Section 520-RICR-00-00-1.5 - Revolving Door/Post-Employment1.5.1Employment from Own Board ( 36-14-5006)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)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; or3. 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 (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; or2. 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 arms 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; orb. 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; orb. 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)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)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.
520 R.I. Code R. 520-RICR-00-00-1.5