DiLuglio v. Rhode Island Ethics Commission

726 A.2d 1149, 1999 R.I. LEXIS 77, 1999 WL 173641
CourtSupreme Court of Rhode Island
DecidedMarch 26, 1999
DocketNo. 97-330-M.P.
StatusPublished
Cited by1 cases

This text of 726 A.2d 1149 (DiLuglio v. Rhode Island Ethics Commission) is published on Counsel Stack Legal Research, covering Supreme Court of Rhode Island primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
DiLuglio v. Rhode Island Ethics Commission, 726 A.2d 1149, 1999 R.I. LEXIS 77, 1999 WL 173641 (R.I. 1999).

Opinion

OPINION

PER CURIAM.

This is a petition for certiorari concerning a former legislator’s alleged violation of G.L. 1956 § 36 — 14—5(e),1 the so-called revolving-door legislation. The petitioner, Thomas A. DiLuglio, a former state senator, asks us to reverse a Superior Court judgment that affirmed a decision and order of the Conflict of Interest Commission (former commission), a predecessor entity to the Rhode Island Ethics Commission (commission). The former commission assessed a civil penalty against the petitioner for representing a client before the Rhode Island State Senate (senate) within a year after leaving his public office where he served as a member of that body. The petitioner also challenges an interlocutory Superior Court order substituting the commission for its predecessor agency, the former commission, in petitioner’s then-pending Superior Court appeal from the former commission’s order that adjudged the petitioner a violator of § 36-14-5(e). We ordered the parties to show cause why we should not resolve this petition summarily. After reviewing the parties’ legal submissions and listening to their oral arguments, we conclude that no such cause has been shown. Hence, we proceed to resolve this petition without further briefing and argument.

Facts and Travel

The petitioner is an attorney who served as a member of the senate from January 1975 until July 1983. The Rhode Island Bottlers of Carbonated Beverages, also known as the Rhode Island Soft Drink Association (bottlers), retained petitioner shortly after he left the senate to represent the bottlers in their attempt to defeat a bill relating to litter control and recycling that was then pending before the Rhode Island General Assembly. On April 11, 1984, petitioner registered as a legislative agent. For petitioner’s work in opposing the bill in question, the bottlers paid him approximately $5,300. The petitioner initiated telephone conferences with and prepared letters of information to state senators opposing the bill. The petitioner also attended senate sessions during April and May of 1984, wearing his lobbyist badge and arranged at least two dinners at a Providence restaurant between state senators and representatives of the soft-drink industry for the purpose of providing information in opposition to the bill. However, when the Senate Finance Committee convened to consider this bill, another attorney rather than petitioner appeared on behalf of the bottlers and submitted a formal presentation to the committee opposing the bill.

Analysis

I

Substitution of the Commission-for Its Predecessor

The 1987 legislation creating the commission, P.L.1987, ch. 195, § 1 (the act), repealed the enabling legislation of the former [1151]*1151commission. However, the act provided the commission with the authority to continue the former commission’s work in progress as of its effective date (June 25, 1987). P.L. 1987, ch. 195, §§ 4, 6. For example, § 6 of the act authorized the commission to take action on any appeals from former commission orders pending before the Superior Court in the event that the court remanded any such case to the commission. We are of the opinion that such a provision necessarily contemplated that the commission would be able to enter an appearance as a party in such pending appeals, either to request such a remand or to respond to any request for a remand that any other party to the appeal may present to the court. In addition, § 4(d) of the act essentially transferred to the commission all complaints pending before the former commission for which it had closed the record in a formal hearing but had not yet rendered a final judgment as of the effective date of the act. Here, the former commission had “completed and formally closed the record in a formal hearing on the said complaint” prior to the act’s effective date. Id. Nonetheless, because of petitioner’s pending Superior Court appeal, the former commission had not yet rendered a final judgment on the complaint against petitioner. See Welsh Manufacturing, Division of Textron, Inc. v. Pinkerton’s Inc., 494 A.2d 897, 898 (R.I.1985) (holding that a judgment is final only when the parties have exhausted their respective right(s) to appeal or if no party to the action filed a timely appeal). As a result, § 4(d) authorized the commission to “adjudicate and/or dispose of the said complaint in accordance with the procedures established by this act.”

Consistent with this legislative intent, the commission had enacted so-called Miscellaneous Regulation B, which established a substitution-of-party mechanism for the commission’s staff to follow in substituting the commission for its predecessor agency in pending court cases involving the former commission.2 In construing provisions of the act, we have previously permitted the commission to substitute itself for the former commission as the party defendant. See Celona v. Rhode Island Ethics Commission, 544 A.2d 582, 583 n. 1 (R.I.1988) (acknowledging the substitution of the commission for the former commission during the pendency of the litigation). Indeed, any other interpretation would contravene the clear intent of §§ 4 and 6 of the act and would not promote the policies and obvious purposes behind the establishment of the commission as a successor entity to the former commission. See, e.g., Kirby v. Planning Board of Review of Middletown, 634 A.2d 285, 290 (R.I.1993) (recognizing that the Court will not interpret a legislative enactment literally when to do so would provide a result at odds with its legislative intent and that in this instance, the Court must interpret the enactment consistent with its policy or obvious purpose); see also In re Advisory to the Governor (Judicial Nominating Commission), 668 A.2d 1246, 1248 (R.I.1996) (stating that when interpreting a legislative enactment containing ambiguous language, the Court will construe the statutory provision in its entirety, attributing to the act the meaning most consistent with the policies and purposes of the legislation). Thus, we agree with the Superior Court that the Legislature intended for the commission to possess the authority to step into the shoes of the former commission, by substituting itself for that entity in any pending court cases involving the former commission, including any pending appeals to the Superior Court from orders entered by the former commission in contested eases.

II

Whether Petitioner Violated § 36-14-5(e) by Representing the Interests of His Client Before the Senate Within a Year of Leaving Office

The petitioner argues that the Superi- or Court incorrectly ruled that he represent[1152]*1152ed the interests of his client, the bottlers, before the senate within a year after leaving public office. He contends that no evidence existed to show that he made a formal presentation on behalf of the bottlers before the senate. However, after analyzing petitioner’s acts without the aid of the definition that is now set forth in § 36-14-2(13),3

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Related

In Re Advisory Opinion to the Governor
732 A.2d 55 (Supreme Court of Rhode Island, 1999)

Cite This Page — Counsel Stack

Bluebook (online)
726 A.2d 1149, 1999 R.I. LEXIS 77, 1999 WL 173641, Counsel Stack Legal Research, https://law.counselstack.com/opinion/diluglio-v-rhode-island-ethics-commission-ri-1999.