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.