2022 Guam Statutes Title 4 - Public Officers & Employees Chapter 15 - Standard of Conduct for Elected Officers, Appointed Officers, and Public Employees of the Government of Guam
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4 GCA PUBLIC OFFICERS & EMPLOYEES
CH. 15 STANDARD OF CONDUCT
CHAPTER 15
STANDARD OF CONDUCT FOR ELECTED OFFICERS,
APPOINTED OFFICERS, AND PUBLIC EMPLOYEES OF THE
GOVERNMENT OF GUAM
NOTE: Chapter 15 was added by P.L. 23-105:1 (July 8, 1996).
2021 NOTE: Pursuant to P.L. 23-111 (July 26, 1996), statutes
governing the Pedro “Doc” Sanchez Professional Scholarship were to
be codified as a new Chapter 15 to Title 4 GCA; however, Chapter 15
had previously been designated by P.L. 23-105 (July 8, 1996). The
Compiler moved the provisions for the “Doc” Sanchez program to
Article 9, Chapter 15, of Title 17 GCA; they were again moved to
Article 5 of Chapter 28, Title 17 GCA. See 2019 NOTE to Chapter
28, Title 17 GCA.
Article 1.
Article 2.
Article 3.
Article 4.
General Provisions.
Specified Standards.
Guam Ethics Commission.
Administration and Enforcement.
ARTICLE 1
GENERAL PROVISIONS
§ 15100.
§ 15101.
§ 15102.
Construction.
Applicability.
Definitions.
§ 15100. Construction.
This Chapter shall be liberally construed by the courts of
Guam to promote the highest standards of ethical conduct within
the government of Guam.
2021 NOTE: References to “territory” and “territorial” replaced with
“Guam” pursuant to 1 GCA § 420.
§ 15101. Applicability.
This Chapter shall apply to every employee as defined herein.
§ 15102. Definitions.
When used in this Chapter, these key words shall have the
indicated meaning:
(a) business includes any corporation, partnership, any
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sole proprietorship, any trust or foundation, or any other
individual or organization carrying on any business whether
or not operated for profit;
(b) compensation means any money, thing of value or
economic benefit conferred on or received by any person
subject to this Chapter, in return for services rendered or to
be rendered by himself or another;
(c) controlling interest means any proprietary or
ownership interest in a business or other undertaking;
(d) employee means any nominated, appointed, or
elected officer or individual employed with a Guam agency
as defined herein, including members of boards or
commissions, and persons under personal services contracts;
(e) employment means any rendering of services for
compensation;
(f) financial interest means an interest held by an
individual, his or her spouse, natural, adopted, or dependent
children, parents, parents-in-law, siblings, or siblings-in-law
which is:
(1) an ownership interest in a business;
(2) a creditor interest in an insolvent business;
(3) an employment, or prospective employment
for which negotiations have begun;
(4) an ownership interest in personal or real
property;
(5) a loan or other debtor interest; or
(6) a directorship or officership in a business.
(g) judicial officers includes the Justices of the Supreme
Court, whether full- or part-time, and Judges of the Superior
Court, including Judges pro tem and referees;
(h) legislator means any duly elected members of the
Guam Legislature;
(i) official act or official action means a decision,
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recommendation, approval, disapproval, or other action,
including inaction which involves the use of discretionary
and non-discretionary authority;
(j) official authority includes administrative, judicial or
legislative powers of decision, recommendation, approval,
disapproval, or other discretionary or non-discretionary
action; and
(k) Guam agency or agency shall mean every branch of
government, public corporations, all government of Guam
departments, bureaus, and line agencies, autonomous and
semi-autonomous agencies, instrumentalities, entities or
sub-entities thereof, the Mayor’s Council, and Mayors’
Offices.
SOURCE: Section 15102 added by P.L. 23-105:1 (July 8, 1996).
Subsection (f) amended by P.L. 30-030:2 (June 16, 2009).
2021 NOTE: References to “territorial” replaced with “Guam” pursuant
to 1 GCA § 420.
---------ARTICLE 2
SPECIFIED STANDARDS
§ 15201.
§ 15202.
§ 15203.
§ 15204.
§ 15205.
§ 15206.
§ 15207.
§ 15208.
§ 15209.
§ 15210.
§ 15211.
Gifts.
Reporting of Gifts.
Confidential Information.
Fair Treatment.
Conflicts of Interest.
Contracts.
Contracts Voidable.
Requirements of Disclosure.
Disclosure Files; Disposition.
Restrictions on Post Employment.
Violation.
§ 15201. Gifts.
No employee shall solicit, accept, or receive, directly or
indirectly, any gift valued singly or in the aggregate from a single
source in excess of $200, whether in the form of money, prize,
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service, loan, travel, entertainment, hospitality, thing or promise,
or in any other form, when a reasonable person would infer that
the gift is intended to influence the employee in the performance
of that individual’s official duties or is intended as a reward for
any official action on that individual’s part.
§ 15202. Reporting of Gifts.
(a) Every employee shall file a gifts disclosure statement with
the Guam Ethics Commission on June 30 of each year if all the
following conditions are met:
(1) The employee, or spouse or dependent child of an
employee, received directly or indirectly from any source any
gift or gifts valued singly or in the aggregate from a single
source in excess of $200, whether the gift is in the form of
money, services, goods, or in any other form;
(2) The source of the gift or gifts have interests that may
be affected by the official action or lack of action by the
employee; and
(3) The gift is not exempted by subsection (d) from
reporting requirements under this section.
(b) The report shall cover the period from January 1 of the
preceding calendar year through December 31 of the year of the
report.
(c) The gifts disclosure statement shall contain the following
information:
(1) A description of the gift;
(2) A good faith estimate of the value of the gift;
(3) The date the gift was received; and
(4) The name of the person, business entity, or
organization from whom, or on behalf of whom, the gift was
received.
(d) Excluded from the reporting requirements of this section
are the following:
(1) Gifts received by will or intestate succession;
(2) Gifts received by way of distribution of any inter
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vivos or testamentary trust established by a spouse or
ancestor;
(3) Gifts from a spouse, fiancé, fiancée, any relative
within three degrees of consanguinity or the spouse, fiancé,
or fiancée of such a relative. A gift from any such person is a
reportable gift if the person is acting as an agent or
intermediary for any person not covered by this paragraph;
(4) Political campaign contributions that comply with
Guam law. This section shall not exempt the recipient of
campaign contributions from the reporting requirements of
the Election Code.
(5) Anything available to or distributed to the public
generally without regard to the official status of the recipient;
(6) Gifts that within thirty days after receipt, are
returned to the giver or delivered to a public body or to a bona
fide educational or charitable organization without the
donation being claimed as a charitable contribution for tax
purposes; and
(7) Exchange of approximately equal value on holidays,
birthday, or special occasions.
(e) Failure of an employee to file a gifts disclosure statement
as required by this section shall be a violation of this chapter.
2021 NOTE: References to “territorial” replaced with “Guam” pursuant
to 1 GCA § 420.
§ 15203. Confidential Information.
No employee shall disclose information which is considered
a private document by existing law, and which the employee
acquires in the course of official duties, or use the information for
personal gain or for the benefit of someone else.
§ 15204. Fair Treatment.
No employee shall use or attempt to use an official position
to secure or grant unwarranted privileges, exemptions,
advantages, contracts, or treatment, for himself or herself, a
spouse, children, or others, including but not limited to the
following:
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(a) seeking other employment or contract for services by
the use or attempted use of the individual’s office or position;
(b) accepting, receiving, or soliciting compensation for
the performance of official duties or responsibilities except
as provided by law;
(c) using government time, equipment, or other facilities
for private business purposes;
(d) soliciting, selling, or otherwise engaging in a
financial transaction with a subordinate or a person or
business whom the employee inspects or supervises in
official capacity.
(e) Nothing herein shall be construed to prohibit a
legislator from introducing bills and resolutions, serving on
committees or making statements or taking action in the
exercise of legislative functions. Every legislator shall file
with the Guam Ethics Commission a full and complete public
disclosure of the nature and extent of the legislator’s interest
on any legislative transaction which primarily affects only
the legislator or legislators involved or their spouses and not
the community as a whole or a segment thereof. Disclosure
must be made at time of introduction of such legislation, or
when the legislator shall first have knowledge of such
legislation.
§ 15205. Conflicts of Interest.
(a) No employee shall take any official action directly
affecting:
(1) business or other undertaking in which the employee
has a financial interest; or
(2) private undertaking in which the employee is
engaged as legal counsel, advisor, consultant, representative,
or other agency capacity.
A department head who is unable to be disqualified on any
matter described in item (1) or (2) of this Subsection may be in
violation of this Subsection even if the individual has complied
with the disclosure requirements of § 15208; and a person whose
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position on a board, commission or committee is mandated by
statute, resolution or executive order to have particular
qualifications shall only be prohibited from taking official action
that directly and specifically affects a business or undertaking in
which such person has a financial interest; provided that the
financial interest is related to the member’s particular
qualifications.
(b) No employee shall acquire financial interests in any
business or other undertaking which the employee has reason to
believe may be directly involved in official action to be taken by
the employee.
(c) No employee shall assist any person or business or act in
a representative capacity before any territorial agency for any
compensation in any transaction involving Guam.
(d) No employee shall assist any person or business or act in
a representative capacity for a fee or other compensation to secure
passage of a bill or to obtain a contract, claim, or other transaction
or proposal in which the employee has participated or will
participate as an employee, nor shall the employee assist any
person, or business, or act in a representative capacity for a fee or
other compensation on such bill, contract, claim, or other
transaction or proposal before the Legislature or Guam agency of
which the individual is an employee.
(e) No employee shall assist any person or business or act in
a representative capacity before a Guam agency for a fee or other
compensation, on any bill, contract, claim, or other transaction or
proposal involving official action by the agency if the employee
has official authority over that agency unless such employee has
complied with the disclosure requirements of § 15208.
(f) Nothing herein shall preclude an employee from having
outside business interests or employment so long as such interests
or employment do not interfere with performance of official duties
and is not otherwise in direct conflict with this Chapter.
(g) All employees, as defined in this Section, who know, or
with reasonable investigation should know, that the employee has
a financial interest in any decision pending before that employee
or the agency of which the employee is a member shall not vote
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for or against, discuss, decide, in any way participate in
considering the matter, or seek to influence the votes or decisions
of others on such matter.
Prior to any determination of the matter, the employee shall
verbally disclose at the meeting, if any, the nature of such interest,
and shall have such disclosure placed in the official records of the
agency. Should an employee be absent from that meeting or a
portion of that meeting, the employee is required to verbally
disclose the nature of the conflict at the next attended meeting and
said disclosure shall be placed in the official records of the
agency. Further, the employee must complete a Disclosure of
Conflicts of Interest form with the Guam Election Commission
within three (3) working days upon the employee’s recognition of
said conflict.
(h) A legislator who casts a vote with respect to any bill on
the floor of the Guam Legislature in which the legislator has a
financial interest shall prepare a written statement that identifies
the bill, the legislator’s vote and the nature of the legislator’s
financial interest. The legislator shall file the statement with the
Office of the Speaker and a copy immediately provided to the
Clerk of I Liheslaturan Guåhan prior to voting. The statement
shall be posted on I Liheslaturan Guåhan’s website.
(i) The Guam Election Commission shall be the main
repository for the Disclosure of Conflicts of Interest forms and
shall create such form to be distributed to all departments,
agencies, boards and commissions. Such form shall include, but
not be limited to, the name of the employee, the entity represented,
and a statement of disclosure describing the matter or decision
pending before the employee, and the nature and description of
the conflict.
SOURCE: Section 15205 added by P.L. 23-105:1 (July 8, 1996).
Subsections (g), (h), and (i) added by P.L. 30-030:3 (June 16, 2009).
2021 NOTE: References to “Territory” and “territorial” replaced with
“Guam” pursuant to 1 GCA § 420.
§ 15206. Contracts.
(a) A Guam agency shall not enter into any contract with an
employee or with a business in which an employee has a
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controlling interest, unless the contract has been awarded through
an open, public process. A Guam agency may, however, enter into
such contract without resort to competitive bidding process when,
in the opinion of the General Services Agency or the procurement
officer of that branch of government, the property or services does
not fall within the purview of competitive bidding; provided that
written justification for the non-competitive award of such
contract be made a matter of public record and shall be filed with
the Guam Ethics Commission at least ten (10) days before such
contract is entered into.
With regards to members of boards, commissions, and
committees, this Subsection shall apply only to contracts entered
into between a business in which a member has a controlling
interest and a Guam agency in which the board, commission, or
committee to which the individual is appointed has jurisdiction.
(b) A Guam agency shall not enter into a contract with any
person or business which is represented or assisted in a material
manner in the matter by a person who has been an employee of
that agency within the preceding twelve (12) months and who
participated while in territorial office or employment in a material
manner in the matter with which the contract is directly concerned.
2021 NOTE: References to “territorial” replaced with “Guam” pursuant
to 1 GCA § 420.
§ 15207. Contracts Voidable.
In addition to any other penalty provided by law, any contract
entered into by the Guam in violation of this Chapter, is voidable
by the Guam; provided that in any act to void a contract pursuant
to this Section, the interests of third parties who may be damaged
thereby, shall be taken into account, and the action to void the
transaction is initiated within ninety (90) days after the
determination of a violation under this Chapter. The Attorney
General shall have the authority to enforce this provision.
2021 NOTE: References to “Territory” replaced with “Guam” pursuant to
1 GCA § 420.
§ 15208. Requirements of Disclosure.
(a) All financial disclosure reports required to be filed with
the Guam Election Commission pursuant to Chapter 13 of Title 4,
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Guam Code Annotated, shall be reported to the Guam Ethics
Commission within three working days of filing with the Guam
Election Commission.
(b) The Guam Election Commission shall require additional
information on its financial disclosure reports, as may be
requested by the Ethics Commission in accordance with this
Section, and the Ethics Commission may request such information
directly of the employee if it is not forthcoming from the Election
Commission.
(c) Failure of an employee to file a disclosure of financial
interests as required by this Chapter shall be a violation of this
Chapter.
§ 15209. Disclosure Files; Disposition.
(a) All financial disclosure statements filed by an employee
shall be maintained by the Guam Ethics Commission during the
term of office of the employee, and for a period of three years
thereafter. Upon the expiration of the three-year period, the
financial disclosure statement and all copies thereof shall be
destroyed.
(b) Nothing herein shall bar the Guam Ethics Commission
from retaining a financial disclosure statement or copy of a
financial disclosure statement that has become part of a charge
case or advisory opinion request, or is part of an ongoing
investigation.
§ 15210. Restrictions on Post Employment.
(a) No former employee shall disclose any information which
by law is not available to the public and which the employee
acquired in the course of official duties or use the information for
personal gain or the benefit of anyone.
(b) No former employee shall, within twelve (12) months
after termination from employment, assist any person or business,
or act in a representative capacity for a fee or other consideration,
on matters involving official action by the particular territorial
agency with which the employee had actually served.
(c) This Section shall prohibit any agency from contracting
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with a former employee to act on a matter on behalf of the
Territory within the period of limitations stated herein, unless
exempted by law.
2021 NOTE: References to “Territory” and “territorial” replaced with
“Guam” pursuant to 1 GCA § 420.
§ 15211. Violation.
(a) Any Guam action obtained in violation of this chapter for
employees is voidable in the same manner as voidable contracts
as provided for under § 15207; and Guam, by the Attorney
General, may pursue all legal and equitable remedies available to
it.
(b) Guam, by the Attorney General, may recover any fee,
compensation, gift, or profit received by such person as a result of
a violation of these standards by an employee or former employee.
Action to recover under the Subsection (b) shall be brought within
two (2) years of such violation under this Chapter.
2021 NOTE: References to “Territory” and “territorial” replaced with
“Guam” pursuant to 1 GCA § 420.
----------
ARTICLE 3
GUAM ETHICS COMMISSION
§ 15301. Guam Ethics Commission Established; Composition.
(a) There shall be within the government of Guam, an
autonomous and independent commission to be known as the
‘Guam Ethics Commission.’ The Commission shall consist of
seven (7) members to be appointed by I Magaʹhåga. Each
appointee shall be a United States citizen and a bona fide resident
of Guam. No person who has ever been convicted of a felony shall
be eligible to serve on the Commission. Members of the
Commission shall not be an employee, as defined herein, or have
any member of their immediate family employed by the
government of Guam. All appointments to the Guam Ethics
Commission shall be confirmed by I Liheslatura.
(b) The Chair of the Commission shall be elected by the
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majority of the Commission. The term of office of each member
shall be for four (4) years, provided that of the original members,
two (2) shall hold office for two (2) years, two (2) shall hold office
for three (3) years, and one (1) shall hold office for four (4) years.
The determination of these members’ length of office shall be by
lot drawn by the members at their initial meeting. No person shall
be appointed consecutively to more than two (2) terms as a
member of the Commission.
(c) Members shall serve without compensation, except that
they shall receive a stipend of Fifty Dollars ($50.00) per meeting
not to exceed four (4) meetings per calendar month, and shall be
compensated for all normal expenses of travel, and for the cost of
meals while in session.
(d) Vacancies shall be filled for the remainder of the
unexpired term in the same manner as the original
appointments. I Magaʹhåga may remove or suspend any
member of the Commission for cause, upon the filing of a
written finding with the Commission and upon service of a
copy of the written findings on the member removed or
suspended.
SOURCE: Amended by P.L. 27-141:3. Amended by P.L. 36-028:2 (June
11, 2021).
2021 NOTE: Subsection designations added pursuant to authority granted
by 1 GCA § 1606.
---------ARTICLE 4
ADMINISTRATION AND ENFORCEMENT
§ 15401. Duties of Commission; Complaint, Hearing,
Determination.
§ 15402. Filing of False Charges.
§ 15403. Procedure.
§ 15404. Disciplinary Action for Violation.
§ 15405. Cooperation.
§ 15406. Concurrent Jurisdiction.
§ 15407. Executive Director and Guam Ethics Commission
Staff.
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§ 15408.
§ 15409.
§ 15410.
§ 15411.
§ 15412.
§ 15413.
Prohibition From Political Activity.
Applicability of Ethics in Government Program.
Ethics in Government Program Guidelines.
Judicial Branch.
Repeal.
Severability.
§ 15401. Duties of Commission; Complaint, Hearing,
Determination.
(a) The Commission shall have the following powers and
duties:
(1) It shall prescribe a form for the financial disclosures
required by § 15208 and shall establish an orderly procedure
for implementing the requirements of that Section.
(2) It shall render advisory opinions upon the request of
any employee or former employee as to whether the facts and
circumstances of a particular case constitutes or will
constitute a violation of the code of ethics. The opinion
rendered, until amended or revoked, shall be binding on the
Commission in any subsequent charges concerning the
employee or former employee who sought the opinion and
acted in reliance on it in good faith, unless material facts were
omitted or misstated by the employee or former employee in
the request for an advisory opinion.
(3) It shall initiate, receive and consider charges
concerning alleged violations of this Chapter, initiate or
make investigations, and hold hearings.
(4) It may subpoena witnesses, administer oaths, and
take testimony relating to matters before the Commission and
require the production for examination of any books, papers
or electronic records relative to any matter under
investigation or in question before the Commission. Before
the Commission shall exercise any of the powers authorized
herein with respect to any investigation or hearings, it shall
by formal resolution, supported by a vote of five or more
members of the Commission, define the nature and scope of
its inquiry.
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(5) It may, from time to time, make, amend, and repeal
such rules and regulations, not inconsistent with this Chapter
as in the opinion of the Commission, seem appropriate for
the carrying out of this Chapter for the efficient
administration thereof, including every matter or thing
required to be done or which may be done with the approval
or consent or by order or under the direction or supervision
of or as prescribed by the Commission. The rules and
regulations, shall be adopted in conformance with the
Administrative Adjudication Law, and shall have the force
and effect of law.
(6) It shall have jurisdiction for purposes of
investigation and taking appropriate action on alleged
violations of this Chapter in all proceedings commenced
within three (3) years of an alleged violation of this Chapter
by an employee, or a former employee. Nothing herein shall
bar proceedings against a person who by fraud or other
device, prevents discovery of a violation of this Chapter. A
proceeding shall be deemed commenced by the signing of a
charge by five (5) or more members of the Commission.
(7) It shall distribute its publications without cost to the
public and shall initiate and maintain programs with the
purpose of educating the citizenry and employees on matters
of ethics in government employment.
(8) It may retain one ( 1) or more attorneys, who shall
be admitted to practice before the courts of Guam, who shall
advise the Commission and its Executive Director on all legal
matters pertaining to the Commission. The designated
counsel shall represent the Commission in litigation in which
the Commission is interested or involved. The terms,
conditions, and compensation of employment of any such
attorney shall be determined by the Commission, and the
attorney(s) shall serve at the pleasure of the Commission.
Notwithstanding any other provision of law, the Commission
is authorized to pay for billable hours performed under the
legal contract issued in Fiscal Year 2021 utilizing funds
appropriated to the Guam Ethics Commission by the Guam
Legislature in Fiscal Year 2022.
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(b) Charges concerning the violation of this Chapter shall be
in writing, signed by the person making the charge under oath,
except that any charge initiated by the Commission must be signed
by five (5) or more members of the Commission. The Commission
shall notify in writing every person against whom a charge is
received and afford him an opportunity to explain the conduct
alleged to be in violation of this Chapter. The Commission may
investigate, after compliance with this Section, such charges and
render an informal advisory opinion to the alleged violator. The
Commission shall investigate all charges on a confidential basis,
having available all the powers herein provided, and proceedings
at this stage shall not be public. If the informal advisory opinion
indicates a probable violation, the person charged shall request a
formal opinion or within a reasonable time comply with the
informal advisory opinion. If the person charged fails to comply
with such informal advisory opinion or if a majority of the
members of the Commission determine that there is a probable
cause for belief that a violation of this Chapter might have
occurred, a copy of the charge and a further statement of the
alleged violation shall be personally served upon the alleged
violator in accordance with the rules for personal service found in
Guam Rules of Civil Procedure. The person so charged shall have
twenty (20) days after service thereof to respond in writing to the
charge and statement.
(c) Any Commission member or any individual, including
the individual making the charge, who without permission of the
Commission, divulges information obtained from the
Commission or who reveals confidential actions of or what
happened in closed proceedings before the Commission
concerning the charge prior to the issuance of the complaint or
other final action by the Commission, except as permitted by this
Chapter, shall be guilty of a misdemeanor.
(d) If after twenty (20) days following personal service, a
majority of the members of the Commission conclude that there is
reason to believe that a violation of this Chapter has been
committed, then the Commission shall set a time and place for a
hearing, giving notice to the complainant and the alleged violator.
All parties shall have an opportunity (1) to be heard, (2) to
subpoena witnesses and require the production of any books,
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papers, records, or electronic recordings relative to the
proceedings, (3) to be represented by counsel, and (4) to have the
right of cross-examination. All witnesses shall testify under oath
and the hearings shall be closed to the public unless the party
complained against requests an open hearing. The Commission
shall not be bound by the strict rules of evidence but the
Commission’s findings must be based upon competent and
substantial evidence. All testimony and other evidence taken at
the hearing shall be recorded. Copies of transcripts of such record
shall be available only to the complainant and the alleged violator
at their own expense, and the fees therefor shall be deposited into
the General Fund.
(e) The Commission shall make its findings and render its
decision based on a preponderance of the evidence. A decision of
the Commission pertaining to the conduct of any employee shall
be in writing and signed by five (5) or more of the members of the
Commission. Deliberations of the Commission shall be closed to
the public and to all parties.
(f) The Commission shall cause to be published yearly
summaries of decisions, advisory opinions, and informal advisory
opinions. The Commission shall make sufficient deletions in the
summaries to prevent disclosing the identify of persons involved
in the decisions or opinions.
NOTE: Added by P.L. 23-105:1 (July 8, 1996). Subsection (a)(8) added
by P.L. 36-067 (Dec. 27, 2021).
§ 15402. Filing of False Charges.
(a) Any person who knowingly and intentionally files a false
charge with the commission, or any member of the commission
who initiates action against any Guam official, Guam employee,
or any other person covered by this chapter, knowing such charge
to be false, shall be guilty of the crime of perjury and subject to
the penalty set forth in Title 9 of Guam Code Annotated (Crimes
and Corrections).
(b) Whoever is convicted in a court of competent jurisdiction
of the crime of perjury under this section, in addition to any other
punishment prescribed by law thereof, shall be required by court
order to reimburse the person against whom the false charge was
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filed for all of the person’s legal expenses and court costs incurred
in relation to that person’s defense against the false complaint.
(c) If such charge is filed within six months prior to an
election in which the accused’s name appears on the ballot, the
person filing the false complaint shall pay to the accused the
amount set out above, and shall also pay an equal amount to the
general fund of Guam.
(d) This section shall not supersede or preclude any other
right or remedy at law available to the person falsely accused.
2021 NOTE: Reference to “Territory” replaced with “Guam” pursuant to
1 GCA § 420.
§ 15403. Procedure.
(a) When the Commission, after due hearings, believes that
there is cause for the possible filing of criminal charges, it shall
refer the complaint to the Attorney General’s Office or appropriate
authority for its disposition.
(b) With respect to former employees, the Commission may,
with the consent of five (5) or more members of the Commission,
issue a public statement of its findings and conclusions, and the
Attorney General may exercise whatever legal or equitable
remedies are available to Guam.
(c) When after due hearing, the Commission finds that the
violation committed by an employee is non-criminal in nature, the
Commission will remand the case to the agency where the
employee is employed with the recommendation that the agency
impose the corresponding punishment in accordance with the
agency’s personnel rules and regulations.
2021 NOTE: Reference to “Territory” replaced with “Guam” pursuant to
1 GCA § 420.
§ 15404. Disciplinary Action for Violation.
In addition to any other powers the Civil Service
Commission or other government agency may have to discipline
employees, the appropriate agency involved may reprimand, put
on probation, demote, suspend, or discharge any employee found
to have violated this Chapter.
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§ 15405. Cooperation.
The Guam Ethics Commission may request and shall receive
from every governmental agency cooperation and assistance in
the performance of its duties.
§ 15406. Concurrent Jurisdiction.
In addition to any provision contained in this Chapter, the
Legislature and the Judicial Branch may each prescribe further
rules of conduct covering its members and may investigate and
discipline its employees for any violation of this Chapter, or its
own Rules, or both.
§ 15407. Executive Director and Guam Ethics Commission
Staff.
(a) The Guam Ethics Commission may employ such
persons as it deems necessary for the performance of its functions.
It shall submit an annual budget request to the Legislature for its
required operations.
(1) The Executive Director shall submit an annual
fiscal year budget to the Guam Ethics Commission for its
review and approval no later than January 31 of each calendar
year.
(2) The Guam Ethics Commission shall review and
approve a fiscal year budget necessary to meet all of the
Commission’s statutory requirements and abide by all
policies and procedures set forth in this Chapter and
corresponding rules and regulations.
(3) The Guam Ethics Commission’s Executive
Director shall submit to I Liheslatura an approved annual
budget for each fiscal year, no later than the date prescribed
by I Liheslaturan Guåhan, and shall include a detailed
breakdown of the funding level necessary to meet all of the
Commission’s statutory requirements and abide by all
policies and procedures set forth in corresponding rules and
regulations.
(4) The annual Guam Ethics Commission budgetary
appropriations approved by I Liheslaturan Guåhan and
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signed into law by the Governor of Guam shall be exempt
from the Bureau of Budget and Management Research,
Office of the Governor of Guam, budgetary allotment control
as generally provided in 5 GCA § 1303.
(5) The Guam Ethics Commission may draw against
its respective appropriations as needed to meet its obligations
in accordance with a drawdown schedule that the Guam
Ethics Commission submits to the Director of
Administration. If the Guam Ethics Commission fails to
submit its drawdown schedule by October 31, the Director of
Administration may withhold a drawdown request for the
current fiscal year until such time the Commission submits
its drawdown schedule for the entire fiscal year. The Director
of Administration shall not, for any reason, withhold any
amount appropriated by I Liheslaturan Guåhan to the Guam
Ethics Commission.
(b) The Commission shall appoint an Executive Director
who shall:
(1) administer the laws under this Chapter and all
Commission policies, and ensure that investigations and
subsequent hearings are held in accordance with the
procedures outlined in this Chapter ;
(2) manage the daily operations of the Commission
and perform duties as assigned by the Commission or
specified by law or rule or regulation ;
(3) be the ex-officio secretary for the Commission but
shall not be a voting member thereof. As such secretary, the
Executive Director shall keep the minutes of the
Commission’s proceedings, preserve all reports made to it,
keep a record of all examinations held under its direction, and
perform such other duties as the Commission shall prescribe;
and
(4) be a member of the unclassified service and shall
receive an annual salary within a range of compensation to
be prescribed by the Commission in accordance with the laws
of Guam. Said Executive Director shall serve at the pleasure
of the Commission; provided, however, that the Executive
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Director may not be removed unless that person’s removal is
ratified by a vote of four (4) or more Commission members.
(c) Staffing for the Guam Ethics Commission.
(1) With the consent of the Guam Ethics Commission,
the Executive Director is authorized to hire and dismiss staff
to support the operations of the Guam Ethics Commission.
(2) The Executive Director shall be supervised by the
Commission, and staff of the Commission shall be under the
direct supervision of the Executive Director.
(3) The Executive Director is responsible for
developing, initiating, and implementing workplace
policies..
SOURCE: Added by P.L. 23-105:1 (July 12, 1996). Amended by P.L.
36-028:3 (June 11, 2021).
2021 NOTE: This provision was fomerly entitled “Staff” and was
renamed pursuant to P.L. 36-028:3 (June 11, 2021).
§ 15408. Prohibition from Political Activity.
Members of the ethics commission and its staff shall not take
an active part in political management or in political campaigns
during the term of office or employment.
§ 15409. Applicability of Ethics in Government Program.
(a) Any person who is an elected official of the government
of Guam shall attend an ethics in government program within
ninety (90) days of taking office. Additionally, elected officials
shall undergo refresher ethics in government program at least once
every four (4) years. The Guam Ethics Commission
(“Commission”) may grant permission for an elected official to
attend a later program for good cause shown. The Commission
shall award a certificate of completion to those completing the
program.
(b) Any person who is appointed to a position as board or
commission member, including autonomous agencies, director,
deputy director, or by whatever title denotes the head and first
assistant of a government of Guam agency, department, public
corporation, authority, or any other entity of the executive branch,
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shall attend an ethics in government program within the first six
(6) months of his or her appointment. Additionally, appointed
officials shall undergo refresher ethics in government program at
least once every four (4) years. The Commission may grant
permission for an appointed official to attend a later program for
good cause shown. The Commission shall award a certificate of
completion to those completing the program.
(c) All government of Guam employees shall attend an
ethics in government program within the first six (6) months of
his or her employment. All existing employees prior to enactment
of this Subsection shall be required to attend an ethics in
government program within thirty-six (36) months after
enactment of this Subsection. Additionally, employees shall
undergo an ethics in government program refresher course at least
once every four (4) years. The Commission may grant permission
for an employee to attend a later program for good cause shown.
The Commission shall award a certificate of completion to those
completing the program.
SOURCE: Added by P.L. 23-105:1 (July 8, 1996). Repealed and reenacted
by P.L. 28-076:2 (Nov. 25, 2005), effective Jan. 1, 2007. Subsection (c)
added by P.L. 36-025:2 (May 12, 2021).
§ 15410. Ethics in Government Program Guidelines.
The ethics in government program shall be provided by the
Guam Ethics Commission or other providers approved by the
Guam Ethics Commission. The Public Auditor shall develop
standards for the ethics program until the Guam Ethics
Commission is appointed and functioning, at which time the
Commission shall assume authority to develop the standards.
Should the Guam Ethics Commission not be impaneled for at least
six (6) consecutive months, the Public Auditor will still have the
authority to develop standards for the ethics program until the
Guam Ethics Commission is impaneled. The providers shall
repeat the course as necessary to accommodate those who are
required to attend. The course shall not exceed four (4) hours and
shall be available in a single day and its scheduling shall
accommodate the different work schedules of the persons affected
by this Act.
(a) The program topics shall include, but not be limited
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to:
(1) Guam statutes concerning ethics;
(2) Guam statutes concerning lobbying;
(3) Group participation in discussing, analyzing,
and solving general ethics-related dilemmas;
(4) Guam procurement laws and regulations;
(5) Guam contracting laws and regulations;
(6) Parliamentary procedure;
(7) Fiduciary responsibility;
(8) Personnel policy;
(9) Government finance; and
(10) Open Government Law and Sunshine Reform
Act of 1999.
(b) The cost of tuition, books and training materials for
the ethics in government program of the officials or
employees specified in § 15409(b) or § 15409(c) of this
Chapter, shall be paid by the agency that employs the official
or employee.
(c) The Guam Ethics Commission shall develop rules
and regulations for the enforcement of the Ethics in
Government Program Guidelines.
(d) No later than thirty (30) days after the end of each fiscal year,
every director, administrator, president or head of a government
of Guam agency, including line agencies, autonomous and semiautonomous agencies, public corporations, the Mayors Council of
Guam, the Courts of the Judiciary of Guam, and I Liheslaturan
Guåhan shall electronically submit to the Guam Ethics
Commission, in an electronic portable document format, an
“Ethics Training Compliance Report.” Said report shall at
minimum list the employees by name, job title, and each ethics
program completed, and the date of completion.
SOURCE: Repealed and reenacted by P.L. 28-076:3 (Nov. 25, 2005),
effective Jan. 1, 2007. Amended by P.L. 36-025:3 (May 12, 2021).
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§ 15411. Judicial Branch.
The Chief Justice of the Supreme Court shall have
jurisdiction and governance over all justices and judges of the
judicial branch in matters of ethics as covered in this Chapter 15.
SOURCE: P.L. 28-076:4 (Nov. 25, 2005), effective Jan. 1, 2007.
§15412. Repeal.
Those portions of the Guam Code Annotated and the
Government Code of Guam, which are in conflict with any section
of this Chapter, are hereby repealed.
SOURCE: Added by P.L. 28-076:5 (Nov. 25, 2005), effective Jan. 1,
2007.
§ 15413. Severability.
If any part of this Chapter 15 shall, for any reason, be
adjudged by a court of competent jurisdiction to be invalid, or
invalid as applied to a class of cases, such judgment shall not
affect, impair, or invalidate the remainder thereof, and shall be
confined in its operation to the part thereof directly involved in the
controversy in which such judgment shall have been rendered.
SOURCE: Added by P.L. 28-076:6 (Nov. 25, 2005), effective Jan. 1,
2007.
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