to any business by
which said person is employed or which the person represents,
any gift, loan, political contribution, reward or promise of
future employment based on any understanding or expectation that
the vote, official action or judgment of said person would be
influenced thereby.
(j) No person shall use for any commercial
purpose information copied from any statements required by this
chapter or from lists compiled from such statements.
(k) No person shall knowingly and willfully
make a false or frivolous complaint under this chapter.
(l) No candidate for public office or any
person within his or her family or business associate of the
candidate or any business by which the candidate is employed or
which the candidate represents, shall solicit or accept any
gift, loan, political contribution, reward, or promise of future
employment based on any understanding that the vote, official
action or judgment of the candidate would be influenced thereby.
(m) No person subject to this Code of
Ethics, shall, either directly, or indirectly, through any
government agency, or through a business associate, or through
any other person, threaten or intimidate any complainant or
witness or any family member of any complainant or witness in
any proceeding before the state Ethics Commission.
(1) In addition to any rights a complainant
or witness may have under the Rhode Island Whistleblower Act,
chapter 50 of title 28 or under any other statute, a complainant
or witness may bring a civil action in superior court for
appropriate injunctive relief, or actual damages, or both and
attorney's fees within three (3) years after the occurrence of
the alleged violation of section (m) above.
(2) The initiation of litigation by a
complainant or witness pursuant to section (m)(l) shall not
constitute a violation of any confidentiality provisions of this
chapter.
(n) (1) No state elected official, while
holding state office and for a period of one (1) year after
leaving state office, shall seek or accept employment with any
other state agency, as defined in section 36-14-2(4), other than
employment which was held at the time of the official's election
or at the time of enactment of this subsection, except as
provided herein.
(2) Nothing contained herein shall prohibit
any general officer or the general assembly from appointing any
state elected official to a senior policy-making, discretionary,
or confidential position on the general officer's or the general
assembly's staff, and in the case of the governor, to a position
as a department director; nor shall the provisions herein
prohibit any state elected official from seeking or accepting a
senior policy-making, discretionary, or confidential position on
any general officer's or the general assembly's staff, or from
seeking or accepting appointment as a department director by the
governor.
(3) Nothing contained herein shall prohibit
a state elected official from seeking or being elected for any
other constitutional office.
(4) Nothing contained herein shall prohibit
the Rhode Island Ethics Commission from authorizing exceptions
to this subsection where such exemption would not create an
appearance of impropriety.
(o) (1) No person holding a senior
policy-making, discretionary, or confidential position on the
staff of any state elected official or the general assembly
shall seek or accept any other employment by any state agency as
defined in section 36-14-2(4), while serving as such
policy-making, discretionary, or confidential staff member and
for a period of one (1) year after leaving such state employment
as a member of the state elected official's of the general
assembly's senior policy-making, discretionary, or confidential
staff.
(2) Notwithstanding the foregoing, a person
holding a senior policy-making, discretionary, or confidential
staff position who has a minimum of five (5) years of
uninterrupted state service shall be exempt from the provisions
of this section. "State service" as used herein means service in
the classified, unclassified and nonclassified services of the
state, but shall not include service in any state elective
office.
(3) Nothing contained herein shall prohibit
any general officer or the general assembly from appointing any
such senior policy-making, discretionary, or confidential member
of the staff of any state elected official or the general
assembly to any other senior policy-making, discretionary, or
confidential position on any general officer's or the general
assembly's staff, and in the case of the governor, to a position
as a department director; nor shall the provisions hereof
prohibit any senior policy-making, discretionary, or
confidential member of the staff of any state elected official
or the general assembly from seeking or accepting any other
senior policy-making, discretionary, or confidential position on
any general officer's or the general assembly's staff, or from
seeking or accepting appointment as a department director by the
governor.
(4) Nothing contained herein shall prohibit
a person holding such a senior policy-making, discretionary, or
confidential staff position from seeking or being elected for
any constitutional office.
(5) Nothing contained herein shall prohibit
the Rhode Island Ethics Commission from authorizing exceptions
to this subsection where such exemption would not create an
appearance of impropriety.
Regulation 36-14-5001 Access to
Commission records.
(1) All Commission records, other than those
listed within R.I. Gen. Laws § 38-2-2(d) (Access to Public
Records) and those relating to investigations of Complaints,
shall be open to public inspection at reasonable times. Those
persons wishing to shall be entitled to review said information
during normal Commission hours, and upon prior notice and
request. Copies of such public material shall be available to
all persons subject to the payment of costs as provided for in
R.I. Gen. Laws § 38-2-4.
(2) This amendment shall take effect
December 18, 1991, and shall relate to any complaint filed with
the Commission on or after December 18, 1991.
Regulation 36-14-5002 Additional
circumstances warranting recusal.
A person subject to this Code of Ethics must
also recuse himself from participation and notify, in writing,
his [or her] board/agency of an interest when any of the
following circumstances arises:
1. His or her spouse (if not estranged) or
dependent child appears before his or her board/agency.
2. His or her business associate, spouse (if
not estranged) or dependent child authorizes another person to
act as attorney-at-law or attorney-in-fact and that authorized
individual appears before his or her board/agency representing
his or her business associate, spouse (if not estranged) or
dependent child.
3. His or her employer, or the interests of
his or her employer appear before his or her board/agency.
Regulation 36-14-5003 Limitations on
recusal.
The notice and recusal provisions of
sections 36-14-5 (e)(l) and 36-14-5(f) shall not be interpreted
so as to permit a person subject to this chapter to make use of
such provisions on a regular basis. If such actions occur with
such frequency as to give the appearance of impropriety, the
person subject to this chapter may be deemed to have violated
the provisions of this chapter, unless such actions are
necessitated by circumstances beyond the control of such person
and are the only legal course of action available to such person
in order to protect a vested property interest.
Regulation 36-14-5005 Nepotism.
The prohibitions contained herein which
relate to the spouse or dependent child of a person subject to
this Code of Ethics, except as to that activity described in
Section 5(h), shall also pertain to any of the following
relatives of such person, whether by blood, marriage or
adoption: Parents, grandparents, adult children, siblings,
grandchildren, uncles, aunts, nieces, nephews and first cousins.
Regulation 36-14-5006 Employment From own
Board.
No elected or appointed official may accept
any appointment or election by the body of which he or she is or
was a member, to any position which carries with it any
financial benefit or remuneration, until the expiration of one
(1) year after termination of his or her membership in or on
such body, unless the Ethics Commission shall give its approval
for such appointment or election, and, further provided, that
such approval shall not be granted unless the Ethics Commission
is satisfied that denial of such employment or position would
create a substantial hardship for the body, board, or
municipality.
Regulation 36-14-5007 Prohibition on
State Employment.
No member of the General Assembly shall seek
or accept state employment as an employee or consultant, not
held at the time of the member's election, while serving in the
General Assembly and for a period of one (1) year after leaving
legislative office.
Regulation 36-14-5008 Acting as Agent or
Attorney for Other than State or Municipality.
(a) No state appointed or elected official
or employee, who exercises fiscal or jurisdictional control over
any state agency, board, Commission or governmental entity,
shall act, for compensation, as an agent or attorney before such
agency, board, Commission or governmental entity for any person
or organization in any particular matter in which the state has
an interest or is a party, unless:
(1) such representation is in the proper
discharge of official duties; or
(2) such official or employee is acting as a
representative of a duly certified bargaining unit of state or
municipal employees; or
(3) such appearance is before a state court
of public record; or
(4) the particular matter before the state
agency requires only ministerial acts, duties, or functions
involving neither adversarial hearings nor the authority of the
agency to exercise discretion or render decisions.
(b) No municipal appointed or elected
official or employee, who exercises fiscal or jurisdictional
control over any municipal agency, board, Commission or
governmental entity, shall act, for compensation, as an agent or
attorney before such agency, board, Commission or governmental
entity for any person or organization in any particular matter
in which the municipality has an interest or is a party, unless:
(1) such representation is in the proper
discharge of official duties; or
(2) such official or employee is acting as a
representative of a duly certified bargaining unit of state or
municipal employees, or
(3) such appearance is before a state court
of public record; or
(4) the particular matter before the
municipal agency requires only ministerial acts, duties or
functions involving neither adversarial hearings nor the
authority of the agency to exercise discretion or render
decisions.
(c) For purposes of this Regulation, "fiscal
control" shall include, but is not necessarily limited to,
authority to approve or allocate funds or benefits for the
applicable state or municipal entity.
(d) For purposes of this Regulation,
"jurisdictional control" shall include, but is not necessarily
limited to, appointing authority, appellate review, or other
substantive control in connection with the operation of the
applicable state or municipal entity.
Regulation 36-14-5009 Prohibited
Activities - Gifts.
(a) No person subject to the Code of Ethics,
either directly or as the beneficiary of a gift or other thing
of value given to a spouse or dependent child, shall accept or
receive any gift of cash, forbearance or forgiveness of
indebtedness from an interested person, as defined herein,
without the interested person receiving lawful consideration of
equal or greater value in return.
(b) No person subject to the Code of Ethics,
either directly or as the beneficiary of a gift or other thing
of value given to a spouse or dependent child, shall accept or
receive any gift(s) or other thing(s) having either a fair
market value or actual cost greater than twenty-five dollars ($
25), but in no case having either an aggregate fair market value
or aggregate actual cost greater than seventy-five dollars ($
75) in any calendar year including, but not limited to, gifts,
loans, rewards, promises of future employment, favors or
services, gratuities or special discounts, from a single
interested person, as defined herein, without the interested
person receiving lawful consideration of equal or greater value
in return.
(1) For purposes of this regulation a
"single interested person" shall include all employees or
representatives of an individual, business, organization or
entity.
(2) The prohibitions in this section do not
apply if the gift or other thing of value is:
(a) a campaign contribution as defined by
the laws of the state;
(b) services to assist an official or
employee in the performance of official duties and
responsibilities, including but not limited to providing advice,
consultation, information, and communication in connection with
legislation, and services to constituents; or,
(c) a plaque or other similar item given in
recognition of individual or professional services in a field of
specialty or to a charitable cause;
(c) "Interested person," for purposes of
this section, means a person or a representative of a person or
business that has a direct financial interest in a decision that
the person subject to the Code of Ethics is authorized to make,
or to participate in the making of, as part of his or her
official duties.
(d) The prohibitions in this section do not
apply if the gift or thing of economic value is given:
(1) because of the recipient's membership in
a group, a majority of whose members are not persons subject to
the Code of Ethics, and an equivalent gift is given or offered
to other members of the group; or,
(2) by an interested person who is a person
within the family of the recipient, unless the gift is given on
behalf of someone who is not a member of said family.
(e) For purposes of this regulation, a gift
or other thing of value is considered received when it comes
into the possession or control or the person subject to the Code
of Ethics, or his or her spouse or dependent child, and is a
gift or other thing of value subject to the requirements of this
regulation unless it is immediately returned to the interested
person or given to a bona fide charitable organization without
benefit accruing to the person subject to the Code of Ethics.
(f) Gifts received from interested persons
prior to the effective date of the amendment to this regulation
in 2005 shall continue to be subject to the reporting
requirements in effect on the date that the gift was received.
Accordingly, for gifts received prior to the effective date of
the 2005 amendments to this regulation, it is the obligation of
any person subject to the Code of Ethics to keep and maintain a
record of any gift or other thing of value, as defined herein,
received from an interested person and if, during any calendar
year, the aggregate amount of gifts received from interested
persons is $100 or greater, shall file with the Ethics
Commission, on or before January 31 of the succeeding calendar
year, a list of all gifts received from interested persons
during the preceding calendar year, including:
(1) the date the gift or other thing of
value was received;
(2) a description of the gift or other thing
of value;
(3) the fair market value of the gift or
other thing of value;
(4) the name, address and employer of the
interested person who provided the gift or other thing of value;
and,
(5) the name of any organization represented
by the interested person or on whose behalf the interested
person was acting in providing the gift or other thing of value.
(g) The failure of any person subject to the
Code of Ethics to file the disclosure required in section (e),
above, shall constitute a violation of the Code of Ethics
subject to penalty.
Regulation 36-14-5010 Prohibited
Activities - Honoraria.
No person subject to the Code of Ethics
shall accept an honorarium, fee or reward or other compensation
for any activity which may be considered part of or directly
relates to said person's official duties and responsibilities
unless (1) the source of the honorarium, fee, reward or other
compensation is an individual or entity for which the official
or employee is not vested with decision making authority within
his or her official duties and responsibilities; and (2) the
official or employee, when engaging in or preparing for the
activity, uses his or her own time and does not make improper
use of state or municipal materials or resources.
Regulation 36-14-5011 Prohibited
Activities - Transactions with Subordinates.
(a) No person subject to the Code of Ethics
shall engage in a financial transaction, including participating
in private employment or consulting, and giving or receiving
loans or monetary contributions, including charitable
contributions, with a subordinate or person or business for
which, in the official's or employee's official duties and
responsibilities, he or she exercises supervisory
responsibilities, unless (1) the financial transaction is in the
normal course of a regular commercial business or occupation,
(2) the subordinate or person or business described above offers
or initiates the financial transaction, or (3) the financial
transaction involves a charitable event or fundraising activity
which is the subject of general sponsorship by a state or
municipal agency through official action by a governing body or
the highest official of state or municipal government.
(b) No person subject to the Code of Ethics
shall solicit or request, directly or through a surrogate,
political contributions, from a subordinate for whom, in the
official’s or employee’s official duties and responsibilities,
he or she exercises supervisory responsibilities. This does not
prohibit or limit the First Amendment rights of a subordinate,
as defined in this section, to make political contributions.
(c) For purposes of this regulation,
“subordinate” means an employee, contractor, consultant, or
appointed official of the official’s or employee’s agency.
Regulation 36-14-5013 Prohibited
Activities - Restrictions on activities relating to Public
boards.
(1) No member of the General Assembly, while
serving as a member of a Public Board, shall:
(a) ask, demand, solicit, accept, receive or
agree to receive any gift, loan, reward, promise of future
employment, favor or service, forbearance or forgiveness of
indebtedness, gratuity or special discount or other thing of
economic value from any person, business or other entity having
a financial interest, direct or indirect, in a contract or
proposed contract in which the member has participated or
intends to participate or vote, and in which the Public Board on
which he or she serves, is an interested party. The Prohibition
in this subsection shall apply during the term of any such
Contract and for a period of 12 months thereafter.
(b) ask, demand, solicit, accept, receive or
agree to receive any gift, loan, reward, promise of future
employment, favor or service, forbearance or forgiveness of
indebtedness, gratuity or special discount or other thing of
economic value from any employee, or applicant for employment of
that Public Board; or,
(c) while serving as an appointed member of
an executive, public or quasi-public board, authority,
corporation, commission or agency, and for a period of one (1)
year after leaving that office, seek or accept employment, or
act as an agent, attorney, professional service provider,
professional consultant, or consultant for, any business or
other entity which had a financial interest, direct or indirect,
in any contract or proposed contract in which the Public Board
was an interested party and which was in effect at any time
during his or her service on the Public Board; and
(d) The prohibitions contained in section
5013(1) shall not apply to or prohibit political contributions.
(2) No member of the General Assembly, while
serving on a Public Board shall:
(a) ask, demand, solicit, accept, receive or
agree to receive any political contribution from any person,
business or other entity ("Vendor") having a financial interest,
direct or indirect, in a contract in which the member of the
General Assembly has participated or voted as a member of said
Public Board. This prohibition shall apply to any Vendor from
which the member of the General Assembly has received any
political contribution within 12 months prior to his or her
participation or vote, and, in the event said member is
otherwise permitted to participate or vote, he or she shall be
prohibited from accepting any such political contribution from
any Vendor after such participation or vote, during the term of
the contract, and for a period of 12 months thereafter.
i. The prohibitions of Section 5013(2) shall
also apply to political contributions through any Political
Action Committee, or similar political funding entity, owned or
controlled by such Vendor.
ii. A Vendor under Section 5013(2) shall
include, but not be limited to, (a): individuals, (b): partners,
(c): managers and officers of a limited liability company, and
members owning a five percent or greater interest in said
limited liability company, (d): directors and officers of a
corporation, and shareholders of a corporation owning a five
percent or greater interest in said corporation; or
(b) directly or indirectly ask, demand, or
solicit any political contribution from any employee, or
applicant for employment of that Public Board.
(3) The restrictions and prohibitions of
Section 5013 shall not apply to matters representing arms
length, bona fide contracts for which due and fair consideration
has been paid and received by the parties.
(4) For purposes of this regulation, "Public
Board" means all public bodies within the executive branch of
the state government and all state executive, public and
quasi-public authorities, corporations, commissions, councils,
or agencies, provided, however, that the foregoing definition
shall not apply to any such entity which (i) functions solely in
an advisory capacity, or (ii) exercises solely legislative
functions.
(5) This regulation shall be effective upon
filing.
Regulation 36-14-5014 Prohibited
Activities - Members of the General Assembly - Restrictions on
activities relating to Public boards.
(1) No member of the General Assembly shall
serve as a member of a Public Board. No member of the General
Assembly shall participate in the appointment, except through
advice and consent as provided by law, of any other person to
serve as a member of a Public Board.
(2) For purposes of this regulation, "Public
Board" means all public bodies within the executive branch of
state government, and all state executive, public and
quasi-public boards, authorities, corporations, commissions,
councils or agencies; provided, however, that the foregoing
definition shall not apply to any such entity which (i)
functions solely in an advisory capacity, or (ii) exercises
solely legislative functions.
(3) The effective date of this regulation is
July 1, 1999.
R.I. Gen. Laws § 36-14-6 Statement of
Conflict of Interest.
Any person subject to this Code of Ethics
who, in the discharge of his or her official duties, is or may
be required to take an action, make a decision or refrain
therefrom that will or can reasonably be expected to directly
result in an economic benefit to said person, or spouse (if not
estranged) or any dependent child of said person, or business
associate or any business by which said person is employed or
which said person represents, shall, before taking any such
action or refraining therefrom:
(1) Prepare a written statement sworn to
under the penalties for perjury describing the matter requiring
action and the nature of the potential conflict; if he or she is
a member of a legislative body and he or she does not request
that he or she be excused from voting, deliberating or taking
action on the matter, the statement shall state why, despite the
potential conflict, he or she is able to vote and otherwise
participate fairly, objectively and in the public interest; and
(2) Deliver a copy of the statement to the
Commission, and:
(i) If he or she is a member of the general
assembly or of any city or town legislative body he or she shall
deliver a copy of the statement to the presiding officer of the
body, who shall cause the statement to be recorded in the
journal of the body and, upon request of the member, may excuse
the member from votes, deliberations or any other action on the
matter on which a potential conflict exists; or
(ii) If said person is not a legislator, his
or her superior, if any, shall, if reasonably possible, assign
the matter to another person who does not have a Conflict of
Interest. If he or she has no immediate superior, he or she
shall take such steps as the Commission shall prescribe through
rules or regulations to remove himself or herself from influence
over any action on the matter on which the Conflict of Interest
exists.
Regulation 36-14-6001 Reasonable
foreseeability.
A public official has reason to believe or
expect a Conflict of Interest exists when it is "reasonably
foreseeable". The probability must be greater than
"conceivably", but the Conflict of Interest need not be certain
to occur.
Regulation 36-14-6002 Governmental
decision.
A public official makes a governmental
decision when the public official acting within the authority of
his or her office:
1. votes on a matter;
2. appoints a person;
3. obligates a state or municipal agency to
a course of action;
4. enters into any contractual agreement on
behalf of a state or municipal agency, or;
5. determines not to act within the meaning
of 1, 2, 3, or 4 because of a potential Conflict of Interest.
R.I. Gen. Laws § 36-14-7 Interest in
conflict with discharge of duties.
(a) A person subject to this Code of Ethics
has an interest which is in substantial conflict with the proper
discharge of his or her duties or employment in the public
interest and of his or her responsibilities as prescribed in the
laws of this state, if he or she has reason to believe or expect
that he or she or any person within his or her family or any
business associate, or any business by which the person is
employed or which the person represents will derive a direct
monetary gain or suffer a direct monetary loss, as the case may
be, by reason of his or her official activity.
(b) A person subject to this Code of Ethics
does not have an interest which is in substantial conflict with
the proper discharge of his or her duties in the public interest
and of his or her responsibilities as prescribed by the laws of
this state, if any benefit or detriment accrues to him or her or
any person within his or her family or any business associate,
or any business by which the person is employed or which the
person represents, as a member of a business, profession,
occupation or group, or of any significant and definable class
of persons within the business, profession, occupation or group,
to no greater extent than any other similarly situated member of
the business, profession, occupation or group, or of the
significant and definable class of persons within the business,
profession, occupation or group.
Regulation 36-14-7001 Reasonable
foreseeability.
A public official has reason to believe or
expect a Conflict of Interest exists when it is "reasonably
foreseeable". The probability must be greater than
"conceivably", but the Conflict of Interest need not be certain
to occur.
Regulation 36-14-7002 Governmental
decision.
A public official makes a governmental
decision when the public official acting within the authority of
his or her office:
1. votes on a matter;
2. appoints a person;
3. obligates a state or municipal agency to
a course of action;
4. enters into any contractual agreement on
behalf of a state or municipal agency, or;
5. determines not to act within the meaning
of 1, 2, 3, or 4 because of a potential Conflict of Interest.
Regulation 36-14-7003 Public forum
exceptions.
No violation of this Chapter or regulations
shall result by virtue of any person publicly expressing his or
her own viewpoints in a public forum on any matter of general
public interest or on any matter which directly affects said
individual or his or her spouse or dependent child.
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