Chapter 389

2004 -- S 2667 SUBSTITUTE A

Enacted 07/05/04

 

A N A C T

RELATING TO PUBLIC OFFICERS AND EMPLOYEES -- CODE OF ETHICS

     

     

     Introduced By: Senators Paiva-Weed, Goodwin, McCaffrey, Gallo, and Perry

     Date Introduced: February 11, 2004

 

It is enacted by the General Assembly as follows:

 

     SECTION 1. Sections 36-14-2 and 36-14-16 of the General Laws in Chapter 36-14

entitled "Code of Ethics" are hereby amended to read as follows:

     36-14-2. Definitions. -- As used in this chapter:

      (1) "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;

      (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, nonclassified 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 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;

      (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 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.;

     (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.

     36-14-16. Financial statement to be filed. -- (a) On or before the last Friday in April of

each year, every person enumerated in section 36-14-4(1) and section 36-14-4(2) the following

officials and employees subject to this code of ethics shall file with the commission a financial

statement complying with the requirements of this chapter.:

     (1) all state elected officials;

     (2) all state appointed officials;

     (3) all state appointed officials and employees who hold a major decision-making

position in a state agency;

     (4) all municipal elected officials; and

     (5) all municipal appointed officials whose official duties and responsibilities include

exercising decision-making authority over the expenditure of more than fifty thousand dollars

($50,000) in public funds in any fiscal or calendar year, and expressly including solicitors and

assistant solicitors, police chiefs, fire chiefs, superintendents of schools, principals,

superintendents and administrators of charter schools, board members of charter schools,

principals, superintendents and administrators of state schools, board members of state schools,

building inspectors, members of planning boards, zoning boards, licensing boards and tax appeal

boards. This subsection shall also include all municipal appointed officials whose official duties

and responsibilities include nominating, appointing or hiring any persons that will receive

compensation of more than fifty thousand dollars ($50,000) in public funds in any fiscal or

calendar year.

     (b) In the case 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 a copy 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 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.

     SECTION 2. This act shall take effect upon passage.

     

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LC01108/SUB A

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