2015 -- H 5663

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LC001215

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     STATE OF RHODE ISLAND

IN GENERAL ASSEMBLY

JANUARY SESSION, A.D. 2015

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A N   A C T

RELATING TO PUBLIC OFFICERS AND EMPLOYEES -- CODE OF ETHICS

     

     Introduced By: Representatives Filippi, Nardolillo, Price, Chippendale, and Giarrusso

     Date Introduced: February 26, 2015

     Referred To: House Judiciary

     It is enacted by the General Assembly as follows:

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     SECTION 1. Section 36-14-5 of the General Laws in Chapter 36-14 entitled "Code of

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Ethics" is hereby amended to read as follows:

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     36-14-5. Prohibited activities. -- (a) No person subject to this code of ethics shall have

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any interest, financial or otherwise, direct or indirect, or engage in any business, employment,

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transaction, or professional activity, or incur any obligation of any nature, which is in substantial

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conflict with the proper discharge of his or her duties or employment in the public interest and of

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his or her responsibilities as prescribed in the laws of this state, as defined in § 36-14-7.

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      (b) No person subject to this code of ethics shall accept other employment which will

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either impair his or her independence of judgment as to his or her official duties or employment

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or require him or her, or induce him or her, to disclose confidential information acquired by him

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or her in the course of and by reason of his or her official duties.

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      (c) No person subject to this code of ethics shall willfully and knowingly disclose, for

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pecuniary gain, to any other person, confidential information acquired by him or her in the course

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of and by reason of his or her official duties or employment or use any information for the

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purpose of pecuniary gain.

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      (d) No person subject to this code of ethics shall use in any way his or her public office

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or confidential information received through his or her holding any public office to obtain

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financial gain, other than that provided by law, for him or herself or any person within his or her

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family, any business associate, or any business by which the person is employed or which the

 

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person represents.

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      (e) No person subject to this code of ethics shall:

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      (1) Represent him or herself before any state or municipal agency of which he or she is a

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member or by which he or she is employed. In cases of hardship, the ethics commission may

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permit such representation upon application by the official provided that he or she shall first:

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      (i) Advise the state or municipal agency in writing of the existence and the nature of his

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or her interest in the matter at issue;

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      (ii) Recuse him or herself from voting on or otherwise participating in the agency's

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consideration and disposition of the matter at issue; and

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      (iii) Follow any other recommendations the ethics commission may make to avoid any

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appearance of impropriety in the matter.

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      (2) Represent any other person before any state or municipal agency of which he or she

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is a member or by which he or she is employed.

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      (3) Act as an expert witness before any state or municipal agency of which he or she is a

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member or by which he or she is employed with respect to any matter the agency's disposition of

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which will or can reasonably be expected to directly result in an economic benefit or detriment to

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him or herself, or any person within his or her family, or any business associate of the person, or

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any business by which that person is employed or which the person represents.

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      (4) Shall engage in any of the activities prohibited by subsection (e)(1), (e)(2), or (e)(3)

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of this section for a period of one year after he or she has officially severed his or her position

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with said state or municipal agency; provided, however, that this prohibition shall not pertain to a

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matter of public record in a court of law.

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      (f) No business associate of any person subject to this code of ethics shall represent him

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or herself or any other person, or act as an expert witness before the state or municipal agency of

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which the person is a member or by which the person is employed unless:

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      (1) He or she shall first advise the state or municipal agency of the nature of his or her

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business relationship with the person subject to this code of ethics; and

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      (2) The person subject to this code of ethics shall recuse him or herself from voting on or

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otherwise participating in the agency's consideration and disposition of the matter at issue.

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      (g) No person subject to this code of ethics, or spouse (if not estranged), dependent child,

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or business associate of the person, or any business by which the person is employed or which the

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person represents, shall solicit or accept any gift, loan, political contribution, reward, or promise

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of future employment based on any understanding that the vote, official action, or judgment of

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the person would be influenced thereby.

 

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      (h) No person subject to this code of ethics, or any person within his or her family or

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business associate of the person, or any business entity in which the person or any person within

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his or her family or business associate of the person has a ten percent (10%) or greater equity

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interest or five thousand dollars ($5,000) or greater cash value interest, shall enter into any

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contract with any state or municipal agency unless the contract has been awarded through an open

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and public process, including prior public notice and subsequent public disclosure of all proposals

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considered and contracts awarded; provided, however, that contracts for professional services

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which have been customarily awarded without competitive bidding shall not be subject to

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competitive bidding if awarded through a process of public notice and disclosure of financial

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details.

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      (i) No person shall give or offer to any person covered by this code of ethics, or to any

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candidate for public office, or to any person within his or her family or business associate of any

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person, or to any business by which the person is employed or which the person represents, any

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gift, loan, political contribution, reward, or promise of future employment based on any

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understanding or expectation that the vote, official action, or judgment of the person would be

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influenced thereby.

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      (j) No person shall use for any commercial purpose information copied from any

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statements required by this chapter or from lists compiled from the statements.

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      (k) No person shall knowingly and willfully make a false or frivolous complaint under

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this chapter.

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      (l) No candidate for public office, or any person within his or her family, business

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associate of the candidate, or any business by which the candidate is employed or which the

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candidate represents, shall solicit or accept any gift, loan, political contribution, reward, or

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promise of future employment based on any understanding that the vote, official action, or

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judgment of the candidate would be influenced thereby.

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      (m) No person subject to this code of ethics shall, either directly or indirectly, through

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any government agency, or through a business associate, or through any other person, threaten or

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intimidate any complainant or witness or any family member of any complainant or witness in

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any proceeding before the state ethics commission.

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      (1) In addition to any rights a complainant or witness may have under the Rhode Island

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Whistleblowers' Protection Act, chapter 50 of title 28 or under any other statute, a complainant or

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witness may bring a civil action in superior court for appropriate injunctive relief, or actual

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damages, or both and attorney's fees within three (3) years after the occurrence of the alleged

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violation of subsection (m) above.

 

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      (2) The initiation of litigation by a complainant or witness pursuant to subsection (m)(1)

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shall not constitute a violation of any confidentiality provisions of this chapter.

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      (n) (1) No state elected official, while holding state office and for a period of one year

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after leaving state office, shall seek or accept employment with any other state agency, as defined

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in § 36-14-2(8)(i), other than employment which was held at the time of the official's election or

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at the time of enactment of this subsection, except as provided herein.

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      (2) Nothing contained herein shall prohibit any general officer or the general assembly

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from appointing any state elected official to a senior policy-making, discretionary, or confidential

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position on the general officer's or the general assembly's staff, and in the case of the governor, to

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a position as a department director; nor shall the provisions herein prohibit any state elected

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official from seeking or accepting a senior policy-making, discretionary, or confidential position

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on any general officer's or the general assembly's staff, or from seeking or accepting appointment

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as a department director by the governor.

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      (3) Nothing contained herein shall prohibit a state elected official from seeking or being

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elected for any other constitutional office.

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      (4) Nothing contained herein shall prohibit the Rhode Island ethics commission from

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authorizing exceptions to this subsection where such exemption would not create an appearance

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of impropriety.

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      (o) (1) No department head or person holding a senior policy-making, discretionary, or

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confidential position on the staff of any state elected official or the general assembly shall seek or

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accept any other employment by any state agency as defined in § 36-14-2(8)(i), while serving as

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such department head or policy-making, discretionary, or confidential staff member and for a

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period of one year after leaving that state employment as a department head or member of the

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state elected official's or the general assembly's senior policy-making, discretionary, or

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confidential staff.

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      (2) Notwithstanding the foregoing, a person holding a senior policy-making,

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discretionary, or confidential staff position who has a minimum of five (5) years of uninterrupted

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state service shall be exempt from the provisions of this section. "State service" as used herein

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means service in the classified, unclassified and nonclassified services of the state, but shall not

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include service in any state elective office.

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      (3) Nothing contained herein shall prohibit any general officer or the general assembly

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from appointing any such senior policy-making, discretionary, or confidential member of the staff

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of any state elected official or the general assembly to any other senior policymaking,

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discretionary, or confidential position on any general officer's or the general assembly's staff, and

 

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in the case of the governor, to a position as a department director; nor shall the provisions hereof

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prohibit any senior policy-making, discretionary, or confidential member of the staff of any state

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elected official or the general assembly from seeking or accepting any other senior policy-

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making, discretionary, or confidential position on any general officer's or the general assembly's

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staff, or from seeking or accepting appointment as a department director by the governor.

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      (4)(3) Nothing contained herein shall prohibit a person holding a senior policy-making,

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discretionary, or confidential staff position from seeking or being elected for any constitutional

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office.

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      (5) Nothing contained herein shall prohibit the Rhode Island ethics commission from

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authorizing exceptions to this subsection where such exemption would not create an appearance

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of impropriety.

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     SECTION 2. This act shall take effect upon passage.

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LC001215

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EXPLANATION

BY THE LEGISLATIVE COUNCIL

OF

A N   A C T

RELATING TO PUBLIC OFFICERS AND EMPLOYEES -- CODE OF ETHICS

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     This act would eliminate a number of exceptions to the "revolving-door rule," so-called.

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     This act would take effect upon passage.

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LC001215

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