2017 -- H 6115

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LC002170

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     STATE OF RHODE ISLAND

IN GENERAL ASSEMBLY

JANUARY SESSION, A.D. 2017

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A N   A C T

RELATING TO ELECTIONS -- NOMINATION OF PARTY AND INDEPENDENT

CANDIDATES; RHODE ISLAND CAMPAIGN CONTRIBUTIONS AND EXPENDITURES

REPORTING; CRIMINAL OFFENSES --THEFT, EMBEZZLEMENT, FALSE PRETENSES,

AND MISAPPROPRIATIONS

     

     Introduced By: Representatives Phillips, Solomon, Morin, Shanley, and Casey

     Date Introduced: April 13, 2017

     Referred To: House Judiciary

     (Governor)

It is enacted by the General Assembly as follows:

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     SECTION 1. Section 17-14-1 of the General Laws in Chapter 17-14 entitled "Nomination

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of Party and Independent Candidates" is hereby amended to read as follows:

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     17-14-1. Declarations of candidacy.

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     (a) During the last consecutive Monday, Tuesday, and Wednesday in June in the even

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years and during the thirty-ninth (39th) and fortieth (40th) days preceding a primary election for a

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special election, or for an election regularly scheduled for a time other than the biennial general

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statewide election, each voter desiring to be a candidate at the upcoming primary or an

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independent candidate on final nomination papers shall, on a form that shall be provided by the

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secretary of state, file a declaration of his or her candidacy not later than four (4:00) p.m. of the

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last day for the filing with the secretary of state for congressional and statewide general offices,

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or with the local board of the place of the candidate's voting residence for general assembly, or

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state committee or senatorial and representative district committee or with the appropriate local

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board for local officers. The declaration shall be signed by the candidate as his or her name

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appears on the voting list. The signature shall be accepted as valid if it can be reasonably

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identified to be the name and signature of the voter it purports to be. A variation of the voter's

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signature by the insertion or omission of identifying titles or by the substitution of initials for the

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first or middle names of both shall not in itself be grounds for invalidation of the signature. The

 

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declaration shall also include the following information:

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     (1) The candidate's name as it appears on the voting list, subject to the same provisions as

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relate to the voter's signature on the declaration;

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     (2) The address as it appears on the voting list, provided that an address which is

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substantially the same as the address on the voting list shall be valid;

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     (3) The party declaration if seeking to run in a party primary;

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     (4) The office sought;

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     (5) The place and date of birth;

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     (6) The length of residence in the state and in the town or city where he or she resides;

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     (7) A certification that he or she is neither serving a sentence, including probation or

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parole, for which he or she was imprisoned upon final conviction of a felony imposed on any date

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nor serving any sentence, whether incarcerated or suspended, on probation or parole, upon final

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conviction of a felony committed after November 5, 1986;

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     (8) A certification that he or she has not been lawfully adjudicated to be non compos

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mentis, of unsound mind;

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     (9) If a person is a candidate for state or local office, a certification that, as of the date of

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declaration, they have no campaign finance reports due on or after July 1, 2017, to the state board

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of elections pursuant to chapter 25 of title 17 that are overdue by more than thirty (30) days;

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     (10) If a person is a candidate for state or local office, a certification that, as of the date of

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declaration, they have no unpaid fines, fees or penalties assessed on or after July l, 2017, by the

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state board of elections pursuant to its authority granted under chapter 7 of title 17 or chapter 25

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of title 17 that are overdue by more than thirty (30) days, provided that any fines, fees or penalties

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that are subject to payment plans as agreed to with the state board of elections, or being appealed

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pending determination by the state board of elections or a court of competent jurisdiction, or for

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which the time to appeal to the state board of elections or a court of competent jurisdiction has

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not expired shall not be considered overdue for purposes of this provision;

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     (9)(11) In the case of candidates for party nomination, a certification that he or she has

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not been a member of a political party other than the declared party within ninety (90) days of the

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filing date; and

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     (10)(12) If a person is a candidate for a state or local office, a certification that the person

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has not within the preceding three (3) years served any sentence, incarcerated or suspended, on

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probation or parole, for a crime committed after November 5, 1986, upon a plea of nolo

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contendere or guilty or upon a conviction of a felony or for a misdemeanor for which a sentence

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of imprisonment for six (6) months or more, whether suspended or to be served as imposed.

 

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     (b) No person shall be eligible to be a candidate or be eligible to be elected to public

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office if their declaration of candidacy contains any false or materially inaccurate certification or

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information or if the declaration of candidacy fails to list any required certification or

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information.

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     SECTION 2. Sections 17-25-11, 17-25-13 and 17-25-27 of the General Laws in Chapter

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17-25 entitled "Rhode Island Campaign Contributions and Expenditures Reporting" are hereby

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amended to read as follows:

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     17-25-11. Dates for filing of reports by treasurers of candidates or of committees.

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     (a) During the period between the appointment of the campaign treasurer for state and

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municipal committees and political action committees, or in the case of an individual the date on

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which the individual becomes a "declared or undeclared candidate" as defined in § 17-25-3(2),

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except when the ninety-day (90) reporting period ends less than forty (40) days prior to an

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election in which case the ninety-day (90) report shall be included as part of the report required to

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be filed on the twenty-eighth (28th) day next preceding the day of the primary, general, or special

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election pursuant to subdivision (2) of this subsection, and the election, with respect to which

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contributions are received or expenditures made by him or her in behalf of, or in opposition to, a

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candidate, the campaign treasurer of a candidate, a political party committee, or a political action

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committee shall file a report containing an account of contributions received, and expenditures

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made, on behalf of, or in opposition to, a candidate:

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     (1) At ninety-day (90) intervals commencing on the date on which the individual first

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becomes a candidate, as defined in § 17-25-3(2);

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     (2) In a contested election, on the twenty-eighth (28th) and seventh (7th) days next

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preceding the day of the primary, general, or special election; provided, that in the case of a

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primary election for a special election where the twenty-eighth (28th) day next preceding the day

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of the primary election occurs prior to the first day for filing declarations of candidacy pursuant to

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§ 17-14-1, the reports shall be due on the fourteenth (14th) and seventh (7th) days next preceding

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the day of the primary election for the special election; and

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     (3) A final report on the twenty-eighth (28th) day following the election. The report shall

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contain:

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     (i) The name and address and place of employment of each person from whom

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contributions in excess of a total of one hundred dollars ($100) within a calendar year were

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received;

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     (ii) The amount contributed by each person;

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     (iii) The name and address of each person to whom expenditures in excess of one

 

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hundred dollars ($100) were made; and

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     (iv) The amount and purpose of each expenditure.

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     (b) Concurrent with the report filed on the twenty-eighth (28th) day following an

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election, or at any time thereafter, the campaign treasurer of a candidate, or political party

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committee, or political action committee, may certify to the board of elections that the campaign

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fund of the candidate, political party committee, or political action committee having been

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instituted for the purposes of the past election, has completed its business and been dissolved or,

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in the event that the committee will continue its activities beyond the election, that its business

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regarding the past election has been completed. The certification shall be accompanied by a final

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accounting of the campaign fund, or of the transactions relating to the election, including the final

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disposition of any balance remaining in the fund at the time of dissolution or the arrangements

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that have been made for the discharge of any obligations remaining unpaid at the time of

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dissolution.

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     (c) (1) Once the campaign treasurer certifies that the campaign fund has completed its

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business and been dissolved, no contribution that is intended to defray expenditures incurred on

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behalf of, or in opposition to, a candidate during the campaign can be accepted. Until the time

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that the campaign treasurer certifies that the campaign fund has completed its business and been

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dissolved, the treasurer shall file reports containing an account of contributions received and

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expenditures made at ninety-day (90) intervals commencing with the next quarterly report

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following the election; however, the time to file under this subsection shall be no later than the

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last day of the month following the ninety-day (90) period, except when the last day of the month

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filing deadline following the ninety-day (90) reporting period occurs less than twenty-eight (28)

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days before an election, in which case the report shall be filed pursuant to the provisions of

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subdivisions (a)(1) and (2) of this section. Provided, however, if the last day of the month falls on

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a weekend or a holiday, the report shall be due on the following business day.

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     (2) In addition to the reports required pursuant to this section, a candidate or office holder

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shall also file with the board of elections a paper copy of the account statement from the office

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holder's campaign account, which account statement shall be the next account statement issued by

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their financial institution after the filing of the fourth quarterly campaign expense report. The

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account statement shall be submitted to the board within thirty (30) days of its receipt by the

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candidate, officeholder, treasurer, or deputy treasurer. The account statement shall not be deemed

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a public record pursuant to the provisions of chapter 2 of title 38. The board of elections, its

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agents, and employees shall not publish, deliver, copy, or disclose, to any person or entity any

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account statement or information contained therein for any candidate, former candidate,

 

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officeholder, party, or political action committee. Provided, as to state and municipal political

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parties, the requirements of this subsection (c)(2) shall apply to the annual report required

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pursuant to § 17-25-7.

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     (d) (1) There shall be no obligation to file the reports of expenditures required by this

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section on behalf of, or in opposition to, a candidate if the total amount to be expended in behalf

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of the candidacy by the candidate, by any political party committee, by any political action

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committee, or by any person shall not in the aggregate exceed one thousand dollars ($1,000).

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     (2) However, even though the aggregate amount expended on behalf of the candidacy

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does not exceed one thousand dollars ($1,000), reports must be made listing the source and

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amounts of all contributions in excess of a total of one hundred dollars ($100) from any one

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source within a calendar year. Even though the aggregate amount expended on behalf of the

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candidacy does not exceed one thousand dollars ($1,000) and no contribution from any one

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source within a calendar year exceeds one hundred dollars ($100), the report shall state the

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aggregate amount of all contributions received. In addition, the report shall state the amount of

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aggregate contributions that were from individuals, the amount from political action committees,

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and the amount from political party committees.

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     (e) On or before the first date for filing contribution and expenditure reports, the

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campaign treasurer may file a sworn statement that the treasurer will accept no contributions nor

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make aggregate expenditures in excess of the minimum amounts for which a report is required by

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this chapter. Thereafter, the campaign treasurer shall be excused from filing all the reports for that

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campaign, other than the final report due on the twenty-eighth (28th) day following the election.

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     (f) A campaign treasurer must file a report containing an account of contributions

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received and expenditures made at the ninety-day (90) intervals provided for in subsection (c) of

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this section for any ninety-day (90) period in which the campaign received contributions in excess

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of a total of one hundred dollars ($100) within a calendar year from any one source and/or made

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expenditures in excess of one thousand dollars ($1,000) within a calendar year; however, the time

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to file under this subsection shall be no later than the last day of the month following the ninety-

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day (90) period, except when the last day of the month filing deadline following the ninety-day

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(90) reporting period occurs less than twenty-eight (28) days before an election, in which case the

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report shall be filed pursuant to the provisions of subdivisions (a)(1) and (2) of this section.

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Provided, however, if the last day of the month falls on a weekend or a holiday, the report shall be

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due on the following business day.

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     (g) (1) The board of elections may, for good cause shown and upon the receipt of a

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written or electronic request, grant a seven-day (7) extension for filing a report; provided, that the

 

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request must be received no later than the date upon which the report is due to be filed.

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     (2) Any person or entity required to file reports with the board of elections pursuant to

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this section and who or that has not filed the report by the required date, unless granted an

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extension pursuant to subdivision (1) of this subsection, shall be fined twenty-five dollars

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($25.00) one hundred dollars ($100). Notwithstanding any of the provisions of this section, the

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board of elections shall have the authority to waive late filing fees for good cause shown.

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     (3) The board of elections shall send a notice of non-compliance, by certified mail, to any

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person or entity who or that fails to file the reports required by this section. A person or entity

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who or that is sent a notice of non-compliance and fails to file the required report within seven (7)

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days of the receipt of the notice, shall be fined two dollars ($2.00) ten dollars ($10.00) per day

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from the day of receipt of the notice of non-compliance until the day the report has been received

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by the state board, up to one thousand dollars ($1,000) in fines per report. Notwithstanding any of

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the provisions of this section, the board of elections shall have the authority to waive late filing

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fees for good cause shown.

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     17-25-13. Penalties.

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     (a) Any person who willfully and knowingly violates the provisions of this chapter shall,

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upon conviction, be guilty of a misdemeanor and shall be fined not more than one thousand

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dollars ($1,000) per violation.

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     (b) The state board may fine any person or entity who violates the provisions of this

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chapter in an amount not more than one hundred dollars ($100) five hundred dollars ($500) per

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violation.

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     (c) Fines, fees and penalties imposed by the state board for violations of this chapter shall

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be paid for by the candidate, officeholder or entity against whose campaign the fines, fees or

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penalties have been levied. Fines, fees and penalties levied by the state board pursuant to this

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chapter shall not be paid for from contributions or funds available in a campaign account.

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     (d) There is hereby created within the general fund a restricted receipt account to be

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known as the "board of elections fines and penalties account." All fines, penalties, and judgments

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collected by the board of elections shall be deposited into this account and the funds shall be used

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to support the board's auditing, compliance and enforcement activities.

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     17-25-27. Post-audit of accounts -- Publication.

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     (a) The board may conduct a post-audit of all accounts and transactions for any election

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cycle and may conduct any other special audits and post-audits that it may deem necessary. The

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board shall publish a summary of the reports filed by candidates for general office pursuant to the

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public financing provision of this chapter on or before April 1 of the year following any year in

 

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which elections are held for statewide elective office.

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     (b) By no later than January 1, 2018, the board shall select a statistically random sample

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of at least twelve and one-half percent (12.5%) of candidates for general office who raised or

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expended more than ten thousand dollars ($10,000) during either year of the 2016 election cycle,

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and at least twelve and one-half percent (12.5%) of other candidates who raised or expended

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more than ten thousand dollars ($10,000) during either year of the 2016 election cycle, and at

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least at least twelve and one-half percent (12.5%) of political action committees which raised or

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expended more than ten thousand dollars ($10,000) in either year during the 2016 cycle. The

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board shall conduct a post-audit of each selected candidate and political action committee by

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December 31, 2018. In conducting such a post-audit, the board shall review at least two (2) years

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of records for each candidate and political action committee that has been active for at least two

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(2) years.

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     (c) Beginning in January 2019 and in the January of each odd number year thereafter, the

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board shall select a statistically random sample of at least twenty-five percent (25%) of

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candidates for general office who raised or expended more than ten thousand dollars ($10,000) in

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either year of the previous election cycle, and at least twenty-five percent (25%) of other

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candidates who raised or expended more than ten thousand dollars ($10,000) during either year of

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the previous election cycle, and at least twenty-five percent (25%) of political action committees

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which raised or expended more than ten thousand dollars ($10,000) during either year of the

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previous election cycle. The board shall conduct a post-audit of each selected candidate and

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political action committee by the end of the following even number year. In conducting such a

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post-audit, the board shall review at least two (2) years of records for each candidate and political

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action committee that has been active for at least two (2) years.

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     SECTION 3. Section 17-25.2-5 of the General Laws in Chapter 17-25.2 entitled "Ballot

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Question Advocacy and Reporting" is hereby amended to read as follows:

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     17-25.2-5. Reporting by ballot question advocates.

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     (a) Every ballot-question advocate shall file periodic reports signed by an individual

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responsible for its contents on a form prescribed by the board of elections setting forth the name

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and address of the ballot-question advocate, including any other name under which the ballot-

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question advocate conducts ballot-question advocacy, the name and address of the person filing

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the report; and

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     (1) The name, address and, if applicable, the place of employment of each person making

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a contribution or contributions that in the aggregate exceed one thousand-eight hundred dollars

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($1,800) per election cycle to a ballot-question advocate for purposes of ballot question advocacy

 

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and the amount contributed by each person or source; provided, however, this information shall

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be reported only if:

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     (i) The contributions received by a ballot-question advocate are solicited in any way,

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including by written, electronic, or verbal means, by the ballot-question advocate specifically for

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ballot-question advocacy; or

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     (ii) The contributions were specifically designated by the contributor for ballot-question

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advocacy; or

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     (iii) The ballot question advocate knew or had reason to know that the contributor

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intended or expected that the majority of the contributions be used for ballot question advocacy;

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and

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     (2) The name and address of every person or entity receiving an expenditure for ballot-

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question advocacy, which in the aggregate exceeds one hundred dollars ($100), the amount of

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each expenditure for ballot-question advocacy, and the total amount of expenditures for ballot-

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question advocacy made by the ballot-question advocate as of the last report date; and

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     (3) A statement of the position of the ballot-question advocate in support of or opposition

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to the ballot-question; and

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     (4) The names and addresses of all identified members or endorsing organizations,

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corporations, and/or associations that authorize the ballot-question advocate to represent to the

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public that they support the positions of the ballot-question advocate; and

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     (5) The name and address of at least one of the officers of the ballot question advocate, if

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any, or one individual that is responsible for the ballot question advocate's compliance with the

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provisions of this chapter.

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     (b) The first report must be filed by a ballot-question advocate for the period beginning

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when the ballot-question advocate expends a cumulative total that exceeds one thousand dollars

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($1,000) for ballot-question advocacy and ending the last day of the first full month following

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such date, to be filed with the board of elections due no later than seven (7) days after the end of

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the month. A ballot-question advocate must thereafter file calendar month reports with the board

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of elections due no later than seven (7) days after the end of the month; provided, that in lieu of

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filing for the last full calendar month preceding the ballot question election, a report must be filed

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due no later than seven (7) days before the election.

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     (c) A ballot-question advocate must file a final report of contributions received and

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expenditures made for ballot-question advocacy no later than thirty (30) days after the election for

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the ballot question is held subject to the provisions of § 17-25.2-6. All reports filed with the board

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of elections must be received no later than 4:00 p.m. on the due date.

 

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     (d) (1) The board of elections may, for good cause shown and upon receipt of a written or

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electronic request, grant a seven (7) day extension for filing a report; provided, however, that the

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request must be received no later than the date and time upon which the report is due to be filed,

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and further if the election for the ballot question is to be held less than seven (7) days from the

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report due date and time, the report must be filed prior to the election date.

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     (2) Any ballot-question advocate required to file reports with the board of elections

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pursuant to this section and who has not filed the report by the required date and time, unless

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granted an extension by the board, shall be fined twenty-five dollars ($25.00) one hundred dollars

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($100).

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     (3) The board of elections shall send a notice of noncompliance, by certified mail, to the

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ballot-question advocate who fails to file the reports required by this section. A ballot-question

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advocate that has been sent a notice of noncompliance and fails to file the required report within

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seven (7) days of the receipt of the notice shall be fined two dollars ($2.00) ten dollars ($10.00)

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per day from the date of the receipt of the notice of noncompliance until the day the report is

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received by the board of elections, up to one thousand dollars ($1,000) in fines per report.

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Notwithstanding any of the provisions of this section, the board of election shall have the

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authority to waive late filing fees for good cause shown.

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     SECTION 4. Chapter 11-41 of the General Laws entitled "Theft, Embezzlement, False

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Pretenses, and Misappropriation" is hereby amended by adding thereto the following section:

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     11-41-31.1. Forfeiture of campaign contributions.

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     (a) For the purposes of this section:

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     (1) "Specified crime" means any felony involving accepting or giving, or offering to give,

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any bribe relating to a public office, the embezzlement of campaign contributions or public

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money, extortion of theft of campaign contributions or public money, or conspiracy to commit

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any of the above.

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     (2) "Convicted of any specified crime" means and includes being convicted of any

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specified crime in this state and being convicted under the laws in any other state, the United

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States of America, or any foreign government or country of a crime that, if committed in this

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state, would be a specified crime, and for which the person has not received a pardon from the

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governor of this state, the governor or other officer authorized to grant pardons in another state,

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the president of the United States of America, or the officer of the foreign government or country

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authorized to grant pardons in that foreign jurisdiction.

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     (3) "Candidate," "contributions," "person," "public office," and "state" have the same

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meanings ascribed to them, respectively, in §17-25-3.

 

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     (4) "Pleads guilty or nolo contendere" shall not include any plea of nolo contendere

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which does not constitute a conviction by virtue of §12-10-12 or §12-18-3.

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     (b) Notwithstanding any law to the contrary, if any candidate or former candidate is

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convicted of, or pleads guilty or nolo contendere to, any specified crime, the judge, as part of any

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sentence imposed, may order the forfeiture of any or all campaign contributions of the candidate

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or former candidate to pay campaign debts and expenses already incurred, return donations to

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contributors, donate to the general fund of this state, or a combination of the above.

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     (c) In determining whether campaign funds shall be forfeited, the court shall consider and

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make a finding on the following factors:

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     (1) The severity of the specified crime of which the candidate or former candidate has

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been convicted or to which the candidate or former candidate has pleaded guilty or nolo

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contendere;

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     (2) The amount of monetary loss suffered by any person as a result of the subject

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specified crime; and

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     (3) Any other factors that, in the judgment of the court, justice may require.

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     SECTION 5. Chapter 17-14 of the General Laws entitled "Nomination of Party and

17

Independent Candidates" is hereby amended by adding thereto the following section:

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     17-14-18. Severability.

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     If any provision of this chapter or its application to any person or circumstances is held

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invalid, the invalidity shall not affect other provisions or applications of the chapter which can be

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given effect without the invalid provision or application, and to this end the provisions of the

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chapter are declared to be severable.

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     SECTION 6. This act shall take effect upon passage.

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EXPLANATION

BY THE LEGISLATIVE COUNCIL

OF

A N   A C T

RELATING TO ELECTIONS -- NOMINATION OF PARTY AND INDEPENDENT

CANDIDATES; RHODE ISLAND CAMPAIGN CONTRIBUTIONS AND EXPENDITURES

REPORTING; CRIMINAL OFFENSES --THEFT, EMBEZZLEMENT, FALSE PRETENSES,

AND MISAPPROPRIATIONS

***

1

     This act would increase fines and penalties for failure to file timely campaign finance

2

reports; increase the amount of information required in a declaration of candidacy; require yearly

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random audits of finance reports; and authorize the forfeiture of campaign funds for conviction of

4

crimes relating to public office service.

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     This act would take effect upon passage.

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