§ 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.
§ 36-14-2. Definitions
As used in this chapter:(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 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;
(3) "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;
(4) (a) "State agency" means any department, division, agency, commission, board, office, bureau, authority, or quasi-public authority within Rhode Island, either branch of the the Rhode Island general assembly, or an 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.
(b) "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;
(5) "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;
(6) "Person" means an individual or a business entity;
(7) 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;
(8) "Business associate" means a person joined together with another person to achieve a common financial objective;
(9) 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;
(10) 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 that 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;
(11) "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;
(12) "Governmental function" means any action that is public in nature and is performed for the common good of all the people;
(13) "Any person within his other 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.
§ 36-14-3. Code of ethics
Sections 36-14-4 - 36-14-7 shall constitute the Rhode Island code of ethics in government.
§ 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:(a) State and municipal elected officials;
(b) State and municipal appointed officials; and
(c) Employees of state and local government, of boards, commissions, and agencies.
§ 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 or 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:
(A) 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
(B) Recuse him or herself from voting on or otherwise participating in the agency's consideration and disposition of the matter at issue, and
(C) 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 said 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 (i) 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 (ii) 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) 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 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 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 15 of this title) 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) shall not constitute a violation of any confidentiality provisions of this chapter.
(n) 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 § 36-14-2(4)(a), 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.
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.
Nothing contained herein shall prohibit a state elected official from seeking or being elected for any other constitutional office.
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) 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(4)(a), 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 or the general assembly's senior policy-making, discretionary, or confidential staff.
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.
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 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.
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.
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.
§ 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 the person, or spouse (if not estranged) or any dependent child of the person, or business associate or any business by which the person is employed or which the 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:
(A) 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
(B) If the 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 him or herself from influence over any action on the matter on which the conflict of interest exists.
§ 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.
§ 36-14-8. Rhode Island ethics commission--Establishment--Members--Vacancies--Quorum--Compensation and quarters
(a) There is hereby established an independent and nonpartisan Rhode Island ethics commission composed of nine (9) members appointed by the governor. The majority leader of the senate, the minority leader of the senate, the speaker of the house of representatives, the majority leader of the house of representatives, and the minority leader of the house of representatives shall, within twenty (20) days of the effective date of this act, > (FN1) each submit to the governor a list of names of at least five (5) individuals. The governor shall, within forty (40) days of the effective date of this act appoint one (1) individual from each of the lists so submitted and four (4) individuals without regard to the lists submitted by the legislative leaders.(b) Members of the commission shall serve for terms of five (5) years, except that, of the members first appointed:
(1) The individual appointed from the list submitted by the majority leader of the house of representatives shall serve for one (1) year;
(2) The individuals appointed from the lists submitted by the minority leader of the senate and one of the individuals appointed by the governor without regard to the lists submitted by the legislative leaders shall serve for two (2) years;
(3) The individual appointed from the list submitted by the minority leader of the house of representatives and one of the individuals appointed by the governor without regard to the lists submitted by the legislative leaders shall serve for three (3) years;
(4) The individual appointed from the list submitted by the majority leader of the senate and one of the individuals appointed from the list submitted by the minority leader of the house of representatives shall serve for four (4) years; and
(5) The individual appointed from the list submitted by the speaker of the house of representatives and one of the individuals appointed from the list submitted by the minority leader of the senate shall serve for five (5) years.
(c) No member shall be appointed for more than one full five (5) year term; provided, however, that each member shall continue to serve until his or her successor is appointed and qualified; and provided further that if, at the time of the expiration of any member's term, that member is actively engaged in the adjudication of a complaint, he or she shall continue to serve in that capacity until the commission has completed its responsibilities with respect to that complaint.
(d) The governor shall, at the time of the initial appointments to the commission, designate one member to act as chairperson of the commission for a period of one year and another to act as vice chairperson of the commission for a period of one year. Thereafter, the commission shall elect a chairperson and a vice chairperson. The vice chairperson shall act as chairperson in the absence of the chairperson or in the event of a vacancy in that position.
(e) Any vacancy on the commission, occurring for any reason prior to the expiration of the term, shall be filled for the unexpired term by the appointing authority in the same manner as the original appointment within thirty (30) days of the vacancy occurring.
(f) No individual, while a member or employee of the commission including any legal counsel engaged by the commission, shall:
(1) Hold or campaign for any other public office;
(2) Hold office in any political party or political committee;
(3) Participate in or contribute to any political campaign; or
(4) Directly or indirectly attempt to influence any decision by a governmental body, other than as the duly authorized representative of the commission on a matter within the jurisdiction of the commission;
(5) Have held elective public office or have been a candidate for elective public office for a one (1) year period prior to appointment.
(g) The governor shall declare vacant the position on the commission of any member who takes part in activities prohibited by subsection (f) of this section. An individual appointed to fill a vacancy occurring other than by the expiration of a term of office shall be appointed for the unexpired term of the member he or she succeeds, and is eligible for appointment to one full five-year term thereafter. Any vacancy occurring on the commission shall be filled within thirty (30) days in the manner in which that position was originally filled.
(h) For any action to be taken under the terms of this chapter by the full commission, five (5) members of the commission shall constitute a quorum.
(i) Commission members shall receive one hundred dollars ($100) per day as compensation for attendance at meetings of the commission or of any investigating committee or adjudicative panel of the commission, but not to exceed the sum of six thousand dollars ($6,000) annually as compensation of each member.
(j) All departments and agencies of the state or of any city or town or political subdivision within this state shall furnish such advice or information documentary or otherwise, to the commission and its agents as is deemed necessary or desirable by the commission to facilitate the purposes of this chapter.
(k) The director of administration is hereby authorized and directed to provide suitable quarters for the commission.
(l) When commission members act in good faith within the scope of their authority and in their official capacities they shall be afforded protection against civil liability as provided in § 9-1-31.1.
§ 36-14-9. Administrative powers of the commission
(a) The commission is hereby empowered to:(1) Engage the services of an executive director and of such other legal, secretarial, and investigative employees, who shall be bound by the prohibitions contained in § 36-14-8(f), and to make such other expenditures as are necessary for the effective performance of its functions.
(2) Separately retain the services of independent legal counsel who shall be bound by the prohibitions contained in § 36-14-8(f) and who shall remain independent of the executive director and other commission employees.
(3) Prescribe and publish, after notice and public hearings, rules and regulations to carry out the provisions of this chapter;
(4) Prescribe forms for statements and reports required to be filed by this chapter and furnish the forms to persons required to file statements and reports;
(5) Prepare and publish a manual setting forth recommended uniform methods of accounting and reporting for use by persons required to file statements and reports by this chapter;
(6) Accept and file any information voluntarily supplied that exceeds the requirements of this chapter;
(7) Compile and maintain an index of all reports and statements filed with the commission to facilitate public access to the reports and statements;
(8) Prepare and publish quarterly and annually summaries of statements and reports filed with the commission;
(9) Review all statements and reports filed with the commission in order to ascertain whether any person has failed to file a required statement or has filed a deficient statement;
(10) Preserve statements and reports filed with the commission for a period of five (5) years from date of receipt;
(11) Prepare and publish special reports and technical studies to further the purposes of this chapter; and
(12) Prepare and publish, prior to April 1 of each year, an annual report summarizing the activities of the commission, including but not limited to the:
(i) Number of disclosure statements filed;
(ii) Subjects of advisory opinions requested and issued;
(iii) Number of complaints filed, investigated and/or adjudicated;
(13) Have a seal and the members and executive director and assistant clerks thereof shall have authority and power to administer oaths and affirmations;
(14) Educate public officials, employees and citizens on ethical standards as embodied in the code of ethics by holding regular workshops, seminars, and the like, focusing on the specifics of the code of ethics and compliance therewith;
(15) Create publications to explain the ethical conduct expected of officials and employees.
(b) The rulemaking power conferred by subsection (a)(3) of this section shall be subject to, and shall be exercised in conformity with, §§ 42-35-2 - 42-35-7, inclusive, entitled "Administrative Procedures."
(c) Unless specifically prohibited, the commission shall make statements and reports filed with the commission available for public inspection and copying during regular office hours and make copying facilities available at a charge not to exceed actual cost.
§ 36-14-10. Educational powers of the commission
(a) The commission is hereby empowered to establish and implement an educational program for the purpose of educating public officials and employees and the general public about the ethical standards embodied in the Rhode Island code of ethics in government, which program may include the preparation and dissemination of brochures and other publications and the conduct of workshops and seminars.(b) The educational program authorized by this section shall be established by the commission in the exercise of the rulemaking authority conferred by § 36-14-9(a)(3).
(c) The commission may, by rule or regulation, delegate to its executive director (or other designated employee) such authority as it may deem necessary for the implementation of the educational program authorized by this section.
§ 36-14-11. Advisory powers of the commission
(a) The commission is hereby empowered to issue, at the request of any person covered by the Rhode Island code of ethics in government, advisory opinions on the requirements of this chapter.(b) Any advisory opinion rendered pursuant to this section must be approved, prior to issuance, by a majority of the members of the commission.
(c) Any advisory opinion rendered by the commission, until amended or revoked by a majority vote of the commission, shall be binding on the commission in any subsequent proceedings concerning the person who requested the opinion and who acted in reliance on it in good faith, unless material facts were omitted or misstated by the person in the request for the opinion.
§ 36-14-12. Investigative powers of the commission
(a) The commission is hereby empowered to investigate allegations of violations of the provisions of this chapter and, in furtherance of any investigation, the commission shall have the power to:(1) Compel the attendance of witnesses and require the production of evidence; and
(2) Take oral or written evidence under oath or affirmation.
(b) Any person, including any member of the commission, may file with the commission a complaint alleging a violation of this chapter. Any complaint filed with the commission shall be a statement in writing under oath which shall include the name of the person alleged to have committed the violation and which shall set forth in detail the specific act or acts complained of. The commission shall, within seventy-two (72) hours of the filing of any complaint, cause a copy of that complaint to be served, by certified mail, return receipt requested, upon any person alleged in the complaint to have committed a violation of this chapter.
(c) Upon receipt of a written complaint alleging a violation of this chapter, the commission shall within one hundred eighty (180) days of receipt of the written complaint complete its investigation; provided, that the commission may, for good cause shown, grant no more than two (2) extensions of sixty (60) days each.
(1) If the commission determines that the verified complaint does not allege facts sufficient to constitute a knowing and willful violation of any of the provisions of this chapter, it shall dismiss the complaint and notify the complainant and the respondent of the dismissal. The contents and substance of any complaint so dismissed and any answer thereto and the notice of dismissal shall be made public.
(2) If the commission determines that the verified complaint alleges facts sufficient to constitute a violation of any of the provisions of this chapter, the commission shall promptly investigate the allegations contained in the complaint and make a finding on the complaint and any amendment thereto.
(3) If the commission finds after its preliminary investigation that probable cause does not exist to support the allegations of the complaint, the commission shall dismiss the complaint and notify the complainant and the respondent of the dismissal. The contents and substance of any complaint so dismissed and any answer thereto and the notice of dismissal shall be made public.
(4) If the commission finds that probable cause does exist to support the allegations of the complaint, it shall prepare written findings which shall state in detail the violations complained of and the manner in which they occurred and shall fix a time for hearing on the matter; provided, however, that, before it issues any findings, the commission shall permit the respondent to submit a written statement and/or to appear in person or by counsel for the purpose of presenting arguments and/or written evidence in response to the allegations against him or her. The respondent shall be entitled to examine and make copies of all evidence in the possession of the commission relating to the complaint. Upon the issuance of any findings, the commission shall notify the complainant and the respondent of its action.
(5) If the commission, during the course of its investigation, has probable cause to believe that violations of this chapter, other than those contained in the complaint, have been committed, it may, upon its own motion, amend the complaint to include the violations. The commission shall, within seventy-two (72) hours of any amendment, cause a copy of the amended complaint to be served, by certified mail, return receipt requested, upon any person alleged in the amended complaint to have committed a violation of this chapter. Any person alleged by an amended complaint to have committed a violation of this chapter shall be afforded a reasonable opportunity to respond to the allegations contained therein.
(6) Nothing in this section shall be construed to authorize the commission to make any of its investigatory records public.
§ 36-14-13. Adjudicative powers of the commission
(a) The commission is hereby empowered to adjudicate the merits of allegations of violations of the Rhode Island code of ethics.(1) At such a hearing the commission shall have the power to compel the attendance of witnesses and require the production of evidence and to take oral or written evidence under oath or affirmation;
(2) Each party shall have the right to be represented by legal counsel; to conduct discovery pursuant to rules, adopted by the commission in the exercise of its rulemaking authority, which shall provide for the prompt and early exchange of relevant information and otherwise protect each party from unfair surprise during the course of the proceedings; to compel attendance of witnesses; to examine and cross examine opposing witnesses; to introduce exhibits and otherwise to present any matters to the commission relevant to the complaint;
(3) Oral evidence shall be taken only on oath or affirmation;
(4) There shall be a presumption of innocence on the part of any person alleged to have violated the provisions of this chapter, and the burden of proving that the person has violated the provisions of this chapter shall be upon those who allege the violation or violations;
(5) The hearing shall be open to the public;
(6) Objections to the introduction of evidence may be made and shall be noted in the record;
(7) A stenographic record shall be made of all hearings conducted under the provisions of this section;
(8) At the conclusion of proceedings concerning an alleged violation, the commission shall immediately begin deliberations on the evidence and then proceed to determine whether there has been a knowing and willful violation of this chapter;
(9) No persons, other than members of the commission, and independent legal counsel for the limited purpose provided for herein, shall be present during the deliberations of the commission following any hearing conducted under this section. Counsel may not participate in deliberations of the commission. Counsel's sole function shall be to respond to questions of law posed by commission members. A written record shall be maintained of the questions posed to counsel and counsel's responses, which shall become part of the record of proceedings.
(b) In order for the commission to hold a hearing there must be a quorum of five (5) members. For every two (2) members who must recuse themselves from taking part in a hearing, due to a conflict, the number needed for a quorum shall be reduced by one (1).
(c) In order for the commission to find that there has been a knowing and willful violation of this chapter it shall be necessary that a majority of those commissioners who attended all hearings, but in no case fewer than three (3) of the members of the commission shall vote in the affirmative to so find.
(d) The commission, upon a finding pursuant to this section that there has been a violation of this chapter, shall issue an order by which it may:
(1) Require that the violator cease and desist violating of the provisions of this chapter; and/or
(2) Require that the violator file any report, statement, or other information as required by this chapter; and/or
(3) Require that the violator pay a civil penalty of not more than twenty-five thousand dollars ($25,000) for each violation of this chapter and the pecuniary value of any unjust enrichment realized by the violator as the result of his or her violation of this chapter; and/or
(4) Refer the entire record of its proceedings to the attorney general; and/or
(5) Remove such violator from his or her office or position in accordance with the provisions of § 36-14-14, provided such violator is not subject to impeachment.
(e) The commission shall, in the exercise of the rulemaking authority conferred by § 36-14-9(a)(3), promulgate rules and regulations, consistent with the provisions of this section, for the conduct of adjudicative hearings before any adjudicative panel of the commission.
(f) Except in those cases referred to the attorney general pursuant to subsection (d)(4) of this section, a final decision of the commission and the record of proceedings before the commission upon which the final decision is based shall be made public by the commission within thirty (30) days after the final decision is rendered.
§ 36-14-14. Removal powers of the commission
(a) The commission is hereby empowered to remove from office any state or municipal elected official or any state or municipal appointed official not subject to impeachment, in accordance with the provisions of subsections (b) through (d) of this section.(b) Any state or municipal elected official and any state or municipal appointed official not subject to impeachment may be removed from office if:
(1) The commission has found, after an adjudicative hearing conducted in accordance with § 36-14-13, that the official has been guilty of a serious, knowing, and willful violation of § 36-14-5(c), § 36-14-5(d), or § 36-14-5(g); and
(2) The commission determines that the violation was committed by the violator either with (i) fraudulent intent to secure the unjust enrichment of him or herself or another person or (ii) malicious intent to inflict pecuniary or other substantial injury upon another person.
(c) If it determines that such a violation has been committed, it shall conduct a hearing at which the executive director of the commission or his or her designee and the respondent or his or her counsel shall be permitted to pursue additional evidence and arguments relevant to (i) the presence or absence of the specific intent required by subsection (b)(2) of this section as a prerequisite to removal of an official from office, and (ii) the presence or absence of aggravating or mitigating circumstances of which the commission should be aware in rendering its final decision.
(d) The removal power conferred by this section may be exercised only by the affirmative vote of two-thirds ( 2/3) of the membership of the commission eligible to participate, but in no case fewer than five (5) affirmative votes.
§ 36-14-15. Judicial review
Any action by the commission made pursuant to this chapter shall be subject to review pursuant to chapter 35 of title 42.
§ 36-14-16. Financial statement to be filed
(a) On or before the last Friday in April of each year, every person enumerated in § 36-14-4(a) and § 36-14-4(b) shall file with the commission a financial statement complying with the requirements of this chapter.(b) In the case of the appointment of state and municipal appointed officials on and after January 1, 1988, the appointee shall file the financial statement within thirty (30) days after the date of his or her appointment or the date he or she qualifies for the office, provided, however, that in the case of the appointment of officials that require senate confirmation the appointee shall file the financial statement with the appropriate senate committee prior to the institution of those confirmation proceedings.
(c) Within thirty (30) days after the filing deadline, every person who is a candidate for an office as an elected officer, except those candidates for moderator and clerk of a voting district of the cities and towns, shall file the financial statement as required by this chapter. The commission shall grant an extension for good cause shown of not more than fifteen (15) days, provided a request for the extension is received prior to the filing deadline for the financial statement.
(d) Except as otherwise provided in this chapter, at least thirty (30) days before the deadline date for the filing of a financial statement by each individual required to file, the commission shall mail to the individual two (2) copies of the financial statement form. In the case of candidates other than those covered by subsection (f) of this section, the forms shall be mailed within ten (10) days after the filing deadline date. In the case of appointments of appointed officers covered by this section the forms shall be mailed within seven (7) days after the date of the appointment.
(e) If a person has filed a financial statement as required by one subsection of this section covering the preceding calendar year, he or she is not required to file a financial statement as required by another subsection if, before the deadline for filing under the other subsection, he or she notifies the commission in writing that he or she has already filed a financial statement under the subsection specified.
(f) A person required to file a financial statement under subsection (a) of this section may request the commission to grant an extension of time of not more than sixty (60) days for filing the statement. The commission shall grant the extension of not more than sixty (60) days if the request is received prior to the filing deadline or if a timely filing or request for extension is prevented because of physical or mental incapacity. Not more than one extension may be given to a person in one year except for good cause shown.
(g) The deadline for filing any statement required by this section is 5:00 P.M. of the last day designated in the pertinent subsection of this section for filing the statement. When the last day of filing falls on a Saturday or Sunday or an official state holiday, the deadline for filing is extended to 5:00 P.M. of the next day which is not a Saturday or Sunday or holiday. Any statement required by any provision of this section to be filed within a specified time period shall be deemed to be timely filed if it is placed in the United States post office or in the hands of a common or contract carrier properly addressed to the appropriate authority within the time limits applicable to the statement. The postmark or receipt mark (if received by a common or contract carrier) will be prima facie evidence of the date that the statement was deposited with the post office or carrier. The person filing the statement may show by competent evidence that the actual date of posting was to the contrary.
§ 36-14-17. Content of financial statement
(a) The financial statement required herein shall be on a form prescribed by the commission, and shall include the account of the financial activity of the person required to file the statement by this chapter and the financial activity of his or her spouse (if not estranged) and any dependent children for the preceding calendar year.(b) The account of financial activity referred to in subsection (a) of this section shall consist of:
(1) If he or she or any person enumerated in subsection (a) of this section or a business entity in which he or she or any person enumerated as aforesaid held a ten percent (10%) or greater equity interest or five thousand dollars ($5,000) or greater cash value interest at any time during the calendar year for which the statement is required has done business with a state or municipal agency or a business which is subject to direct regulation greater than of a de minimus nature by a state or municipal agency, and if so, the date and nature of the business;
(2) A list of all sources of occupational income identified by employer or, if self employed, by the nature of occupation or profession, and if income was received from a state or municipal agency, the name and address of the agency and the nature of the services rendered;
(3) A listing of all real property in which a financial interest was held; this section shall not apply to real property used exclusively as his or her principal residence;
(4) Identification of any person, business entity, or other organization from whom the person or his or her spouse (if not estranged) or any dependent child received a gift or contribution of money or property in excess of one hundred dollars ($100) in value or a series of gifts or contributions of money or property, the total of which exceeds one hundred dollars ($100) in value received from the same source, and a description of each gift or contributions, except those received from persons related to the person at any time within the third degree of consanguinity or affinity and campaign contributions which were reported as required by law;
(5) Identification of the source of all income received as beneficiary of a trust and identification of each asset, if known to the beneficiary, from which income was received by the beneficiary in excess of one thousand dollars ($1,000);
(6) A list of all boards of directors of which the person is a member and executive positions which he or she holds in any business entity, stating the name and address of each business entity;
(7) The name and address of any business entity in which he or she or any person enumerated in subsection (a) of this section held a ten percent (10%) or greater equity interest or five thousand dollars ($5,000) or greater cash value interest at any time during the calendar year for which the statement is required; and
(8) Identification of any person, business entity, final institution or other organization to whom the person was indebted at any time during the calendar year for which the statement is required in an amount in excess of one thousand dollars ($1,000) other than (i) any person related to the person at any time within the third degree of consanguinity or affinity or (ii) any transactions involving credit cards, or (iii) any indebtedness to a financial institution, licensed and regulated by any state or by the United States, which is secured solely by a mortgage of record on real property used exclusively as the principal residence of the person required to file the statement.
This section does not require the reporting of the amount or amounts of the indebtedness or the payment record of the loans.
(c) The financial statement shall be sworn to under oath.
§ 36-14-18. Disclosure of regulated business interests
(a) Every person who is required to file a financial statement pursuant to this chapter and who has, acquires, or divests him or herself of ten percent (10%) or greater equity interest or five thousand dollars ($5,000) or greater cash value interest in a business entity which is subject to direct regulation, greater than of a de minimus nature, by a state or municipal agency, or which does any business with a state or municipal agency, shall file with the commission at the times specified by this chapter, an affidavit:(1) Identifying him or herself and stating the capacity in which he serves or is about to serve which occasions the filing of the affidavit;
(2) Identifying the business entity (or each business entity);
(3) Identifying the regulatory agency or agencies;
(4) Stating the nature of his or her interest in the business entity;
(5) Describing the manner in which the business entity is subject to regulation; and
(6) Stating whether the interest is held, or was acquired or divested, and if acquired or divested, when.
(b) The nature of an interest in a business entity shall be described in specific language.
(c) Every state or municipal official to which this section applies who holds office on January 1, 1988, and, who has any interest required to be reported pursuant to this section, shall file the affidavit within ninety (90) days after January 1, 1988.
(d) If a state or municipal official to which this section applies, acquires or divests him or herself of an interest, required to be reported pursuant to this section, he or she shall file the affidavit within thirty (30) days after the date the interest was acquired or divested.
(e) In the case of appointments made after January 1, 1988, a state or municipal official who has any interest required to be reported pursuant to this section shall file the affidavit within thirty (30) days after the date of his or her appointment or the date he or she qualifies for the office.
§ 36-14-18.1. Repealed§ 36-14-19. Penalties
Any person who knowingly and willfully violates the provisions of this chapter shall, in addition to the civil penalties provided herein, be guilty of a misdemeanor punishable by a fine of not more than one thousand dollars ($1,000) and/or imprisonment for no longer than one year.
§ 36-14-20. Construction
The provisions of this chapter shall be construed to be in addition to and not in substitution of any other provision of law not inconsistent herewith.
§ 36-14-21. Severability
If any provision of this chapter, or the application thereof to any person or circumstance, is held invalid, the validity of the remainder of the chapter and the application of the provisions to other persons and circumstances shall not be affected thereby.
