520-RICR — Ethics Commission

Chapter 00

Subchapter 00

520-RICR-00-00-1 Code of Ethics

520-RICR-00-00-1 § 1.1 Definitions

1.1.1Definition of State or Municipal Elected Official (36-14-2(1))

A."State or municipal elected official" means any person duly elected to or holding any elective public office pursuant to a general or special election.

1.1.2Additional Definitions (36-14-2001)

A."Complainant" means a person or persons who files a sworn statement with the Commission against a person subject to the statute containing allegations of prohibited activities.

B."Respondent" means a person against whom a complaint has been filed.

C."Business subject to direct state or municipal regulation" means a business which is directly regulated by a state or municipal agency as defined herein other than in a de minimis 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.

D."Cash value interest" means 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.

E."Doing business" means 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.

F."Income" means 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.

G."Ownership interest" means 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.

H."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.

I."State or municipal agency" shall also include any group of persons, or corporations, organization, or other entity, however created, which:

1.exercises governmental functions other than in an advisory nature, and expends public funds in excess of $10,000 yearly; or

2.those entities whose directors or other governing members are appointed by or through the governing body or highest official of state or municipal government.

J."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.

1.1.3Additional Definitions (36-14-2002)

A."State or municipal elected official" means any person holding any elective public office pursuant to a general or special election.

B."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.

C."Employees of state and local government, of boards, Commissions and agencies" means:

1.any individual receiving a salary from a state or municipal agency, whether elected or not, on a full-time or part-time basis;

2.any individual in the classified, non-classified and unclassified service of the judicial, executive and legislative branches of state government;

3.any individual in the classified, non-classified and unclassified service of any municipality within the state;

4.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

5.any state or municipal appointed official who receives a salary or stipend for their appointed service.

D."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.

E.“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.

1.1.4Representing Oneself or Others, Defined (36-14-5016)

A.In addition to any other definition or provision of the Code of Ethics:

1.A person will "represent him or herself before a state or municipal agency" if:

a.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;

b.pursuant to his or her authorization and/or direction, another person 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 favor; or

c.he or she engages in the conduct described in §§ 1.1.4(A)(1)(a) or (b) of this Part before another agency for which he or she is the appointing authority or a member thereof.

2.A person will "represent any other person before a state or municipal agency" if:

a.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;

b.he or she acts as an expert witness 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; or

c.he or she engages in the conduct described in §§ 1.1.4(A)(2)(a) or (b) of this Part before another agency for which he or she is the appointing authority or a member thereof.

1.1.5Reasonable Foreseeability (36-14-7001)

A.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.

1.1.6Governmental Decision (36-14-7002)

A.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 §§ 1.1.6(A)(1) through (4) of this Part because of a potential Conflict of Interest.

History

Technical Revision — effective from 2026-01-01 to current
Amendment — effective from 2026-01-01 to 01/01/2026
Periodic Refile — effective from 2022-01-04 to 01/01/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Amendment — effective from 2012-06-03 to 05/25/2018
Amendment — effective from 2012-02-06 to 06/03/2012
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2007-02-01 to 05/25/2018
Amendment — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 02/01/2007
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Amendment — effective from 2006-10-22 to 05/25/2018
Technical Revision — effective from 2005-04-12 to 05/25/2018
Amendment — effective from 2005-04-12 to 04/12/2005
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 04/12/2005
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/01/2007
Periodic Refile — effective from 2002-01-28 to 10/22/2006
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/06/2012
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-1 § 1.2 Recusal

1.2.1Additional Circumstances Warranting Recusal (36-14-5002)

A.A person subject to this Code of Ethics must also recuse himself or herself from participation in accordance with R.I. Gen. Laws § 36-14-6 when any of the following circumstances arises:

1.Any person within his or her family, or a household member, appears or presents evidence or arguments before his or her state or municipal agency.

2.His or her business associate or employer appears or presents evidence or arguments before his or her state or municipal agency.

3.His or her business associate, employer, household member or any person within his or her family authorizes another person, on his or her behalf, to appear or to present evidence or arguments before his or her state or municipal agency.

B.A person subject to this Code of Ethics is not required to recuse himself or herself pursuant to this or any other provision of the Code when:

1.The person's business associate, employer, household member or any person within his or her family is before the person's state or municipal agency, solely in an official capacity as a duly authorized member or employee of another state or municipal agency, to participate in non-adversarial information sharing or coordination of activities between the two agencies, provided that the business associate, employer, household member or person within his or her family is not otherwise a party or participant, and has no personal financial interest, in the matter under discussion.

2.The person's business associate, employer, household member or any person within his or her family is before the person's state or municipal agency during a period when public comment is allowed, to offer comment on a matter of general public interest, provided that all other members of the public have an equal opportunity to comment, and further provided that the business associate, employer, household member or person within his or her family is not otherwise a party or participant, and has no personal financial interest, in the matter under discussion.

1.2.2Limitations on Recusal (36-14-5003)

A.The notice and recusal provisions of R.I. Gen. Laws §§ 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.

1.2.3Public Forum Exceptions (36-14-7003)

A.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.

1.2.4Officers of Public Agencies (36-14-7004)

A.Notwithstanding any other provision of the Code of Ethics, it shall not be a violation of this Chapter for an appointed or elected member of a state or municipal agency to participate in a vote of the agency during an open meeting to elect him/herself to a position of officer of that agency, provided that if such position carries with it any form of compensation, reimbursement or stipend that is greater than that provided to non-officer members, such additional compensation, reimbursement or stipend must either have been in effect at the time of the vote pursuant to a valid provision of constitution, statute, regulation, charter or ordinance, or be waived.

History

Technical Revision — effective from 2026-01-01 to current
Amendment — effective from 2026-01-01 to 01/01/2026
Periodic Refile — effective from 2022-01-04 to 01/01/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Amendment — effective from 2012-06-03 to 05/25/2018
Amendment — effective from 2012-02-06 to 06/03/2012
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2007-02-01 to 05/25/2018
Amendment — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 02/01/2007
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Amendment — effective from 2006-10-22 to 05/25/2018
Technical Revision — effective from 2005-04-12 to 05/25/2018
Amendment — effective from 2005-04-12 to 04/12/2005
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 04/12/2005
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/01/2007
Periodic Refile — effective from 2002-01-28 to 10/22/2006
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/06/2012
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-1 § 1.3 Nepotism

1.3.1Prohibited Activities - Nepotism (36-14-5004)

A.Definitions. For the purposes of applying the provisions of this Regulation, the following definitions apply:

1."Household member" means a person having legal residence or living in a public official's or public employee's place of residence.

2."Any person within his or her family" means, in addition to any other definition, any person who is related to any public official or public employee, whether by blood, marriage or adoption, as any of the following: spouse, father, step-father, father-in-law, mother, step-mother, mother-in-law, son, step-son, son-in-law, daughter, step-daughter, daughter-in-law, brother, step-brother, brother-in-law, sister, step-sister, sister-in-law, grandfather, step-grandfather, grandfather-in-law, grandmother, step-grandmother, grandmother-in-law, grandson, step-grandson, grandson-in-law, granddaughter, step-granddaughter, granddaughter-in-law, uncle, step-uncle, uncle-in-law, aunt, step-aunt, aunt-in-law, niece, step-niece, niece-in-law, nephew, step-nephew, nephew-in-law, first cousin, step-first cousin and first-cousin-in-law.

B.Prohibitions. In addition to any other provisions of the Code of Ethics the following prohibitions relating to nepotism shall apply:

1.Nepotism Generally. No person subject to the Code of Ethics shall participate in any matter as part of his or her public duties if he or she has reason to believe or expect that any person within his or her family, or any household member, is a party to or a participant in such matter, or will derive a direct monetary gain or suffer a direct monetary loss, or obtain an employment advantage, as the case may be.

2.Advocacy/Supervision Regarding Family/Household Members.

a.No person subject to the Code of Ethics shall participate in the supervision, evaluation, appointment, classification, promotion, transfer or discipline of any person within his or her family or a household member, in the state or municipal agency in which the official or employee is serving or over which he or she exercises fiscal or jurisdictional control, except in accordance with particular instructions and advice received from the Ethics Commission in a written advisory opinion.

b.No person subject to the Code of Ethics shall delegate to a subordinate any tasks relating to the supervision, evaluation, appointment, classification, promotion, transfer or discipline of any person within his or her family or household members, except in accordance with particular instructions and advice received from the Ethics Commission in a written advisory opinion.

3.Participation in Budgets.

a.General Prohibition. No person subject to the Code of Ethics shall participate in discussion or decision-making relative to a budgetary line item that would address or affect the employment, compensation or benefits of any person within his or her family or a household member.

b.Specific Line Items. Notwithstanding the prohibition set forth in § 1.3.1(B)(3)(a) of this Part, a person subject to the Code of Ethics may, only in accordance with particular instructions and advice received from the Ethics Commission in a written advisory opinion, participate in discussion or decision-making relative to a budgetary line item that addresses or affects the employment, compensation or benefits of any person within his or her family or a household member as a member of a significant and definable class of persons, and not individually or to any greater extent than any other similarly situated member of the class.

c.Vote on Entire Budget. Notwithstanding the prohibition set forth in § 1.3.1(B)(3)(a) of this Part, a person subject to the Code of Ethics may participate in discussion or decision-making relative to approving or rejecting the entire budget as a whole, provided that the person within his or her family or household member is impacted by the entire budget as a member of a significant and definable class of persons, and not individually or to any greater extent than any other similarly situated member of the class.

4.Participation in Collective Bargaining/Employee Contracts.

a.Negotiations. No person subject to the Code of Ethics shall participate in negotiations relative to an employee contract or collective bargaining which addresses or affects the employment, compensation or benefits of any person within his or her family or a household member.

b.Vote on Entire Contract. Notwithstanding the prohibition set forth in § 1.3.1(B)(4)(a) of this Part, a person subject to the Code of Ethics may participate in a decision to accept or reject an entire employee contract or collective bargaining agreement as a whole, provided that the person within his or her family or household member is impacted by the contract or agreement as a member of a significant and definable class of persons, and not individually or to any greater extent than any other similarly situated member of the class.

1.3.2Nepotism (36-14-5005)

A.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 R.I. Gen. Laws § 36-14-5(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.

History

Technical Revision — effective from 2026-01-01 to current
Amendment — effective from 2026-01-01 to 01/01/2026
Periodic Refile — effective from 2022-01-04 to 01/01/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Amendment — effective from 2012-06-03 to 05/25/2018
Amendment — effective from 2012-02-06 to 06/03/2012
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2007-02-01 to 05/25/2018
Amendment — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 02/01/2007
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Amendment — effective from 2006-10-22 to 05/25/2018
Technical Revision — effective from 2005-04-12 to 05/25/2018
Amendment — effective from 2005-04-12 to 04/12/2005
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 04/12/2005
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/01/2007
Periodic Refile — effective from 2002-01-28 to 10/22/2006
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/06/2012
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-1 § 1.4 Other Prohibited Activities

1.4.1Acting as Agent or Attorney for Other than State or Municipality (36-14-5008)

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.

1.4.2Gifts (36-14-5009)

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 fifty dollars ($50), but in no case having either an aggregate fair market value or aggregate actual cost greater than one hundred fifty dollars ($150) 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:

1.a person, business, or other entity, whether for profit or not for profit, or a representative of such a person, business, or other entity, 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; or

2.a person, business, or other entity, whether for profit or not for profit, that engages lobbyists or is a registered lobbyist or lobbying firm as defined by the laws, regulations, or municipal ordinances of this state.

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;

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;

3.by an interested person as defined in § 1.4.2(C)(2) of this Part, that is not also an interested person as defined in § 1.4.2(C)(1) of this Part, to a public official or employee who is not a member or employee of the state or municipal agency that the interested person is lobbying; or

4.in the form of food or beverage for immediate consumption at a reception or fundraiser to which all members of the General Assembly or statewide officers are invited and is hosted not more than once in any year by a not for profit entity that is not an interested person as defined in § 1.4.2(C)(1) of this Part.

E.For purposes of this Regulation, a gift or other thing of value is considered received when it comes into the possession or control of 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.

1.4.3Honoraria (36-14-5010)

A.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.

1.4.4Transactions with Subordinates (36-14-5011)

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.

History

Technical Revision — effective from 2026-01-01 to current
Amendment — effective from 2026-01-01 to 01/01/2026
Periodic Refile — effective from 2022-01-04 to 01/01/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Amendment — effective from 2012-06-03 to 05/25/2018
Amendment — effective from 2012-02-06 to 06/03/2012
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2007-02-01 to 05/25/2018
Amendment — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 02/01/2007
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Amendment — effective from 2006-10-22 to 05/25/2018
Technical Revision — effective from 2005-04-12 to 05/25/2018
Amendment — effective from 2005-04-12 to 04/12/2005
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 04/12/2005
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/01/2007
Periodic Refile — effective from 2002-01-28 to 10/22/2006
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/06/2012
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-1 § 1.5 Revolving Door/Post-Employment

1.5.1Employment from Own Board (36-14-5006)

A.No elected or appointed official may accept any appointment or election that requires approval 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.

1.5.2Prohibition on State Employment (36-14-5007)

A.No member of the General Assembly shall seek or accept state employment, 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. For purposes of this Regulation, “employment” shall include service as defined in R.I. Gen. Laws § 36-14-2(4) and shall also include service as an independent contractor or consultant to the state or any state agency, whether as an individual or a principal of an entity performing such service.

1.5.3Restrictions on Activities Relating to Public Boards (36-14-5013)

A.No member of the General Assembly, while serving as a member of a Public Board, shall:

1.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;

2.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

3.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

4.The prohibitions contained in § 1.5.3(A) of this Part shall not apply to or prohibit political contributions.

B.No member of the General Assembly, while serving on a Public Board shall:

1.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.

a.The prohibitions of § 1.5.3(B) of this Part shall also apply to political contributions through any Political Action Committee, or similar political funding entity, owned or controlled by such Vendor.

b.A Vendor under § 1.5.3(B) of this Part shall include, but not be limited to

(1)individuals,

(2)partners,

(3)managers and officers of a limited liability company, and members owning a five percent or greater interest in said limited liability company,

(4)directors and officers of a corporation, and shareholders of a corporation owning a five percent or greater interest in said corporation; or

2.directly or indirectly ask, demand, or solicit any political contribution from any employee, or applicant for employment of that Public Board.

C.The restrictions and prohibitions of § 1.5.3 of this Part shall not apply to matters representing arm's length, bona fide contracts for which due and fair consideration has been paid and received by the parties.

D.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

1.functions solely in an advisory capacity, or

2.exercises solely legislative functions.

E.This Regulation shall be effective upon filing.

1.5.4Municipal Official Revolving Door (36-14-5014)

A.No municipal elected official or municipal school committee member, whether elected or appointed, while holding office and for a period of one (1) year after leaving municipal office, shall seek or accept employment with any municipal agency in the municipality in which the official serves, other than employment which was held at the time of the official’s election or appointment to office or at the time of enactment of this Regulation, except as provided herein.

1.For purposes of this Regulation, “employment” shall include service as defined in R.I. Gen. Laws § 36-14-2(4) and shall also include service as an independent contractor or consultant to any municipality or municipal agency, whether as an individual or a principal of an entity performing such service.

2.For purposes of this Regulation, “municipal agency” shall include any department, division, agency, commission, board, office, bureau, authority, quasi-public authority, or school, fire or water district and any other agency that is in any branch of municipal government and exercises governmental functions other than in an advisory nature.

B.Nothing contained herein shall prohibit a municipal elected official or municipal school committee member, whether elected or appointed, from seeking or being elected to any elective office.

C.The Rhode Island Ethics Commission may authorize exceptions to this Regulation where such exceptions would not create an appearance of impropriety.

1.5.5State Executive/Administrative Revolving Door (36-14-5015)

A.No person holding or fulfilling a position in the Governor’s Office or the Department of Administration who in the course of and by reason of his or her official duties has substantial involvement in matters involving a state agency, as defined herein in § 1.5.5(A)(5) of this Part, shall:

1.Represent him or herself, as defined in § 1.1.4(A)(1) of this Part, before the state agency with which he or she has substantial involvement unless the Ethics Commission shall give its approval for such representation in a written advisory opinion and further provided that such approval shall not be granted unless:

a.The Ethics Commission is satisfied that denial of such representation would create a hardship, and

b.the person shall first:

(1)Advise the Governor’s Office or the Department of Administration and the state agency in writing of the existence and the nature of his or her relationship with the agency and his or her interest in the matter at issue;

(2)recuse him or herself from participating in the state agency’s consideration and disposition of the matter at issue; and

(3)follow any other recommendations the Ethics Commission may make to avoid any appearance of impropriety in the matter.

2.Represent any other person, as defined in § 1.1.4(A)(2) of this Part, before the state agency with which he or she has substantial involvement in the course of and by reason of his or her official duties.

3.Engage in any of the activities prohibited by §§ 1.5.5(A)(1) or (2) of this Part for a period of one year after he or she has officially severed his or her position with the Governor’s Office or the Department of Administration, unless:

a.Such representation is in the proper discharge of his or her official duties; or

b.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.

4.For purposes of this Regulation “substantial involvement” shall include, but is not necessarily limited to, substantial control or substantial influence over and/or substantial participation in matters involving budget, communications, legal, legislative, or policy matters. Positions exercising such involvement shall include, but are not limited to, Budget Officer, Chief of Staff, Deputy Chief of Staff, Executive Counsel, Communications Director, Director of Administrative Services, Director of Policy, and Director of Legislative Affairs.

5.For purposes of this Regulation a state agency shall include, but is not necessarily limited to, any agency, board, bureau, commission, committee, department, division, governmental entity, office, or quasi-public authority in the executive branch of state government, or any agency or committee thereof, that exercises governmental functions and is not part of another constitutional office.

6.For purposes of this Regulation a person holding a position in the Governor’s Office shall include, but is not necessarily limited to, Chief of Staff, Deputy Chief of Staff, Executive Counsel, Communications Director, Director of Administrative Services, Director of Policy, and Director of Legislative Affairs.

B.No director or head of a state department, enumerated in R.I. Gen. Laws § 42-6-1 and as may be amended from time to time, and including directors and heads of divisions within the Department of Administration who are appointed by the Governor and/or the Director of the Department Administration, shall:

1.Represent him or herself, as defined in § 1.1.4(A)(1) of this Part, before the Governor’s Office or the Department of Administration unless the Ethics Commission shall give its approval for such representation in a written advisory opinion and further provided that such approval shall not be granted unless:

a.The Ethics Commission is satisfied that denial of such representation would create a hardship; and

b.the person follows any other recommendations the Ethics Commission may make to avoid any appearance of impropriety in the matter.

2.Represent any other person, as defined in § 1.1.4(A)(2) of this Part, before the Governor’s Office or the Department of Administration.

3.Engage in any of the activities prohibited by §§ 1.5.5(B)(1) or (2) of this Part for a period of one year after he or she has officially severed his or her position, unless:

a.Such representation is in the proper discharge of his or her official duties; or

b.The particular matter before the Governor’s Office or Department of Administration requires only ministerial acts, duties, or functions involving neither adversarial hearings nor the authority to exercise discretion or render decisions.

1.5.6Revolving Door, "Employment" Defined (36-14-5017)

A.For purposes of R.I. Gen. Laws §§ 36-14-5(n) and 36-14-5(o), “employment” shall also include service as an independent contractor or consultant to the state or any state agency, whether as an individual or a principal of an entity performing such service.

1.5.7Transition from State Employment (36-14-5018)

A.Notwithstanding the prohibitions set forth within R.I. Gen. Laws § 36-14-5(o)(1), a person holding a senior policy-making, discretionary, or confidential position on the staff of any state elected official or the general assembly may, upon leaving said position, serve as an independent contractor or consultant to his or her former agency for a period not to exceed ninety (90) days to assist in the transition of his or her former duties.

History

Technical Revision — effective from 2026-01-01 to current
Amendment — effective from 2026-01-01 to 01/01/2026
Periodic Refile — effective from 2022-01-04 to 01/01/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Amendment — effective from 2012-06-03 to 05/25/2018
Amendment — effective from 2012-02-06 to 06/03/2012
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2007-02-01 to 05/25/2018
Amendment — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 05/25/2018
Adoption — effective from 2007-02-01 to 02/01/2007
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Adoption — effective from 2006-10-22 to 05/25/2018
Amendment — effective from 2006-10-22 to 05/25/2018
Technical Revision — effective from 2005-04-12 to 05/25/2018
Amendment — effective from 2005-04-12 to 04/12/2005
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 04/12/2005
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/01/2007
Periodic Refile — effective from 2002-01-28 to 10/22/2006
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 02/06/2012
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 Ethics Commission

520-RICR-00-00-2 § 2.1 Access to Commission Records (36-14-5001)

A.All Commission records, other than those listed within R.I. Gen. Laws § 38-2-2(4) (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.

B.This amendment shall take effect December 18, 1991, and shall relate to any complaint filed with the Commission on or after December 18, 1991.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.2 Commission Records (1028)

A.All Commission records, other than those referenced in R.I. Gen. Laws § 38-2-2(4) (Access to Public Records) and those relating to the investigations of complaints, shall be open to public inspection at reasonable times. Such records shall include, but are not limited to, pending Complaints and advisory opinion requests.

B.Any person wishing to review Commission records shall be entitled to examine said information during Commission business hours and upon reasonable notice and request. Copies of such public material shall be available to all persons, subject to the payment of costs as provided in R.I. Gen. Laws § 38-2-4, except those costs required to be paid by the Respondent in § 3.22(J) of this Subchapter.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.3 Public Forum Exceptions (36-14-8001)

A.The prohibitions contained in R.I. Gen. Laws § 36-14-8(f) and regulations thereto shall in no way be construed to limit or prevent any individual who is a member or employee of the Commission from 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, unless otherwise specifically prohibited by this Chapter.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.4 Additional Officers (36-14-8002)

A.There shall be a secretary elected in accordance with R.I. Gen. Laws § 36-14-8(d).

B.In the event of the absence of both the chairperson and the vice chairperson, the secretary shall preside. An assistant secretary pro tem shall act as secretary in the event of the secretary presiding at the meeting or in the event of the secretary's absence.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.5 Annual Report Requests (36-14-9001)

A.On or before the last Friday in December of each year, the Commission shall cause to be mailed, by first class mail, postage prepaid, an inquiry and roster from the then current records of the Commission to the clerk of each city and town and the state. Said inquiry shall include the definitions of those persons subject to the Code of Ethics, and shall direct the clerk to furnish the title, names and address of those persons subject to the Code of Ethics for each town who do not appear on said roster, and to furnish said information for replacement of any additional persons subject to the code during the next succeeding twelve (12) month period.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.6 Education (36-14-10001)

A.The Commission shall, within 180 days of the adoption of this Regulation, establish and appoint a subcommittee of the Commission appointed by the chairperson composed of five (5) Commission members (and the executive director, who shall serve in an ex officio capacity) to implement an appropriate educational program or programs as provided for in this Section.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.7 Advisory Opinions (1024)

A.A person subject to the Code of Ethics may request an advisory opinion relative to the provisions of the Code which may affect him or her. An entity subject to the Code may request an advisory opinion relative to the provisions of the Code which may affect all members of the entity, or a majority thereof. The request shall be in writing, include a complete statement of the facts, disclose the reasons for requesting the opinion and state any time period for Commission action which may be significant. The request shall be signed by the person requesting the opinion or by his or her representative.

B.Upon receipt of the request for an advisory opinion, the Commission shall acknowledge the request and the right to submit supporting data.

C.The Commission shall notify the person or entity requesting the opinion of the date the Commission intends to consider the request. All requests for advisory opinions shall be considered by the Commission in Open Session.

D.The Commission, in its discretion, may invite the person or entity requesting an opinion, counsel, or any other interested person, to make a written or oral presentation.

E.Any advisory opinion rendered by the Commission regarding provisions of the Code of Ethics must be approved, prior to issuance, by a majority of the members of the Commission.

F.Any advisory opinion rendered by the Commission, until amended or revoked by a majority of the Commission, shall be binding on the Commission in any subsequent proceeding concerning the person or entity who requested the opinion and who acted in reliance on it in good faith, unless material facts were omitted or misstated in the request for the opinion.

G.Advisory opinions are based upon the representations made by, or on behalf of the person or entity requesting the opinion, and are not the result of adversary or investigative proceedings.

H.The Commission may issue general advisory opinions and emergency advisory opinions in such form and under such circumstances as the Commission shall deem appropriate.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.8 Declaratory Ruling by Commission (1025)

A.Any interested person may petition the Commission for a declaratory ruling as to the applicability of any provision of the Code of Ethics or of any regulation or order of the Commission. The Commission shall promptly respond to each such petition. Any ruling disposing of petitions shall have the same status as Commission orders in contested cases.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.9 Petition for Adoption of Regulations (1026)

A.Any interested person may petition the Commission for the promulgation, amendment, repeal or adoption of any regulation. The petition shall be signed by the petitioner and shall state the specific reasons for the request. The Commission shall thereafter acknowledge receipt of the petition and advise the petitioner of the right to submit supporting data.

B.Within thirty (30) days of receipt of the petition, the Commission shall either deny the petition in writing (stating its reasons for the denial) or initiate rule-making procedures in accordance with R.I. Gen. Laws Chapter 42-35.

C.The Commission shall notify the petitioner of the date the Commission intends to consider the petition and may, at its discretion, invite the petitioner or other interested parties to make oral or written presentation.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.10 Adoption of Commission Policy and General Commission Advisory Opinions (1027)

A.Final adoption of any policy or general Commission advisory opinion shall require an affirmative vote at two separate meetings of the Commission. The initial vote may occur at any public meeting of the Commission. The second or final vote shall only be taken after the proposed policy or general advisory opinion has been incorporated by specific reference on a public meeting notice relating to an open and public meeting of the Commission, thereby providing an opportunity for public comment on any proposed policy or general advisory opinion. Specifically excluded from these policies are any proposed regulations which are subject to promulgation pursuant to R.I. Gen. Laws Chapter 42-35.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-2 § 2.11 Severability of Regulations (36-14-21001)

A.If any provision of these Regulations, or the application thereof to any person or circumstance, is held invalid, the validity of the remainder of these Regulations and the application of such provisions to other persons and circumstances shall not be affected thereby.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Technical Revision — effective from 2018-05-25 to 01/04/2022
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 Procedures - Complaints and Investigations

520-RICR-00-00-3 § 3.1 Limitations Period on Filing of Complaint (1001.1)

A.Any Complaint shall be filed with the Ethics Commission no later than six (6) years from the date of the alleged violation of the Rhode Island Code of Ethics.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.2 Limitation on Pre-election Complaints (1001.2)

A.The Ethics Commission shall not accept any complaint against an individual who has filed a valid declaration of candidacy for elective office, during the period of time beginning ninety (90) days prior to the general or special election in which the individual is a candidate, and ending the day after the election. Provided, however, that this restriction shall not apply to investigations or complaints initiated by the Ethics Commission.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.3 Preliminary Review of Information (1000)

A.The Executive Director or designee may review any information which indicates a possible violation of the Rhode Island Code of Ethics with the Commission in Executive Session and may thereupon conduct a preliminary investigation. The Executive Director or designee shall report to the Commission regarding such preliminary investigation.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.4 Preliminary Investigations (36-14-12001)

A.Pursuant to its constitutional authority to investigate violations of the State's Code of Ethics (R.I. Const., art. III, sec. 8) and its statutory empowerment to investigate allegations of violations of the provisions of R.I. Gen. Laws § 36-14-1, et seq. (R.I. Gen. Laws § 36-14-12(a)), the Rhode Island Ethics Commission adopts the following procedures for the preliminary investigation of allegations of violations of the Code of Ethics.

1.Upon a determination by the Executive Director of the Commission that information provided to and/or in the possession of the Commission and/or its staff establishes a reasonable basis to believe that a state or municipal official or employee, as those terms are defined in R.I. Gen. Laws § 36-14-1, et seq., may have violated provisions of R.I. Gen. Laws § 36-14-1, et seq., the State's Code of Ethics, the Executive Director, within a reasonable time, shall provide the Commission with written notification that a preliminary investigation has been initiated including the date the preliminary investigation file was opened, the subject(s) and/or subject matter of the preliminary investigation, and the nature and source(s) of the information that establishes a reasonable basis that a state or municipal official or employee may have violated provisions of R.I. Gen. Laws § 36-14-1, et seq., the State's Code of Ethics.

2.All files, documents or other materials relating to a preliminary investigation, including but not limited to written notifications, pleadings, records of counsel and investigators, subpoenas and pleadings requesting the issuance of subpoenas, documentary evidence, and records of witness statements, whether written or recorded by other means, shall remain confidential, except as follows:

a.the Commission, itself or through its Executive Director, may at any time grant access to any information related to and/or obtained during a preliminary investigation to any federal, state or municipal law enforcement agency;

b.the Commission, itself or through its Executive Director or his/her designee, may in a complaint filed with the Commission pursuant to R.I. Gen. Laws § 36-14-12(b) disclose information related to and/or obtained during a preliminary investigation; and

c.the Commission, itself or through its Executive Director or his/her designee, shall disclose information related to and/or obtained during a preliminary investigation in accordance with the provisions of R.I. Gen. Laws § 36-14-12(c)(4).

3.In accordance with R.I. Gen. Laws § 36-14-12(a)(1) the Commission, its Executive Director or his/her designee, through the issuance of subpoenas, may compel the attendance of witnesses and require the production of documents as follows:

a.no subpoenas may issue until written notification of the initiation of a preliminary investigation is made to the Commission pursuant to § 3.4(A)(1) of this Part; and

b.issuance of a subpoena(s) as part of a preliminary investigation shall be in accordance with the provisions of § 3.14 of this Part.

4.No later than sixty (60) days from the initiation of a preliminary investigation the Executive Director or his/her designee shall complete the preliminary investigation and shall file a report with the full Commission detailing the results of said investigation, including whether or not the Executive Director or his/her designee intends to file a complaint with the Commission pursuant to R.I. Gen. Laws § 36-14-12(b) as a result of said investigation. Upon a showing of good cause the Commission may grant an extension of time for the filing of said report.

5.The only decision made by the Commissioners during the preliminary investigation stage is whether there is good cause for an extension of time. The Commission shall not engage in any review of the substance of the complaint relating to the merits of the complaint.

6.The Executive Director or designee shall provide the Commission with quarterly reports identifying all open preliminary investigations.

7.The Executive Director or designee shall provide the Commission with notice when a preliminary investigation is closed without the filing of a complaint.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.5 Review of Complaint (1002)

A.Any Complaint filed shall be reviewed as to form. If the Complaint is defective as to form, it shall be returned to the Complainant for correction. If it is not returned to the Commission by the Complainant within twenty (20) days of mailing by the Commission, the Complaint shall not be processed as filed.

1.Notwithstanding § 3.5(A) of this Part, if the Executive Director or designee determines that the facts stated in a defective Complaint are sufficient to allege a violation of the Code of Ethics, the Executive Director or designee may initiate a preliminary investigation, regardless of any defects as to form, or the failure of the Complainant to refile the Complaint.

2.If the Complaint contains no defect as to form, it shall be reviewed by the Executive Director or designee to determine whether or not the Complaint alleges facts sufficient to constitute a knowing and willful violation of the Code of Ethics, who shall forward the Complaint to the Commission for review at an initial determination.

B.Subsequent to receipt of a Complaint in proper form, within three (3) working days, the Complainant and Respondent shall be mailed a copy of the Complaint, Notification of Receipt of Complaint, and a copy of the Code of Ethics and any regulations promulgated thereto.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.6 Filing of Complaint (1001)

A.The Rhode Island Ethics Commission shall investigate allegations of violation of the Rhode Island Code of Ethics. The Commission may proceed to investigate allegations of violations by:

1.accepting any information which indicates a possible violation of the Rhode Island Code of Ethics. The Executive Director or designee shall be responsible for the review and processing of such information in order to determine whether to conduct a preliminary investigation which may form the basis of a Commission Complaint, which the Commission may file on its own initiative.

2.accepting the filing of a Complaint by any person, business, state or municipal agency, or any other public body, which alleges a violation of the Code of Ethics. Such Complaint should be signed under oath and should set forth the name of the person who has allegedly violated the Code of Ethics, and should state in detail the specific acts which form the basis of the Complaint. Any such Complaint filed with the Commission should be made on a form provided by the Commission at no cost to the Complainant.

B.Any Complaint filed with the Commission and all documents in the Commission's official Complaint file relating to such Complaint shall be a public record, except as provided in § 3.6(C) of this Part.

C.All documents or other material related to the investigation of the Complaint, including but not limited to records of counsel and investigators, and interviews of witnesses, whether written or recorded by other means, shall remain confidential, provided that nothing herein shall prohibit the Commission from granting access to the above-described investigative documents or materials to law enforcement agencies.

D.Any person or entity which files such Complaint is not a party in interest to any action taken by the Commission. The people of the State of Rhode Island and the Respondent shall be the parties in interest. Notice by a Complainant that he or she wishes to withdraw a Complaint shall in no way affect the continuing jurisdiction of the Commission over the Complaint.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.7 Time for Investigations (36-14-12002)

A.Pursuant to R.I. Gen. Laws § 36-14-12(c), upon receipt of a written complaint alleging a violation of this Chapter, the Commission shall within one hundred eighty (180) days of the 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, as follows:

1.Requests to the Commission for extensions of sixty (60) days to complete investigations shall be submitted in writing to the full Commission by the Executive Director or his/her designee at least fifteen (15) days prior to the expiration of the initial one hundred eighty day (180) period or of an initial sixty (60) day extension, as the case may be.

2.Requests to the Commission pursuant to § 3.7(A)(1) of this Part, above, shall be submitted ex parte to the Commission and determinations of good cause shown shall be made upon a review and consideration of the full record before the Commission at the time the request is made.

3.All proceedings before the Commission relating to requests for extensions of time pursuant to §§ 3.7(A)(1) and (2) of this Part, above, shall be stenographically transcribed.

4.Upon completion of the investigation of a complaint, and prior to proceedings by the Commission as to a finding of probable cause regarding allegations of the complaint, all records relating to any determination(s) of extensions for good cause shown, including any stenographic transcripts made pursuant to § 3.7(A)(3) of this Part, above, shall be available to the subject of a complaint and/or his/her counsel.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.8 Initial Determination of Complaint (1003)

A.At the initial determination, the Commissioners must review the complaint and decide whether or not the facts alleged, if true, are sufficient to constitute a knowing and willful violation of the Code of Ethics. The Commissioners will not review any additional information or engage in any fact finding. The Commissioners are to examine the alleged facts within the four (4) corners of the complaint, without making any judgment as to credibility or examination of any collateral information.

B.If the Commission determines that the Complaint fails to allege facts sufficient to constitute a knowing and willful violation of the Code of Ethics, the Complaint shall be dismissed and the Respondent and Complainant shall be mailed a written notification of the dismissal within three (3) working days.

C.If the Commission determines that the Complaint alleges facts sufficient to constitute a knowing and willful violation of the Code of Ethics, the Commission shall promptly investigate the allegations contained therein. The Respondent and Complainant shall also be sent any written notification regarding such initial determination by the Commission within three (3) working days.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.9 Investigation of Complaint (1004)

A.Upon determining that the Complaint states facts sufficient to constitute a knowing and willful violation, the Commission shall have the power to investigate any and all alleged violations of the Code of Ethics. In furtherance of said investigation, the Commission shall have the power to:

1.compel the attendance of witnesses and require the production of documentary evidence; and

2.take oral or written evidence under oath or affirmation. Each Commissioner, the Executive Director or designee, and investigators shall have the authority and power to administer oaths and affirmations.

B.Upon receipt of a written Complaint alleging a violation of the Code of Ethics, the Commission shall complete its investigation within one hundred eighty (180) days of receipt of the written Complaint, provided that the Commission may grant no more than two (2) extensions of sixty (60) days each, for good cause shown.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.10 Filing a Response (1005)

A.The Respondent shall be mailed a copy of the Commission's Initial Determination that the Complaint properly alleges a knowing and willful violation of the Code of Ethics, which will be investigated by the Commission. The Respondent shall be further notified of the right to file a response under oath within twenty (20) days of the mailing date on forms provided by the Commission.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.11 Finding of Probable Cause (1006)

A.The Executive Director or designee shall submit a written report to the Commission summarizing the results of the investigation. The Executive Director or designee may make a recommendation as to the existence or non-existence of probable cause. A copy of this written report shall be sent to the Respondent and/or counsel no less than fourteen (14) days before the scheduled hearing regarding the existence of probable cause. A copy of any report, and written response thereto, so submitted shall be made public and a part of the official Commission Complaint file, upon the issuance by the Commission of either a Finding of Probable Cause or a Dismissal of the Complaint.

B.The Commission shall permit the Respondent and/or counsel to submit a written statement and/or to appear for the purpose of presenting arguments and/or written evidence in response to the allegations against him or her.

C.The Commission shall consider the Complaint, any amendment thereto, the written report submitted by the Executive Director or designee, and recommendation, if any, and any response submitted by the Respondent and/or counsel, in addition to any arguments or statements made thereupon by the Executive Director or designee and the Respondent and/or counsel, in finding the existence of probable cause. The Commission shall conduct its hearing regarding probable cause in Executive Session as an investigative proceeding, pursuant to R.I. Gen. Laws § 42-46-5(a)(4).

1.If the Commission finds that probable cause does not exist, the Complaint shall be dismissed with prejudice and the Commission shall forthwith prepare and issue a written Decision and Order explaining the basis for such dismissal. The Decision and Order shall be placed in the official Commission Complaint file and shall be a public record. A copy of the Decision and Order shall be provided to the Respondent and the Complainant. A Complaint dismissed for lack of probable cause shall not be entertained again by the Commission unless new facts are discovered which materially add to the Complaint.

2.If the Commission finds that probable cause exists to support the allegations of the Complaint, its findings shall state in detail such violations complained of and the manner in which they occurred. A copy of the Finding shall be mailed to the Respondent and the Complainant, if any, within three (3) working days of such issuance. The Commission shall schedule an adjudicative hearing on the matter. The Finding of Probable Cause constitutes the official Commission Complaint upon which the hearing shall be held.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.12 Amendment of the Complaint by the Commission (1007)

A.If the investigation reveals probable cause exists to believe that violations of the Code of Ethics have been committed, other than those contained in the Complaint, the Commission may amend the Complaint to include such other violations. Any amended Complaint shall be mailed to the Respondent and Complainant, if any, within three (3) working days of such issuance. The Respondent shall have twenty (20) days from the date such amended Complaint is mailed to file a response thereto. Any action by the Commission on such amendment shall be made part of the Commission's findings.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.13 Discovery (1008)

A.No discovery between the Executive Director or designee and the Respondent shall be permitted prior to the issuance of the Commission's Finding of Probable Cause, provided, however, that this limitation on discovery shall in no way limit the authority of the Commission or staff to conduct its investigation or to subpoena required documents or witnesses as reasonably necessary. No adjudicative hearing shall be scheduled until such time as the Executive Director or designee and the Respondent and/or counsel are afforded a reasonable opportunity to conduct discovery pursuant to this Regulation.

B.The Respondent and/or Respondent's counsel and the Executive Director or designee may request discovery only in accordance with this Regulation.

C.Within twenty (20) days after receiving a request, the party to whom the request is directed shall furnish the requesting party with:

1.the names, addresses and official positions, if any, of all individuals who are known to have information which is relevant to the allegations contained in the Finding of Probable Cause;

2.a copy of all documents which are known to be relevant to the allegations contained in the Finding of Probable Cause.

D.The obligation to provide discovery as specified in this Regulation shall be a continuing duty to disclose, and, if subsequent to compliance with the obligation to provide discovery either the Executive Director or designee or the Respondent and/or counsel discovers additional material which is subject to disclosure or has been requested under this Regulation, such disclosure shall be promptly made as required herein.

E.If at any time during the course of the proceedings the Commission finds that the Executive Director or designee, or the Respondent and/or counsel, has failed to comply with this Regulation, it may prohibit introduction into evidence of the material or the testimony which was not disclosed.

F.Except as provided for in this Regulation, no other discovery shall be permitted, including interrogatories, depositions or any other discovery mechanism, unless allowed by the Commission upon good cause shown.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.14 Subpoena (1009)

A.Subject to the provisions of § 3.13 of this Part, the Executive Director or designee, or the Respondent and/or Respondent's legal counsel, may issue a subpoena to compel the production of evidence or the attendance of witnesses regarding any matter pending before the Commission upon the filing of an affidavit detailing the specific persons or documents to be subpoenaed and their relevance to the matter at issue. Said affidavit shall be accepted and filed by the Commission staff and placed in the Commission's relevant complaint file. In addition, at the adjudicative hearing any Commission member shall be authorized to issue a subpoena.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.15 Taking of Oral or Written Evidence Under Oath (1010)

A.Any member of the Commission shall have the authority to take oral or written evidence and administer oaths in any matter pending before the Commission.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.16 Informal Disposition (1011)

A.At any time subsequent to a finding by the Commission that the Complaint, and any amendment thereto, states a knowing and willful violation of the Code of Ethics, the Executive Director or designee, with the concurrence of the Respondent and/or counsel, may seek an informal disposition through an agreed settlement, consent order, or other informal resolution of the pending Complaint.

B.The Executive Director or designee may meet with the Respondent and/or counsel for an informal conference to seek such informal disposition. The informal conference shall not be transcribed or recorded and no statements made by any person at such conference shall be used as evidence in any subsequent proceeding.

C.These Regulations shall in no way limit the resolution of any matter pursuant to R.I. Gen. Laws § 42-35-9(d), provided that any informal disposition of a pending Complaint shall be subject to the approval of the number of Commission members otherwise required to vote in the affirmative to find a violation of the Code of Ethics. For purposes of this Regulation, any hearing conducted by the Commission to review an informal disposition, prior to its approval and issuance, shall be treated as a proceeding in Executive Session, pursuant to R.I. Gen. Laws § 42-46-5(a)(4). The approved informal disposition of the Complaint shall become a public record.

D.If the Complaint at issue has been filed by a Complainant, he or she shall be notified of the date upon which the Commission will consider the proposed informal disposition, shall be notified of any actions taken by the Commission regarding said informal disposition, and shall be provided with a copy of any approved informal disposition agreement and/or order.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.17 Prehearing Motions (1012)

A.Unless good cause is shown, all prehearing motions shall be filed in writing no later than five (5) days prior to the date set for any hearing held pursuant to these Regulations. The motion shall be disposed of by order of the Commission with or without oral argument in the Commission's discretion. Nothing herein shall prevent or require the filing of a written objection to any such motion. All hearings conducted by the Commission related to any motion filed pursuant to this Regulation, subsequent to the issuance of a Finding of Probable Cause, shall be open to the public.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.18 Stenographic Recording of Commission Proceedings (1012.1)

A.The respondent to any complaint pending before the Ethics Commission may, at his or her own expense, arrange for the creation of a stenographic recording of those portions of the Ethics Commission proceedings to which the respondent has a right of participation or attendance. The respondent shall provide the Ethics Commission with a transcript of any such recording.

B.The respondent shall, not less than two (2) business days prior to the proceeding to be transcribed, provide the Ethics Commission with written notice of intent to create a stenographic record.

C.The Commission may, at its sole option, proceed with any matter in the absence of a stenographer if any of the above conditions are not met, if the stenographer is not prepared to begin at the scheduled time, or if the Commission determines that the creation of the stenographic recording will in any way delay or interfere with the orderly conduct of the proceeding.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.19 Continuances (1013)

A.Except in emergency cases or by agreement of counsel, any continuance shall be requested in writing stating the reasons therefore and received by the Commission at least two (2) days prior to the hearing. Oral arguments thereupon shall be within the discretion of the Commission, and the period of the continuance shall extend any time period in which the Commission may be otherwise required to act.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.20 Scheduling of Hearings (1014)

A.Unless good cause is shown, the Respondent shall be given at least fifteen (15) days notice prior to any scheduled adjudicative hearing by the Commission. Failure by any counsel to appear must be documented on the record by proof of actual engagement in Superior or Federal Court or the Supreme Court of Rhode Island.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.21 Commission Deliberations (1014.1)

A.At any hearing held in executive session pursuant to R.I. Gen. Laws § 42-46-5 of the Open Meetings Act, the Commission may privately deliberate on the matter under consideration without the presence of any other person or party.

B.During the private deliberations authorized by this Section, if the Respondent to a pending complaint has been excluded, then the Commission shall also exclude all Commission prosecutors, investigators and other members of the Commission staff.

C.Notwithstanding the requirements of § 3.21(B) of this Part, the Commission may allow the presence of its own independent legal counsel to respond to questions of law and procedure posed by Commission members.

D.There shall be no motions made, nor votes taken, during private deliberations.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.22 Hearing to Determine Violation of the Code of Ethics (1015)

A.Adjudicative hearings shall be conducted consistent with these Regulations. The Chair of the Commission, or the Chair's designee, shall act as the presiding officer. All hearings conducted by the Commission subsequent to the issuance of a Finding of Probable Cause shall be open to the public, except for any hearing conducted by the Commission to review an informal disposition prior to its approval and issuance, pursuant to § 3.16 of this Part. Any such hearing shall be treated as a proceeding in Executive Session, pursuant to R.I. Gen. Laws § 42-46-5(a)(4).

B.The Executive Director or designee shall present the case against the Respondent.

C.The Respondent may either represent himself or herself or appear through counsel.

D.Unless waived by the Respondent, the presiding officer shall read aloud the Finding of Probable Cause. The Respondent shall then either admit or deny such Finding of Probable Cause.

E.The Executive Director or designee may make an opening statement. The Respondent and/or counsel may next make an opening statement or delay such statement until the presentation of the Respondent's case.

F.Oral evidence shall be taken only on oath or affirmation.

G.The Executive Director or designee and the Respondent and/or counsel shall have the right to compel attendance of witnesses, to compel the production of documents, to examine witnesses and cross-examine opposing witnesses, to introduce exhibits and otherwise to present matters to the Commission relevant to the Complaint.

H.Commission members may ask questions of each witness during the hearing.

I.The Respondent and/or counsel may make a closing statement followed by the closing statement of the Executive Director or designee.

J.A stenographic record shall be made of all evidentiary hearings conducted pursuant to this Regulation. If the Respondent desires a copy of the stenographic record, he or she must make arrangements with the stenographer and bear all costs. The original stenographic record shall be filed with the Commission.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.23 Rules of Evidence; Standard of Proof (1016)

A.Irrelevant, immaterial, or unduly repetitious evidence shall be excluded. The rules of evidence as applied in administrative proceedings shall be followed. When necessary to ascertain facts not reasonably susceptible of proof under those rules, evidence not admissible under strict rules of evidence may be admitted, if it is of the type commonly relied upon by reasonably prudent persons in the conduct of their affairs, and generally admissible in administrative proceedings.

B.The Commission shall give effect to the rules of privilege recognized by law. Objections to the introduction of evidence may be made and shall be noted on the record and the Commission may permit offers of proof to be made. Subject to these requirements, when a hearing will be expedited and the interests of the parties will not be substantially prejudiced, any part of the evidence may be received in written form.

C.Documentary evidence may be received in the form of copies or excerpts, if the original is not readily available. Upon request, parties shall be given the opportunity to compare the copy to the original.

D.Notice may be taken of judicially cognizable facts. The civil standard of proof, preponderance of the evidence, shall apply.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.24 Issuance of Decision (1017)

A.At the conclusion of all evidentiary hearings concerning the alleged violation, the Commission shall immediately begin deliberations on the evidence in Executive Session and proceed to determine whether there has been a knowing and willful violation of the Code of Ethics.

B.Legal Counsel to the Commission may not participate in the deliberations of the Commission. Counsel shall respond to questions of law posed by Commission members.

C.In order for the Commission to issue a decision that there has been a knowing and willful violation of the Code of Ethics, it shall be necessary that a majority of members who have attended all hearings, but in no case fewer than three (3) members of the Commission, shall vote in the affirmative to so find.

D.The written decision shall contain findings of fact and conclusions of law, and shall be reviewed by all members participating in the deliberations. The decision is rendered on the date on which the presiding officer affixes his signature.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.25 Quorum Requirement (1018)

A.For any action of the Commission to be taken by the Commission, there shall be a quorum of five (5) members present. For every two members who recuse themselves from participation in a particular hearing, the number required for quorum shall be reduced by one (1).

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.26 Continuance for Commissioner Unavailability (1019)

A.If the quorum requirements set forth in § 3.24 of this Part are not satisfied at any scheduled proceeding of the Commission, said proceeding shall automatically be continued to the next available hearing date when a sufficient number of Commission members will be present.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.27 Enforcement (1020)

A.The Commission, upon a finding that there has been such a violation of the Code of Ethics, shall issue an order that may:

1.require such violator to cease and desist such violation of the provisions of the Code of Ethics; and/or

2.require such violator to file any report, statement, or other information as required by the Code of Ethics; and/or

3.require such violator to pay a civil penalty of not more than twenty-five thousand dollars ($25,000.00) for each such violation of the Code of Ethics and the pecuniary value of any unjust enrichment realized by the violator as the result of his or her violation of the Code of Ethics; and/or

4.remove such violator from office who is not subject to impeachment, provided that such removal may only occur upon the affirmative vote of two-thirds (2/3) of those members of the Commission participating in the issuance of the decision and order, and further, that such removal shall be conditioned upon a finding by the Commission that the conduct of the violator was a knowing, willful, wanton and reckless violation of the prohibited activities provisions of the Code of Ethics;

5.refer the entire record of its proceedings to the Attorney General, or any appropriate law enforcement agency. Such referral shall not affect any continuing jurisdiction of the Commission over the matter.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.28 Request for New Hearing or Modification of Decision (1021)

A.A request for a new hearing or modification of a decision of the Commission may only be made by the Executive Director or designee or the Respondent and/or counsel within fourteen (14) days of the date on which the decision is mailed.

B.Such request shall be in writing and shall state the reasons for the requested new hearing or modification of the decision. Any such request shall be handled as a priority matter by the Commission. No oral arguments shall be heard unless requested by the Commission.

C.In order for the Commission to order a new hearing or modification of the decision, it shall be necessary that a majority of the members who attended all hearings, but in no case fewer than three (3) of said members, shall so vote.

D.The Respondent, and Complainant, if any, shall be notified of the Commission's action regarding the request for a new hearing or modification of the decision.

E.If a new hearing is granted, the Respondent, and Complainant, if any, shall be notified of the new hearing date. If the request is denied, appeal may be taken pursuant to R.I. Gen. Laws § 42-35-15.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.29 Judicial Review (1022)

A.Any final decision of the Commission may be subject to judicial review pursuant to R.I. Gen. Laws § 42-35-15.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-3 § 3.30 Procedure for Complaints Relating to Financial Disclosure (1023)

A.Complaints which solely relate to alleged violations of the Code of Ethics regarding either delinquent or deficient financial disclosure statements, shall be processed pursuant to the procedures set forth in this Regulation, unless otherwise determined by the Commission.

1.The Commission shall adopt, by a majority vote, a schedule of fines and penalties to which a Respondent shall be subject if he or she consents to the entry of a finding of a violation for failure to file a financial disclosure statement which complies with the requirements of the Code of Ethics, in violation thereof. Such schedule shall not apply to any adjudicative hearing as described in § 3.30(A)(5) of this Part.

2.Whenever records of the Commission reveal that a person required to file a financial disclosure statement has not complied with the requirements of the Code of Ethics, the Executive Director or designee may file a Complaint against said person, accompanied by an affidavit specifying the basis upon which the Respondent is required to file such statement, and setting forth in detail any non-compliance.

3.Upon the filing of any Complaint described above in § 3.30(A)(2) of this Part, a copy of the Complaint and copies of all documents supporting such Complaint shall be mailed to the Respondent by certified mail, along with a copy of the Code of Ethics, Commission Regulations, waiver of right to appear, stipulation and agreement, and the schedule of fines and penalties adopted pursuant to this Regulation.

4.If the Respondent agrees to the waiver of his or her right to appear and pays the appropriate fine as determined by the above-described schedule, and properly files any delinquent or deficient financial disclosure statement, and stipulation and agreement, no hearing on the matter will be required.

5.If the Respondent contests the Complaint described above in § 3.30(A)(2) of this Part, the Commission shall conduct a proceeding regarding probable cause, pursuant to § 3.11 of this Part, and, should a Finding of Probable Cause issue, the Commission shall conduct a hearing thereupon, pursuant to § 3.22 of this Part.

History

Amendment — effective from 2026-01-22 to current
Periodic Refile — effective from 2022-01-04 to 01/22/2026
Amendment — effective from 2018-10-03 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 10/03/2018
Adoption — effective from 2016-08-09 to 05/25/2018
Adoption — effective from 2013-06-26 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Amendment — effective from 2010-03-29 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Amendment — effective from 2005-04-12 to 05/25/2018 Click here to view previous versions of this Part.
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 Financial Disclosure

520-RICR-00-00-4 § 4.1 Information Voluntarily Supplied (1029)

A.A public official or employee who is not required to file a financial disclosure statement pursuant to the Code of Ethics may voluntarily choose to file such statement, or any other document otherwise required, with the Commission. The Commission shall accept such documents which shall be treated in the same manner as documents received from persons required to submit them.

B.A person subject to the Code of Ethics may choose to submit information in excess of that which is required under the Code. Such information shall be treated in the same manner as information required to be filed. The Commission will not, however, accept any document in lieu of appropriately completed forms.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.2 Continuing Duty to File a Financial Statement After Leaving Office (36-14-16004)

A.When a public official who is required to file a financial disclosure statement leaves office, such official shall have a continuing duty to file a timely financial statement covering the last calendar year during any part of which the office was held, unless the official's tenure expired prior to the end of January in the particular year.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.3 Commission Mailings (36-14-16001)

A.The time periods for the mailing of financial statement forms by the Commission to an individual under this Section shall be extended in the event the Commission has not received official written notice of the individual's appointment or eligibility until the Commission receives such notice.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.4 Occupational Income (36-14-17001)

A.The name and address of any employer from which the public official, his or her spouse or dependent child, (individually or collectively) received one thousand dollars ($1,000) or more gross income must be listed. If self-employed, any occupation or profession from which the public official his or her spouse, or dependent child (individually or collectively) received one thousand dollars ($1,000) or more gross income. If the employer is a state or municipal agency or if self-employed and services for in excess of two hundred and fifty dollars ($250) were rendered to a state or municipal agency, the period of employment or dates services were rendered and the specific nature of the services must be listed.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.5 Executive Positions (36-14-17002)

A.The name and address of any business as defined in R.I. Gen. Laws § 36-14-2(2) which the public official, his or her spouse or dependent child is a director, officer, partner, trustee, or holds a supervisory management position must be listed.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.6 Real Estate Interest (36-14-17003)

A.A financial interest in real estate shall include direct as well as indirect ownership through a trust or other entity, mortgages, options to buy, sell, or lease for a long term, and other interests in real estate, held individually or collectively by persons under R.I. Gen. Laws § 36-14-17(a).

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.7 Trust Income (36-14-17004)

A.Disclosure of income as beneficiary of a trust shall include identification of the particular trustee, and asset or assets which generated such income.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.8 Business Positions (36-14-17005)

A.Membership in a business entity necessitating disclosure shall include status as a member of a board of directors, officer, partner, trustee, or the holding of any other similar executive position in a business.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.9 Doing Business with a State or Municipal Agency (36-14-17006)

A.Transactions reportable under R.I. Gen. Laws § 36-14-17(b)(1) shall include any transaction or transactions which together exceed two hundred fifty dollars ($250) at any time during the calendar year.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.10 Business Interest (36-14-17007)

A.Disclosure of business interest under R.I. Gen. Laws § 36-14-17(b)(1) shall include an ownership interest of ten percent (10%) or greater, or a cash value interest amounting to five thousand dollars ($5,000) or greater, individually or collectively relating to all persons under R.I. Gen. Laws § 36-14-17(a), at any time during the calendar year.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.11 Leadership Positions with Not-For-Profit Organizations (36-14-17008)

A.The financial statement required to be filed pursuant to R.I. Gen. Laws § 36-14-16 shall include, in addition to any other requirements, a list of all boards of directors, trustees or equivalent fiduciary positions of which the person is a member, and all executive officer positions which the public official holds, in any not-for-profit organization. This disclosure shall include a listing of each entity or organization, its address and the position held.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR-00-00-4 § 4.12 Out-of-State Travel (36-14-17009)

A.Any public official or employee who is required to file a yearly financial statement pursuant to R.I. Gen. Laws § 36-14-16(a) shall disclose the source, value and description of any out-of-state travel and related transportation, lodging, meals and entertainment having an aggregate fair market value or actual cost greater than two hundred fifty dollars ($250) provided by any person or entity, other than the state or municipal agency of which he or she is a member or by which he or she is employed or his or her regular private employer, if under the totality of the circumstances it is more likely than not that the person or entity would not have provided the travel but for the official’s or employee’s public office or position.

B.Circumstances indicating that the person or entity would not have provided the travel but for the official's or employee's public office or position may include, but are not limited to, one or more of the following:

1.The official or employee became acquainted with the provider through his or her public agency;

2.The official or employee was offered the out-of-state travel and related transportation, lodging, meals and entertainment through a communication sent to or through the public official's or employee's agency;

3.Other officials or employees in the same agency are offered, or have been offered, out-of-state travel and related transportation, lodging, meals and entertainment from the provider;

4.The official's or employee's counterparts in other public agencies or jurisdictions have been offered similar out-of-state travel and related transportation, lodging, meals and entertainment by the provider;

5.The provider is affiliated with any "interested person," as defined by § 1.4.2 of this Subchapter, or has allowed an interested person to underwrite expenses associated with the out-of-state travel and related transportation, lodging, meals and entertainment;

6.The provider is an entity whose membership is limited to, or is largely comprised of, public officials;

7.The official or employee had not received out-of-state travel and related transportation, lodging, meals and entertainment from the provider prior to attaining his or her public office or employment;

8.If the out-of-state travel and related transportation, lodging, meals and entertainment involves attendance at an event, any written references by the provider or affiliated persons relative to the public official's or employee's attendance or participation refer to his or her public office, duties or agency.

9.If the travel involves a conference or seminar, the subject matter of the conference or seminar directly pertains to the public official's or employee's official duties.

History

Technical Revision — effective from 2022-01-04 to current
Periodic Refile — effective from 2022-01-04 to 01/04/2022
Technical Revision — effective from 2018-05-25 to 01/04/2022
Adoption — effective from 2012-12-11 to 05/25/2018
Adoption — effective from 2008-04-15 to 05/25/2018
Technical Revision — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 01/28/2002
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018
Periodic Refile — effective from 2002-01-28 to 05/25/2018

520-RICR — Ethics Commission

Chapter 00

Subchapter 00

520-RICR-00-00-1 Code of Ethics

520-RICR-00-00-1 § 1.1 Definitions

520-RICR-00-00-1 § 1.2 Recusal

520-RICR-00-00-1 § 1.3 Nepotism

520-RICR-00-00-1 § 1.4 Other Prohibited Activities

520-RICR-00-00-1 § 1.5 Revolving Door/Post-Employment

520-RICR-00-00-2 Ethics Commission

520-RICR-00-00-2 § 2.1 Access to Commission Records (36-14-5001)

520-RICR-00-00-2 § 2.2 Commission Records (1028)

520-RICR-00-00-2 § 2.3 Public Forum Exceptions (36-14-8001)

520-RICR-00-00-2 § 2.4 Additional Officers (36-14-8002)

520-RICR-00-00-2 § 2.5 Annual Report Requests (36-14-9001)

520-RICR-00-00-2 § 2.6 Education (36-14-10001)

520-RICR-00-00-2 § 2.7 Advisory Opinions (1024)

520-RICR-00-00-2 § 2.8 Declaratory Ruling by Commission (1025)

520-RICR-00-00-2 § 2.9 Petition for Adoption of Regulations (1026)

520-RICR-00-00-2 § 2.10 Adoption of Commission Policy and General Commission Advisory Opinions (1027)

520-RICR-00-00-2 § 2.11 Severability of Regulations (36-14-21001)

520-RICR-00-00-3 Procedures - Complaints and Investigations

520-RICR-00-00-3 § 3.1 Limitations Period on Filing of Complaint (1001.1)

520-RICR-00-00-3 § 3.2 Limitation on Pre-election Complaints (1001.2)

520-RICR-00-00-3 § 3.3 Preliminary Review of Information (1000)

520-RICR-00-00-3 § 3.4 Preliminary Investigations (36-14-12001)

520-RICR-00-00-3 § 3.5 Review of Complaint (1002)

520-RICR-00-00-3 § 3.6 Filing of Complaint (1001)

520-RICR-00-00-3 § 3.7 Time for Investigations (36-14-12002)

520-RICR-00-00-3 § 3.8 Initial Determination of Complaint (1003)

520-RICR-00-00-3 § 3.9 Investigation of Complaint (1004)

520-RICR-00-00-3 § 3.10 Filing a Response (1005)

520-RICR-00-00-3 § 3.11 Finding of Probable Cause (1006)

520-RICR-00-00-3 § 3.12 Amendment of the Complaint by the Commission (1007)

520-RICR-00-00-3 § 3.13 Discovery (1008)

520-RICR-00-00-3 § 3.14 Subpoena (1009)

520-RICR-00-00-3 § 3.15 Taking of Oral or Written Evidence Under Oath (1010)

520-RICR-00-00-3 § 3.16 Informal Disposition (1011)

520-RICR-00-00-3 § 3.17 Prehearing Motions (1012)

520-RICR-00-00-3 § 3.18 Stenographic Recording of Commission Proceedings (1012.1)

520-RICR-00-00-3 § 3.19 Continuances (1013)

520-RICR-00-00-3 § 3.20 Scheduling of Hearings (1014)

520-RICR-00-00-3 § 3.21 Commission Deliberations (1014.1)

520-RICR-00-00-3 § 3.22 Hearing to Determine Violation of the Code of Ethics (1015)

520-RICR-00-00-3 § 3.23 Rules of Evidence; Standard of Proof (1016)

520-RICR-00-00-3 § 3.24 Issuance of Decision (1017)

520-RICR-00-00-3 § 3.25 Quorum Requirement (1018)

520-RICR-00-00-3 § 3.26 Continuance for Commissioner Unavailability (1019)

520-RICR-00-00-3 § 3.27 Enforcement (1020)

520-RICR-00-00-3 § 3.28 Request for New Hearing or Modification of Decision (1021)

520-RICR-00-00-3 § 3.29 Judicial Review (1022)

520-RICR-00-00-3 § 3.30 Procedure for Complaints Relating to Financial Disclosure (1023)

520-RICR-00-00-4 Financial Disclosure

520-RICR-00-00-4 § 4.1 Information Voluntarily Supplied (1029)

520-RICR-00-00-4 § 4.2 Continuing Duty to File a Financial Statement After Leaving Office (36-14-16004)

520-RICR-00-00-4 § 4.3 Commission Mailings (36-14-16001)

520-RICR-00-00-4 § 4.4 Occupational Income (36-14-17001)

520-RICR-00-00-4 § 4.5 Executive Positions (36-14-17002)

520-RICR-00-00-4 § 4.6 Real Estate Interest (36-14-17003)

520-RICR-00-00-4 § 4.7 Trust Income (36-14-17004)

520-RICR-00-00-4 § 4.8 Business Positions (36-14-17005)

520-RICR-00-00-4 § 4.9 Doing Business with a State or Municipal Agency (36-14-17006)

520-RICR-00-00-4 § 4.10 Business Interest (36-14-17007)

520-RICR-00-00-4 § 4.11 Leadership Positions with Not-For-Profit Organizations (36-14-17008)

520-RICR-00-00-4 § 4.12 Out-of-State Travel (36-14-17009)

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