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Commission I Advisory Opinions I Code of Ethics I Education & Publications I Financial Disclosure
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Commission I Advisory Opinions I Code of Ethics I Education & Publications I Financial DisclosureAny person may submit a signed, notarized complaint on forms provided by the Commission. The complaint must name the individual alleged to have violated the Code (the "respondent"), identify the respondent's public office, and detail the specific acts which allegedly violate the Code of Ethics. The Commission also may initiate its own investigations based on information received indicating a possible violation of the Code.
Within 3 working days of the receipt of any properly filed complaint, the Commission mails to the complainant and the respondent copies of the complaint, the Code of Ethics, and Commission regulations. The Commission then sends timely notices of subsequent actions.
At this first stage of review, the Commission determines whether the complaint falls within its jurisdiction and properly alleges a violation of the law. Meeting in closed session the Commission either dismisses the complaint or initiates an investigation. The decision to investigate does not address the validity of the complaint; it merely indicates that the allegations properly fall under the provisions of the Code of Ethics. Neither the complainant nor the respondent participates in the initial determination.
The Commission may issue subpoenas to compel the production of evidence or the attendance of witnesses. Staff Investigators may take oral or written evidence under oath or affirmation. An investigation must be completed within 180 days after the complaint is filed, unless the Commission approves one or, at most, two 60-day extensions for good cause. Investigative Reports become public records after a probable cause hearing has been completed.
The respondent is mailed a copy of the Investigative Report at least 14 days prior to a scheduled hearing. At the hearing, the prosecution presents the results of the investigation. The Commission reviews the Investigative Report and any answer or other information asubmitted by the respondent and/or respondent's counsel. The meeting is closed to the public, but the respondent, respondent's counsel, and the complainant may be present. The Commission may then vote to: (a) dismiss the complaint for lack of evidence; (b) continue the investigation (subject to extension limits noted above); or, (c) find that probable cause exists to support the allegations.
If the Commission finds probable cause to support the allegations, an adjudicative hearing is scheduled, with at least 15 days prior notice. This is an adversarial hearing. The prosecutor and the respondent and/or respondent's counsel may present evidence and examine and cross-examine witnesses. Commissioners also may question witnesses. Rules of evidence are followed, regulations provide for discovery, and principles of due process govern all procedures. A stenographic record is kept and the hearing is conducted in an open and public session.
The Commission meets in closed session to deliberate and determine whether there has been a knowing and willful violation of the Code of Ethics. Upon a finding of violation, the Commission may: (a) issue a cease and desist order; (b) require the respondent to file any statement mandated by the Ethics Code; (c) impose a civil fine of up to $25,000 per violation and the return of any unjust enrichment; (d) or, for egregious violations, remove from office any official not subject to impeachment.
Complainants and witnesses have rights under the Rhode Island Whistleblower Act, chapter 50 of title 28, and may also bring a civil action in superior court for injunctive relief, or actual damages, or both and attorney's fees within three (3) years after being threatened or intimidated in any proceeding before the Ethics Commission.
The Code of Ethics provides that "no person shall knowingly and willfully make a false or frivolous complaint under this chapter."
All Final Orders of the Commission are subject to review by the Superior and Supreme Courts of Rhode Island pursuant to the Administrative Procedures Act.
For more information see: R.I. Gen. Laws § 36-14-12 to § 36-14-15 and R.I. Ethics Commission Regulations 1000 to 1023.