Irons v. Rhode Island Ethics Commission

973 A.2d 1124, 2009 R.I. LEXIS 90, 2009 WL 1844322
CourtSupreme Court of Rhode Island
DecidedJune 29, 2009
Docket2008-335-M.P., 2009-1-M.P.
StatusPublished
Cited by13 cases

This text of 973 A.2d 1124 (Irons 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
Irons v. Rhode Island Ethics Commission, 973 A.2d 1124, 2009 R.I. LEXIS 90, 2009 WL 1844322 (R.I. 2009).

Opinions

OPINION

Justices FLAHERTY, ROBINSON,

and Chief Justice WILLIAMS (ret.) for the Court.

“The purpose of the speech in debate clause is to ensure the Legislature freedom in carrying out its duties.
U * * ⅜
“This freedom ensures the separation of powers among the coordinate branches of government. Further, the fact that the legislators can carry out their duties without being questioned ‘in any other place’ allows the free flow of debate among legislators and the maximization of an effective and open exchange of ideas.” Holmes v. Farmer, 475 A.2d 976, 982 (R.I.1984).

The case before us presents this Court with an unusual constitutional conundrum: at the heart of the controversy are two conflicting constitutional provisions, the purpose of each of which is to serve the proper functioning of our representative democracy. One of the long-acknowledged purposes of the Rhode Island Constitution’s speech in debate clause, article 6, section 5, is the protection of individual legislators from encroachment by the coordinate branches of government and from legal challenges by disgruntled citizens; but, the legislators are garbed with such protection only while engaged in carrying out their core legislative duties. To the framers of the various constitutions, the [1126]*1126public is the ultimate beneficiary of this narrow protection because the speech in debate clause assures an unfettered legislative process. The limited but important immunity conferred by this constitutional provision exists, in the words of Thomas Jefferson, “in order to give to the will of the people the influence it ought to have * * * »1

At the same time, our Constitution contains another provision that is pertinent to the case before us — namely, section 8 of article 3. That provision mandates the establishment of an ethics commission and the adoption of a code of ethics by the General Assembly and then states that “[a]ll elected and appointed officials * * * shall be subject to the code of ethics.”

It is now our solemn duty to determine the applicability of these two constitutional provisions to the case at bar.

I

Facts and Travel

On January 20, 2004, Robert P. Arruda and Beverly M. Clay filed a written complaint with the Rhode Island Ethics Commission (Ethics Commission) against the then-president of the Rhode Island Senate, William V. Irons (Senator Irons).2 The complainants, the chair and vice chair, respectively, of Operation Clean Government (an organization that describes itself as “dedicated to promoting honest, responsible, and responsive state government”) alleged that, despite being faced with conflicts of interest, Senator Irons had participated wrongfully in debate and had voted on certain legislation affecting companies with which he had a business relationship. Although the record is sparse with respect to the precise nature of Senator Irons’s alleged conflicts of interest, it is evident that Senator Irons participated in legislative acts concerning pharmacies while at the same time maintaining as his private clients companies with strong ties to the pharmaceutical industry.

In its essence, the complaint filed by Mr. Arruda and Ms. Clay alleged that, because Senator Irons, who at all relevant times was an insurance broker, had a pecuniary relationship with CVS, Inc. (a major pharmacy retailer) and with Blue Cross & Blue Shield of Rhode Island (a health insurer), he acted improperly when he voted against the Pharmacy Freedom of Choice legislation in 1999 and 2000.3 Specifically, the complainants alleged that Senator Irons acted wrongfully by “deliberat[ing], considering], and otherwise participating] in a governmental decision to affect pharmacy issues, while he was paid significant commissions by Blue Cross & Blue Shield of Rhode Island, the provider of the CVS health-insurance plan covering more than 5,000 employees in Rhode Island.” The complainants also asserted that Senator Irons had failed to file the requisite statement of conflict of interest forms,4 had [1127]*1127failed to file with the Ethics Commission the requisite financial statement,5 and had failed to disclose income received from either CVS, Inc. or Blue Cross & Blue Shield of Rhode Island.6

The Ethics Commission determined that the complaint alleged “facts sufficient to constitute a knowing and willful violation” of the Code of Ethics; and on March 3, 2004, the Commission officially informed Senator Irons that it would investigate the allegations in the complaint. See G.L. 1956 § 36 — 14—12(c)(1). After making the initial determination that the facts alleged in the verified complaint were sufficient to state a cause of action, the Ethics Commission conducted a preliminary investigation to determine whether probable cause existed to support the allegations set forth in the complaint. (According to § 36-14-12(c)(3), if probable cause does not exist, the charges must be dismissed.)

A probable cause hearing was held on November 9, 2004. After conducting an investigation in accordance with the above-referenced statutory mandate, the Ethics Commission issued an order and finding of probable cause for two counts of the complaint, and it dismissed the remaining three counts.7 The Ethics Commission found that probable cause did exist with respect to: (1) the allegation that Senator Irons had a substantial conflict of interest when he participated in the Senate Corporations Committee’s consideration of pharmacy choice legislation in the 1999 and 2000 legislative sessions; and (2) the allegation that Senator Irons used his public office to obtain financial gain for CVS, his client, during the same legislative ses[1128]*1128sions.8

The record before this Court reflects that it was not until April 13, 2007, that there was another filing with the Ethics Commission; on that date, Senator Irons demanded a juiy trial pursuant to article 1, sections 10 and 15, of the Rhode Island Constitution.9 On November 6, 2007, Senator Irons filed a motion seeking dismissal of the remaining two counts in the complaint; those counts alleged violations of §§ 36-14-5(a) and (d).10 The motion to dismiss was predicated on Senator Irons’s contention that prosecution pursuant to those counts would violate the speech in debate clause, article 6, section 5, of the Rhode Island Constitution. Later that month, the Ethics Commission held a hearing on both the motion to dismiss and the demand for a jury trial. On November 28, 2007, the Ethics Commission denied both Senator Irons’s motion to have the [1129]*1129outstanding allegations in the complaint dismissed as well as his demand for a jury trial.

On December 13, 2007, Senator Irons filed a complaint in the Superior Court, in which he contended that the Ethics Commission improperly had denied his motion to dismiss as well as his demand for a jury trial.11 His arguments to the Superior Court were similar to those that he had made before the Ethics Commission: viz.,

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Irons v. Rhode Island Ethics Commission
973 A.2d 1124 (Supreme Court of Rhode Island, 2009)

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Bluebook (online)
973 A.2d 1124, 2009 R.I. LEXIS 90, 2009 WL 1844322, Counsel Stack Legal Research, https://law.counselstack.com/opinion/irons-v-rhode-island-ethics-commission-ri-2009.