2014 -- S 2840

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LC005292

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     STATE OF RHODE ISLAND

IN GENERAL ASSEMBLY

JANUARY SESSION, A.D. 2014

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A N   A C T

RELATING TO PUBLIC OFFICERS AND EMPLOYEES -- CODE OF ETHICS

     

     Introduced By: Senators McCaffrey, Paiva Weed, Conley, Goodwin, and Lombardi

     Date Introduced: March 27, 2014

     Referred To: Senate Judiciary

     It is enacted by the General Assembly as follows:

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     SECTION 1. Section 36-14-8 of the General Laws in Chapter 36-14 entitled "Code of

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Ethics" is hereby amended to read as follows:

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     36-14-8. Rhode Island ethics commission -- Establishment -- Members -- Vacancies -

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- Quorum -- Compensation and quarters. -- (a) There is hereby established an independent and

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nonpartisan Rhode Island ethics commission composed of nine (9) eleven (11) members

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appointed by the governor with the advice and consent of the senate. The president of the senate,

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the minority leader of the senate, the speaker of the house of representatives, the majority leader

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of the house of representatives, and the minority leader of the house of representatives shall,

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within twenty (20) days of July 21, 1992, each submit to the governor a list of names of not fewer

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than three (3), but not more than at least five (5) individuals. The governor shall, within forty (40)

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days of July 21, 1992, appoint one individual from each of the lists so submitted and four (4)

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individuals without regard to the lists submitted by the legislative leaders. The senate majority

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leader shall, on or before the first Tuesday in February in the year 2015, submit to the governor a

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list of names of not fewer than three (3), but not more than five (5) individuals. The governor

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shall, within thirty (30) days, nominate one individual from the list so submitted and shall

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nominate one individual without regard to said list.

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      (b) Members of the commission shall serve for terms of five (5) years, except that, of the

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members first appointed:

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      (1) The individual appointed from the list submitted by the majority leader of the house

 

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of representatives shall serve for one year;

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      (2) The individuals individual appointed from the lists list submitted by the minority

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leader of the senate and one of the individuals appointed by the governor without regard to the

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lists submitted by the legislative leaders shall serve for two (2) years;

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      (3) The individual appointed from the list submitted by the minority leader of the house

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of representatives and one of the individuals appointed by the governor without regard to the lists

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submitted by the legislative leaders shall serve for three (3) years;

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      (4) The individual appointed from the list submitted by the president of the senate and

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one of the individuals appointed from the list by the governor without regard to the lists submitted

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by the legislative leaders submitted by the minority leader of the house of representatives shall

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serve for four (4) years; and

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      (5) The individual appointed from the list submitted by the speaker of the house of

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representatives and one of the individuals appointed from the list submitted by the minority leader

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of the senate by the governor without regard to the lists submitted by the legislative leaders shall

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serve for five (5) years. ; and

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     (6) Each legislative leader who provides a list of nominees shall provide a statement of

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each nominee's qualifications to serve on the commission.

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      (c) No member shall be appointed for more than one full five (5) year term reappointed

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to the commission; provided, however, that a person initially appointed to serve two (2) years or

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less of a full five (5) year term, may, upon expiration of that term, be appointed to serve one full

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term; provided, further, that each member shall continue to serve until his or her successor is

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appointed and qualified; and, provided further, that if, at the time of the expiration of any

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member's term, that member is actively engaged in the adjudication of a complaint, he or she

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shall continue to serve in that capacity until the commission has completed its responsibilities

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with respect to that complaint.

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      (d) The governor shall, at the time of the initial appointments to the commission,

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designate one member to act as chairperson of the commission for a period of one year and

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another to act as vice chairperson of the commission for a period of one year. Thereafter, the

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commission shall elect a chairperson and a vice chairperson. The vice chairperson shall act as

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chairperson in the absence of the chairperson or in the event of a vacancy in that position.

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     (e) Notwithstanding the provisions of subsections (b) and (c) of this section, the

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expiration date of each five (5) year term shall be March 1. The term of each commissioner

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appointed before August 1, 2014 is extended to the March 1 next following the original expiration

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date of his or her term.

 

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     (f) For the appointment to the ethics commission authorities shall nominate individuals

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who have demonstrated the highest level of ethical standards in connection with their business,

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professional, occupational, financial or community commitments, and who possess the following

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qualifications: integrity, familiarity with governmental ethics issues, objectivity, common sense

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and compassion.

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     (g) To fill an expired term, the nominating authority shall submit a list of names to the

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governor by January 15. The governor shall post all such nominations for a period of at least

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fifteen (15) days in a prominent place in the state house as well as electronically on any electronic

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site maintained by the state and in a newspaper of statewide circulation. The governor, shall, by

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February 1, forward to the senate the name of any nominee chosen from the lists of the legislative

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nominating authorities, as well as the name of any nominee chosen directly by the governor.

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     (h) Any member of the ethics commission who shall resign prior to the end of the

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member's term shall give notice to the governor, the secretary of state and the nominating

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authority who originally nominated that member.

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      (e)(i) Any vacancy on the commission, occurring for any reason prior to the expiration of

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the term, shall be filled for the unexpired term by the appointing authority in the same manner as

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the original appointment within thirty (30) days of the vacancy occurring. ; provided, however,

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that the appropriate nominating authority shall submit a list of names to the governor within

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fifteen (15) days of the vacancy occurring. The governor shall post all such nominations for a

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period of at least fifteen (15) days in a prominent place in the state house as well as electronically

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on any electronic site maintained by the state and in a newspaper of statewide circulation. The

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governor shall, within thirty (30) days of the vacancy occurring, forward to the senate the name of

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any nominee chosen from the lists of the legislative nominating authorities, as well as the name of

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any nominee chosen directly by the governor. If a vacancy occurs when the senate is not in

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session, the date of vacancy shall be considered to be the following January 1, and the procedure

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in this subsection shall be followed.

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      (f)(j) No individual, while a member or employee of the commission, including any legal

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counsel engaged by the commission, shall:

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      (1) Hold or campaign for any other public office;

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      (2) Hold office in any political party or political committee;

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      (3) Participate in or contribute to any political campaign;

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      (4) Directly or indirectly attempt to influence any decision by a governmental body,

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other than as the duly authorized representative of the commission on a matter within the

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jurisdiction of the commission or be the business associate (as defined in § 36-14-2(3) of a

 

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registered lobbyist (as defined in § 22-1-2);

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      (5) Have held elective public office or have been a candidate for elective public office

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for a one year period prior to appointment.; and

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      (6) Have any equity interest or ownership interest in, or be employed by a business entity

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that derives any of its revenue or income by engaging in lobbying, as defined in chapter 22-10

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and chapter 42-139.

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      (g)(k) The governor shall declare vacant the position on the commission of any member

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who takes part in activities prohibited by subsection (f)(i) of this section. An individual appointed

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to fill a vacancy occurring other than by the expiration of a term of office shall be appointed for

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the unexpired term of the member he or she succeeds, and is eligible for appointment to one full

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five-year term thereafter if the unexpired term was two (2) years or less. Any vacancy occurring

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on the commission shall be filled within thirty (30) days in the manner in which that position was

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originally filled in the manner set forth in § 36-14-8(i).

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     (l) In the event that the legislative nominating authority shall fail to act within the times

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prescribed herein, any such right hereunder shall be forfeited and the governor shall make such

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nominations as is required by this section within thirty (30) days of the nonfiling occurring.

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     (m) In the event that the governor shall fail to act within the times prescribed herein, any

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such right hereunder shall be forfeited and the lieutenant governor shall make such nominations

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as are required by this section within forty-five (45) days of the vacancy occurring.

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     (n) Upon receiving the name of the nominee from the governor or the lieutenant

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governor, the senate shall publish within seven (7) days the name of the nominee in a newspaper

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of statewide circulation and shall post the name of the nominee in a prominent place in the state

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house as well as electronically on any electronic site maintained by the state, inviting public

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comment and designating a depository for written and oral comment to be received within fifteen

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(15) days from the date of publication of the nominee's name.

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     (o) The senate shall hold public hearings on the nomination and vote on the question of

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approving the nominee to serve on the ethics commission subject to the general laws. If the senate

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rejects or if it fails to approve the nominee within thirty (30) days after the governor or the

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lieutenant governor submits the name, the governor or the lieutenant governor shall nominate

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some other person to fill the vacancy in accordance with this chapter within fifteen (15) days of

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the rejection or failure to approve the nominee.

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     (p) During the time for consideration of any nominee by the senate, the senate judiciary

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committee shall conduct an investigation and public hearing on the qualifications of such

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nominee. At the public hearing, the testimony of every witness shall be taken under oath and

 

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stenographic records shall be taken and maintained. Further, the senate judiciary committee shall

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during the course of its investigation and hearing have the power upon the majority vote of the

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committee members present to issue witness subpoenas, subpoenas duces tecum, and orders for

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the production of books, accounts, papers, records, and documents which shall be signed and

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issued by the chairperson of the committee, or the person serving in his or her capacity. All such

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subpoenas and orders shall be served in the same manner as subpoenas in civil cases in the

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superior court are served, and witnesses so subpoenaed shall be entitled to the same fees for

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attendance and travel as provided for witnesses in civil cases in the superior court. If the person

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subpoenaed to attend before the committee fails to obey the command of the subpoena without

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reasonable cause, refuses to be sworn, or to be examined, or to answer a legal and pertinent

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question, or if any person shall refuse to produce books, accounts, papers, records, and

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documented material to the issue, set forth in an order duly served on him or her, without

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privilege or immunity, the committee by majority vote of the committee members present may

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cite such person and refer the record of such citation to the attorney general for prosecution.

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     (q) The superior court may, upon petition of the chairperson of the senate judiciary

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committee, compel compliance with any lawfully issued subpoena or order issued hereunder.

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     (r) The committee shall, for the purpose of investigating the qualifications of the

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nominee, be furnished with a report compiled by the state police in conjunction with the attorney

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general's office indicating the factual findings of the state police and attorney general's office

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concerning the background of the nominee, and the report shall include, but not be limited to, the

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following:

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     (1) Whether the nominee has ever been convicted of or pleaded guilty or nolo contendere

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to a misdemeanor and/or a felony in this or any other state or foreign country;

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     (2) Whether the nominee has ever had a civil or administrative judgment rendered against

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him or her arising out of an allegation of fraud, misrepresentation, libel, slander, professional

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negligence, breach of ethical or other duty, or any intentional tort in this state or any other state or

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foreign country; and

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     (3) A list of all political, elective, and appointive offices held or sought by candidacy by

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the nominee during the past five (5) years, and a list of all of the reported political contributions

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made by the nominee during the past five (5) years to any state or municipal official or any

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candidate for state or municipal office.

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     (s) The state police in conjunction with the attorney general's department shall provide in

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their report the names and addresses of each and every source of their information. The reports

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set forth in this section shall be delivered only to the chairperson and members of the senate

 

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judiciary committee in addition to the nominee or nominees prior to the commencement of the

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public hearing. Provided, however, that if the nominee withdraws or declines the appointment

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prior to the public hearing then the report or reports shall be returned to the chairperson of the

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judiciary committee and destroyed.

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     (t) Prior to the public hearing, the nominee shall file with the senate judiciary committee

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and the ethics commission a financial statement complying with the requirements of this chapter.

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     (u) By consenting to nomination, the nominee does, as a matter of law, release and hold

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harmless any person who shall make any statement to the state police in any inquiry authorized

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hereunder from any claim of defamation. Any such statement shall be taken under the pains and

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penalty of perjury.

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     (v) Concurrent with the conduct of the inquiry required herein, the nominee shall supply

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to the senate judiciary committee, under oath, the information sought in § 36-14-8(r).

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      (h)(w) For any action to be taken under the terms of this chapter by the full commission,

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five (5) members of the commission shall constitute a quorum.

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      (i)(x) Commission members shall not be compensated for attendance at meetings of the

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commission or of any investigating committee or adjudicative panel of the commission.

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      (j)(y) All departments and agencies of the state or of any city or town or political

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subdivision within this state shall furnish such advice or information documentary or otherwise,

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to the commission and its agents as is deemed necessary or desirable by the commission to

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facilitate the purposes of this chapter.

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      (k)(z) The director of administration is hereby authorized and directed to provide

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suitable quarters for the commission.

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      (l)(aa) When commission members act in good faith within the scope of their authority

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and in their official capacities they shall be afforded protection against civil liability as provided

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in section 9-1-31.1.

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     SECTION 2. This act shall take effect upon passage.

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EXPLANATION

BY THE LEGISLATIVE COUNCIL

OF

A N   A C T

RELATING TO PUBLIC OFFICERS AND EMPLOYEES -- CODE OF ETHICS

***

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     This act would increase from nine (9) to eleven (11) the membership of the Rhode Island

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ethics commission and require that appointments be made with the advice and consent of the

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senate. This act would also establish qualifications for appointment of members to the

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commission.

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     This act would take effect upon passage.

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