SIC Training

Presented by: Office of the General Treasurer

Why are we here?

• R.I.G.L. 36-10-1 requires training for public members on following statutory provisions:– SIC Statutes (occurred July 2015)– Open Meetings Act “OMA”– Ethics– Access to Public Records Act “APRA”– SIC Rules and Regulations (occurred July 2015)

The Open Meetings Act“OMA”

R.I.G.L. § 42-42-1 et seq.

When does OMA apply?

• All 3 of the following must occur for the OMA to apply:– Public Body – department, agency, commission,

committee, board, council, bureau, or authority or any subdivision thereof of state or municipal government

– Quorum – simple majority– Meeting – discussion and/or action upon a matter over

which the public body has supervision, control, jurisdiction, or advisory power (includes “work sessions”)

Beware of the “Rolling/Walking Quorum

• A series of meetings each less than a “quorum” but that collectively represents a “quorum”

• Be mindful when using email

Executive Session

• Public bodies may hold closed meetings for the following purposes:– Sessions relating to collective bargaining or litigation– Any investigative proceedings regarding allegations of

misconduct, either civil or criminal;– Any discussions or considerations related to the acquisition or

lease of real property for public purposes, or of the disposition of publicly held property wherein advanced public information would be detrimental to the interest of the public

– A matter related to the question of investment of public funds where the premature disclosure would adversely affect the public interest.

Entering into Executive Session

• Majority vote• Citation of the subsection allowing executive

session• No discussion of matter not cited• Example:– “I move to enter into executive session pursuant

to RIGL – complete example”

Votes and Reporting Out

• Any votes taken in executive session must be disclosed when returning to open session unless the disclosure of the vote would jeopardize any strategy negotiation or investigation

• A vote must be taken to reopen the meeting• A vote can be taken to seal executive session

minutes

Notice

• Annual – beginning each calendar year• Supplemental – 48 hours before every meeting

and includes business to be discussed and/or acted upon

• Must include dates, times places of meetings• Posting– Office of public body– Other prominent location AND– Secretary of State’s website

Notice of Executive Session

• Must make a statement of each item to be discussed and cite to authority

• If a case (litigation) is publicly known must state it

Minutes

• Date, time, place of meeting, members present/absent

• A record of votes taken (how each person voted)

• Any other relevant information• Must file with SOS within 35 days of meeting

except for Advisory Public bodies

Ethics

R.I.G.L. 36-14-1 et seq.

Declaration of Policy

• It is the policy of the state of Rhode Island that public officials and employees must adhere to the highest standards of ethical conduct, respect the public trust and the rights of all persons, be open, accountable and responsive, avoid the appearance of impropriety, and not use their position for private gain or advantage

Who does the Code of Ethics apply to?

• State and municipal elected officials• State and municipal appointed officials; and• Employees of state and local government, of

boards, Commissions, and agencies

Prohibited Activities

• Actions that would result in substantial conflict with proper discharge of duties

• Using position for financial gain• Appearing before own board/commission• Threaten, bribe, etc.

Gifts

• Cannot accept gifts from “interested person” in excess of $25– Interested person is defined as “a person or a

representative of a person or business 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• Interested person includes employees or representatives

of an individual, business, organization or entity

Recusal

• Advise legal counsel and board – on the record – that there is a conflict

• Complete recusal form and submit to the Ethics Commission with copy for Secretary/Clerk

• DO NOT PARTICIPATE IN DISCUSSION AND/OR VOTE ON THE MATTER!

Financial Disclosures

• State appointed officials are required to file financial disclosures

• Due by the last Friday of April every year• Filing for the previous calendar year (Due April

2016 covering period of February 1, 2015 through December 31, 2015)

• Can file electronically or by mail

Access to Public Records Act“APRA”

R.I.G.L. 38-2-1 et seq.

Purpose

• To facilitate public access to public records while protecting information about particular individuals maintained in the files of public bodies when disclosure would constitute an unwarranted invasion of personal privacy.

What is a “public record”?

• Documents, papers, letters, maps, books, tapes, photographs, films, sound recordings, magnetic or other tapes, electronic data processing records, computer stored data (including electronic mail messages…) or other material regardless of physical form or characteristics made or received pursuant to law or ordinance or in connection with the transaction of official business by any agency.

Everything is public…

• The law provides for 27 exemptions which may be used to withhold public records

• Overall balancing test: privacy of individual vs. public interest

• Most common exemption applied to SIC records requests are:– Trade secrets and commercial or financial information

obtained from a person, firm, or corporation which is of a privileged or confidential nature

Some other exemptions

• Records relating to an attorney/client relationship• Reports and statements of strategy or negotiation

with respect to the investment or borrowing of public funds, until such time as those transactions are entered into

• Sealed executive session minutes• Preliminary drafts, notes, impressions, memoranda,

working papers, and work products; provided, however, any documents submitted at a public meeting of a public body shall be deemed public

Other highlights of the APRA

• 10 business day timeframe with possible extension for “good cause” – Failure to respond within 10 days results in a denial

• Costs of $.15 may be charged for copies and $15/hr for search and retrieval (first hour free)

• No obligation to provide documents in the format requested if not already in format

• No obligation to create documents if they do not exist

Questions/Resources

• Department of Attorney (OMA and APRA):– Training materials: http://

www.riag.ri.gov/CivilDivision/OpenGovernmentUnit.php– Contact information:

RI Office of the Attorney GeneralOpen Government UnitPhone: (401) 274-440

• Ethics Commission:– Code of Ethics: http://www.ethics.ri.gov/code/– Contact information:

Rhode Island Ethics Commission40 Fountain Street, 8th floor Providence, RI 02903Phone: 401-222-3790