2021 -- H 6086

========

LC001894

========

     STATE OF RHODE ISLAND

IN GENERAL ASSEMBLY

JANUARY SESSION, A.D. 2021

____________

A N   A C T

RELATING TO PUBLIC OFFICERS AND EMPLOYEES -- CODE OF ETHICS

     Introduced By: Representatives Morgan, and Nardone

     Date Introduced: March 03, 2021

     Referred To: House Judiciary

     It is enacted by the General Assembly as follows:

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

Ethics" is hereby amended to read as follows:

     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 § 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 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 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;

     (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 that person is employed or which the person represents.

     (4) Shall engage in any of the activities prohibited by subsection (e)(1), (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 person subject to this code of ethics; and

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

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

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

LC001894 - Page 2 of 6

     (h) No person subject to this code of ethics, 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

person, or to any business by which the 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 the 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 the 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, 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

Whistleblowers' Protection 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 subsection (m) above.

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

LC001894 - Page 3 of 6

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 year after

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

36-14-2(8)(i), 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 § 36-14-2(8)(i), while serving as such policy-

making, discretionary, or confidential staff member and for a period of one year after leaving that

state employment as a member of the state elected official's or 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 policymaking, 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

LC001894 - Page 4 of 6

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 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.

     (p) A member of the general assembly who receives any financial payments from any entity

or employer seeking legislative action or approval shall file a written recusal with the clerk of the

house or senate whenever a bill affecting that entity or employer is before the general assembly,

either in committee or on the floor of the house or senate.

     SECTION 2. This act shall take effect upon passage.

========

LC001894

========

LC001894 - Page 5 of 6

EXPLANATION

BY THE LEGISLATIVE COUNCIL

OF

A N   A C T

RELATING TO PUBLIC OFFICERS AND EMPLOYEES -- CODE OF ETHICS

***

     This act requires a member of the general assembly who receives any financial payments

from any entity or employer seeking legislative approval to file a written recusal.

     This act would take effect upon passage.

========

LC001894

========

LC001894 - Page 6 of 6