|
Assembly Actions -
Lowercase Senate Actions - UPPERCASE |
|
|---|---|
| Jan 06, 2010 |
referred to election law |
| May 08, 2009 |
print number 7488a |
| May 08, 2009 |
amend and recommit to election law |
| Apr 13, 2009 |
referred to election law |
Assembly Bill A7488
2009-2010 Legislative Session
Enacts the "campaign finance reform act of 2009"; repealer
download bill text pdfSponsored By
BRENNAN
Archive: Last Bill Status - In Assembly Committee
- Introduced
-
- In Committee Assembly
- In Committee Senate
-
- On Floor Calendar Assembly
- On Floor Calendar Senate
-
- Passed Assembly
- Passed Senate
- Delivered to Governor
- Signed By Governor
Actions
Bill Amendments
2009-A7488 - Details
2009-A7488 - Bill Text download pdf
S T A T E O F N E W Y O R K
________________________________________________________________________
7488
2009-2010 Regular Sessions
I N A S S E M B L Y
April 13, 2009
___________
Introduced by M. of A. BRENNAN -- read once and referred to the Commit-
tee on Election Law
AN ACT to amend the election law and the legislative law, in relation to
enacting the "campaign finance reform act of 2009"; and repealing
certain provisions of the election law relating thereto
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Legislative findings and declarations. The legislature
finds that it is vitally important to democratic government in this
state to prevent corruption, special privileges, and favoritism in
connection with the financing and other operations of statewide poli-
tical campaigns and to also avoid the appearance of these abuses. The
public's perception is that government is held hostage to special inter-
ests and wealthy donors. As the United States Supreme Court found in
BUCKLEY V. VALEO, states have a compelling interest "to reduce the dele-
terious effect of large contributions on our political process." There-
fore, the legislature declares that it is in the public interest and a
valid public purpose to lower contribution limits, limit contributions
from special interests, such as lobbyists, ban all fundraising in the
capital district during the legislative session, prohibit the personal
use of campaign funds, improve transparency and accountability, facili-
tate compliance with campaign finance reporting requirements, expand the
enforcement powers of the state board of elections and increase penal-
ties for campaign finance violations. This comprehensive reform package
will reduce the influence of special interests and the appearance of
corruption while restoring the public's confidence in elected officials.
S 2. This act shall be known and may be cited as the "campaign finance
reform act of 2009".
S 3. Section 3-100 of the election law, subdivisions 1, 2 and 3 as
amended by chapter 220 of the laws of 2005, subdivisions 4 and 5 as
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD10073-03-9
A. 7488 2
redesignated by chapter 9 of the laws of 1978, is amended to read as
follows:
S 3-100. New York state board of elections; membership; organization.
1. There is hereby created within the executive department a New York
state board of elections, hereafter referred to as the "state board of
elections", composed of [four] FIVE commissioners appointed by the
governor AS FOLLOWS: (A) two commissioners, one each from among not
fewer than two persons recommended by the chairman of the state commit-
tee of each of the major political parties; [and] (B) two [other]
commissioners, one upon the joint recommendation of the legislative
leaders, of one major political party, in each house of the legislature
and one upon the joint recommendation of the legislative leaders, of the
other major political party, in each house of the legislature, AND (C)
ONE COMMISSIONER UPON THE JOINT RECOMMENDATION OF THE TWO COMMISSIONERS
SELECTED PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION. The commission-
ers shall be appointed for terms of two years each and in the same
manner as their respective predecessors. A commissioner appointed to the
board to fill a vacancy caused other than by expiration of a term, shall
serve for the balance of the unexpired term. In the event that there is
a vacancy in the office of the commissioner appointed [on the recommen-
dation of such legislative leaders] PURSUANT TO PARAGRAPH (B) OF THIS
SUBDIVISION caused by expiration of term or otherwise, [such] THE legis-
lative leaders responsible for making the joint recommendation to fill
such vacancy shall jointly recommend an individual to fill such vacancy
and the governor shall make the appointment from such joint recommenda-
tion within thirty days of receiving such joint recommendation. In the
event the governor does not act on such joint recommendation within
thirty days or objects to such joint recommendation, then the legisla-
tive leaders making such joint recommendation shall have the option of:
[(a)] (I) appointing the individual so jointly recommended as a commis-
sioner, or [(b)] (II) jointly recommending another individual for
appointment by the governor according to the procedure outlined in this
subdivision. IN THE EVENT THAT THERE IS A VACANCY IN THE OFFICE OF THE
COMMISSIONER APPOINTED PURSUANT TO PARAGRAPH (C) OF THIS SUBDIVISION
CAUSED BY EXPIRATION OF TERM OR OTHERWISE, THE COMMISSIONERS RESPONSIBLE
FOR MAKING THE JOINT RECOMMENDATION TO FILL SUCH VACANCY SHALL JOINTLY
RECOMMEND AN INDIVIDUAL TO FILL SUCH VACANCY AND THE GOVERNOR SHALL MAKE
THE APPOINTMENT FROM SUCH JOINT RECOMMENDATION WITHIN THIRTY DAYS OF
RECEIVING SUCH JOINT RECOMMENDATION. IN THE EVENT THE GOVERNOR DOES NOT
ACT ON SUCH JOINT RECOMMENDATION WITHIN THIRTY DAYS OR OBJECTS TO SUCH
JOINT RECOMMENDATION, THEN THE COMMISSIONERS MAKING SUCH JOINT RECOMMEN-
DATION SHALL HAVE THE OPTION OF: (I) APPOINTING THE INDIVIDUAL SO JOINT-
LY RECOMMENDED AS A COMMISSIONER, OR (II) JOINTLY RECOMMENDING ANOTHER
INDIVIDUAL FOR APPOINTMENT BY THE GOVERNOR ACCORDING TO THE PROCEDURE
OUTLINED IN THIS SUBDIVISION. THE PROVISIONS OF SECTION FIVE OF THE
PUBLIC OFFICERS LAW SHALL NOT APPLY TO ANY MEMBER APPOINTED PURSUANT TO
PARAGRAPH (C) OF THIS SUBDIVISION.
2. The two commissioners of the board appointed upon the recommenda-
tion of the legislative leaders shall be co-chairs of the state board of
elections.
3. The commissioners of the state board of elections shall have no
other public employment. The commissioners shall receive an annual sala-
ry of twenty-five thousand dollars, within the amounts made available
therefor by appropriation. The board shall, for the purposes of sections
seventy-three and seventy-four of the public officers law, be a "state
agency", and such commissioners shall be "officers" of the state board
A. 7488 3
of elections for the purposes of such sections. Within the amounts made
available by appropriation therefor, the state board of elections shall
appoint two co-executive directors, counsel and such other staff members
as are necessary in the exercise of its functions, and may fix their
compensation. Anytime after the effective date of [the] chapter TWO
HUNDRED TWENTY of the laws of two thousand five [which amended this
subdivision], the commissioners or, in the case of a vacancy on the
board, the commissioner of each of the major political parties shall
appoint one co-executive director. Each co-executive director shall
serve a term of four years. Any vacancy in the office of co-executive
director shall be filled by the commissioners or, in the case of a
vacancy on the board, the commissioner of the same major political party
as the vacating incumbent for the remaining period of the term of such
vacating incumbent.
4. For the purposes of meetings, three commissioners shall constitute
a quorum. The affirmative vote of three commissioners shall be required
for any official action of the state board of elections.
5. The principal office of the state board of elections shall be in
the county of Albany.
S 4. Subdivisions 3, 7, 9-A, 12, 16 and 17 of section 3-102 of the
election law, subdivisions 3, 7 and 17 as amended and subdivision 12 as
redesignated by chapter 9 of the laws of 1978, subdivision 9-A as added
by chapter 430 of the laws of 1997, paragraph (a) of subdivision 9-A as
amended by chapter 406 of the laws of 2005 and paragraph (d) of subdivi-
sion 9-A as amended by chapter 249 of the laws of 2003, subdivision 16
as added and subdivision 17 as renumbered by chapter 23 of the laws of
2005, are amended to read as follows:
3. conduct, THROUGH THE ENFORCEMENT UNIT ESTABLISHED PURSUANT TO
SECTION 3-104 OF THIS TITLE any investigation necessary to carry out the
provisions of this chapter, EXCEPT WHEN A SPECIAL INVESTIGATOR IS
APPOINTED PURSUANT TO SECTION 3-107 OF THIS TITLE;
7. institute[, or direct a board of elections to institute] such judi-
cial proceedings as may be necessary to enforce compliance with any
provision of article fourteen of this chapter or any regulation promul-
gated thereunder including, but not limited to, application, on notice
served upon the respondent in the manner directed by the court at least
six hours prior to the time of return thereon, to a justice of the
supreme court within the judicial district in which an alleged violation
of any such provision or regulation occurred or is threatened, for an
order prohibiting the continued or threatened violation thereof or for
such other or further relief as the court may deem just and proper;
9-A. (a) develop an electronic reporting system, WHICH IS A WEB-BASED
COMPUTER APPLICATION FOR FILING OVER THE INTERNET, to process the state-
ments of campaign receipts, contributions, transfers and expenditures
required to be filed with [any] THE STATE board of elections pursuant to
the provisions of sections 14-102 and 14-104 of this chapter;
(b) prescribe the information required in the form for each statement
to be filed;
(c) establish a training program on the electronic reporting process
and make it available to any such candidate or committee, INCLUDING BUT
NOT LIMITED TO THE DEVELOPMENT AND IMPLEMENTATION OF AN INTERNET-BASED
CAMPAIGN FINANCE DISCLOSURE TRAINING PROGRAM. SUCH CAMPAIGN FINANCE
DISCLOSURE TRAINING PROGRAM SHALL INCLUDE NEW YORK STATE SPECIFIC INFOR-
MATION AND INSTRUCTIONS TO ENABLE CANDIDATES AND COMMITTEES TO COMPLY
WITH THE FINANCIAL DISCLOSURE REQUIREMENTS IN ARTICLE FOURTEEN OF THIS
CHAPTER AND APPLICABLE REGULATIONS;
A. 7488 4
(d) make the electronic reporting process available to any such candi-
date or committee which is required to file or which agrees to file such
statements by such electronic reporting process;
(e) cause all information contained in such a statement filed with the
state board of elections which is not on such electronic reporting
system to be entered into such system as soon as practicable but in no
event later than ten business days after its receipt by the state board
of elections; and
(f) make all data COLLECTED from THE electronic reporting process
REQUIRED BY THIS SECTION available at all times on the internet.
12. monitor the adequacy and effectiveness of the election laws and
report thereon [at least] annually to the governor and the legislature.
SUCH REPORT SHALL INCLUDE A SUMMARY SETTING FORTH THE NUMBER OF
COMPLAINTS RECEIVED AND INVESTIGATIONS CONDUCTED BY THE STATE BOARD OF
ELECTIONS AND THE NUMBER AND NATURE OF ACTIONS COMMENCED AND ALL MATTERS
RESOLVED AND PENALTIES IMPOSED BY THE COURTS DURING THE PRECEDING TWELVE
MONTH PERIOD;
16. administer the administrative complaint procedure as provided for
in section 3-105 of this [article.] TITLE;
17. HEAR AND CONSIDER THE RECOMMENDATIONS OF THE STATE BOARD OF
ELECTIONS ENFORCEMENT UNIT REGARDING THE ENFORCEMENT OF VIOLATIONS OF
ARTICLE FOURTEEN OF THIS CHAPTER OR RECOMMENDATIONS REGARDING IMMUNITY
MADE IN CONNECTION WITH AN INVESTIGATION CONDUCTED PURSUANT TO SECTION
3-104 OF THIS TITLE;
18. perform such other acts as may be necessary to carry out the
purposes of this chapter.
S 5. Section 3-104 of the election law is REPEALED and a new section
3-104 is added to read as follows:
S 3-104. STATE BOARD OF ELECTIONS ENFORCEMENT UNIT. 1. THERE SHALL BE
A UNIT KNOWN AS THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT ESTAB-
LISHED WITHIN THE STATE BOARD OF ELECTIONS.
2. THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT SHALL HAVE SOLE
AUTHORITY WITHIN THE STATE BOARD OF ELECTIONS TO INVESTIGATE ALLEGED
VIOLATIONS OF ARTICLE FOURTEEN OF THIS CHAPTER AND ALL COMPLAINTS ALLEG-
ING ARTICLE FOURTEEN VIOLATIONS SHALL BE FORWARDED TO THIS UNIT. NOTH-
ING IN THIS SECTION SHALL BE CONSTRUED TO DIMINISH OR ALTER THE STATE
BOARD OF ELECTIONS ENFORCEMENT UNIT'S JURISDICTION PURSUANT TO THIS
CHAPTER.
3. UPON RECEIPT OF A COMPLAINT AND SUPPORTING INFORMATION ALLEGING A
VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, THE STATE BOARD OF
ELECTIONS ENFORCEMENT UNIT SHALL ANALYZE THE COMPLAINT TO DETERMINE IF
AN INVESTIGATION SHOULD BE UNDERTAKEN. THE STATE BOARD OF ELECTIONS
ENFORCEMENT UNIT SHALL, IF NECESSARY, REQUEST ADDITIONAL INFORMATION
FROM THE COMPLAINANT TO ASSIST IT IN MAKING THIS DETERMINATION. SUCH
ANALYSIS SHALL CONSIST OF A TWO PRONG TEST: FIRST, WHETHER THE ALLEGA-
TIONS, IF TRUE, WOULD CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF THIS
CHAPTER AND, SECOND, WHETHER THE ALLEGATIONS ARE SUPPORTED BY CREDIBLE
EVIDENCE.
4. IF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT
THE ALLEGATIONS, IF TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE
FOURTEEN OF THIS CHAPTER OR THAT THE ALLEGATIONS ARE NOT SUPPORTED BY
CREDIBLE EVIDENCE, IT SHALL ISSUE A LETTER TO THE COMPLAINANT DISMISSING
THE COMPLAINT.
5. IF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT
THE ALLEGATIONS, IF TRUE, WOULD CONSTITUTE A VIOLATION OF ARTICLE FOUR-
TEEN OF THIS CHAPTER AND THAT THE ALLEGATIONS APPEAR TO BE SUPPORTED BY
A. 7488 5
CREDIBLE EVIDENCE, IT SHALL PUBLICLY REPORT ITS INTENT TO COMMENCE AN
INVESTIGATION TO THE STATE BOARD OF ELECTIONS NO LATER THAN THE BOARD'S
NEXT REGULARLY SCHEDULED MEETING. SUCH REPORT SHALL SUMMARIZE THE RELE-
VANT FACTS AND THE APPLICABLE LAW AND SHALL TO THE EXTENT POSSIBLE,
MAINTAIN THE CONFIDENTIALITY OF THE COMPLAINANT AND THE INDIVIDUAL
SUBJECT TO THE COMPLAINT.
6. IF, UPON CONSIDERING THE ENFORCEMENT UNIT'S RECOMMENDATION TO
COMMENCE AN INVESTIGATION, THE STATE BOARD OF ELECTIONS BELIEVES THAT
THE ALLEGATIONS, IF TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE
FOURTEEN OF THIS CHAPTER, OR THE ALLEGATIONS ARE NOT SUPPORTED BY CREDI-
BLE EVIDENCE OR, THAT ON BALANCE, THE EQUITIES FAVOR A DISMISSAL OF THE
COMPLAINT, THE BOARD SHALL PUBLICLY DIRECT THAT AN INVESTIGATION NOT BE
UNDERTAKEN. IN DETERMINING WHETHER THE EQUITIES FAVOR A DISMISSAL OF THE
COMPLAINT, THE STATE BOARD OF ELECTIONS SHALL CONSIDER THE FOLLOWING
FACTORS: (A) WHETHER THE COMPLAINT ALLEGES A DE MINIMUS VIOLATION OF
ARTICLE FOURTEEN OF THIS CHAPTER; OR (B) WHETHER THE SUBJECT OF THE
COMPLAINT HAS MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION; OR (C)
WHETHER THE SUBJECT OF THE COMPLAINT HAS A HISTORY OF SIMILAR
VIOLATIONS. DETERMINATIONS OF THE STATE BOARD OF ELECTIONS TO DISMISS A
COMPLAINT AND NOT PROCEED WITH A FORMAL INVESTIGATION SHALL BE VOTED
UPON AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT
AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW,
AND SHALL BE MADE ON A FAIR AND EQUITABLE BASIS AND WITHOUT REGARD TO
THE STATUS OF THE SUBJECT OF THE COMPLAINT.
7. ABSENT A DETERMINATION BY THE STATE BOARD OF ELECTIONS THAT AN
INVESTIGATION SHALL NOT BE UNDERTAKEN, THE STATE BOARD OF ELECTIONS
ENFORCEMENT UNIT SHALL COMMENCE AN INVESTIGATION ON A TIMELY BASIS. IF
THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT ADDITIONAL
INVESTIGATIVE POWERS, AS PROVIDED FOR IN SUBDIVISIONS FOUR, FIVE AND SIX
OF SECTION 3-102 OF THIS TITLE, ARE NEEDED TO COMPLETE ITS INVESTI-
GATION, IT SHALL REQUEST SUCH ADDITIONAL POWERS FROM THE STATE BOARD OF
ELECTIONS. SUCH POWERS SHALL BE GRANTED BY THE BOARD IN PUBLIC, AS
PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE, ONLY WHEN
THE BOARD FINDS THAT FURTHER INVESTIGATION IS WARRANTED AND JUSTIFIED.
8. AT THE CONCLUSION OF ITS INVESTIGATION, THE STATE BOARD OF
ELECTIONS ENFORCEMENT UNIT SHALL PROVIDE THE STATE BOARD OF ELECTIONS
WITH A WRITTEN RECOMMENDATION AS TO: (A) WHETHER SUBSTANTIAL REASON
EXISTS TO BELIEVE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER HAS
OCCURRED AND, IF SO, THE NATURE OF THE VIOLATION, AND THE APPROPRIATE
PENALTY, AS DEFINED IN SECTION 14-126 OF THIS CHAPTER, BASED ON THE
NATURE OF THE VIOLATION; AND (B) WHETHER A REFERRAL SHOULD BE MADE TO A
DISTRICT ATTORNEY OR THE STATE ATTORNEY GENERAL PURSUANT TO SUBDIVISION
TEN OF THIS SECTION BECAUSE SUBSTANTIAL REASON EXISTS TO BELIEVE A
VIOLATION WARRANTING CRIMINAL PROSECUTION HAS TAKEN PLACE.
9. THE STATE BOARD OF ELECTIONS SHALL ACCEPT, MODIFY OR REJECT THE
STATE BOARD OF ELECTIONS ENFORCEMENT UNIT RECOMMENDATION AS PROVIDED IN
SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING
PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW. IN MAKING ITS
DETERMINATION, THE BOARD SHALL AGAIN CONSIDER: (A) WHETHER THE COMPLAINT
ALLEGES A DE MINIMUS VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER; OR
(B) WHETHER THE SUBJECT OF THE COMPLAINT HAS MADE A GOOD FAITH EFFORT TO
CORRECT THE VIOLATION; OR (C) WHETHER THE SUBJECT OF THE COMPLAINT HAS A
HISTORY OF SIMILAR VIOLATIONS. ALL SUCH DETERMINATIONS SHALL BE VOTED
UPON AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT
AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW,
A. 7488 6
AND SHALL BE MADE ON A FAIR AND EQUITABLE BASIS, WITHOUT REGARD TO THE
STATUS OF THE SUBJECT OF THE COMPLAINT.
10. (A) IF THE STATE BOARD OF ELECTIONS CONCLUDES, AS PROVIDED IN
SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING
PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, THAT SUBSTANTIAL
REASON EXISTS TO BELIEVE THAT A VIOLATION OF SUBDIVISION ONE OF SECTION
14-126 OF THIS CHAPTER HAS OCCURRED, OR (B) IF THE STATE BOARD OF
ELECTIONS CONCLUDES, AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF
THIS TITLE AT AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC
OFFICERS LAW, THAT SUBSTANTIAL REASON EXISTS TO BELIEVE THAT A PERSON,
ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL COMMITTEE UNDER
CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW, HAS UNLAWFULLY (I)
ACCEPTED A MONETARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION
ESTABLISHED IN ARTICLE FOURTEEN OF THIS CHAPTER, (II) EXPENDED CAMPAIGN
FUNDS FOR A PERSONAL USE IN VIOLATION OF SECTION 14-130 OF THIS CHAPTER,
OR (III) IN THE CASE OF A POLITICAL COMMITTEE, CONDUCTED ACTIVITIES
PROHIBITED BY ARTICLE FOURTEEN OF THIS CHAPTER, WHICH COULD WARRANT A
CIVIL PENALTY AS PROVIDED FOR IN SUBDIVISION TWO OF SECTION 14-126 OF
THIS CHAPTER, THE BOARD SHALL DIRECT THE COMMENCEMENT OF A SPECIAL
PROCEEDING IN THE SUPREME COURT PURSUANT TO SECTION 16-120 OF THIS CHAP-
TER. IF THE STATE BOARD OF ELECTIONS CONCLUDES, AS PROVIDED IN SUBDIVI-
SION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING PURSUANT TO
ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, THAT SUBSTANTIAL REASON EXISTS
TO BELIEVE A VIOLATION WARRANTING CRIMINAL PROSECUTION HAS TAKEN PLACE,
THE BOARD SHALL REFER THE MATTER TO A DISTRICT ATTORNEY OR THE STATE
ATTORNEY GENERAL AND SHALL MAKE AVAILABLE TO SUCH DISTRICT ATTORNEY OR
THE STATE ATTORNEY GENERAL ALL PAPERS, DOCUMENTS, TESTIMONY AND FINDINGS
RELEVANT TO ITS INVESTIGATION.
11. UPON NOTIFICATION THAT A SPECIAL PROCEEDING HAS BEEN COMMENCED BY
A PARTY OTHER THAN THE STATE BOARD OF ELECTIONS, PURSUANT TO SECTION
16-114 OF THIS CHAPTER, THE STATE BOARD OF ELECTIONS SHALL DIRECT THE
STATE BOARD OF ELECTIONS ENFORCEMENT UNIT TO INVESTIGATE THE ALLEGED
VIOLATIONS UNLESS OTHERWISE DIRECTED BY THE COURT.
12. THE STATE BOARD OF ELECTIONS SHALL PROMULGATE RULES AND REGU-
LATIONS CONSISTENT WITH LAW TO EFFECTUATE THE PROVISIONS OF THIS
SECTION.
S 6. The election law is amended by adding a new section 3-111 to read
as follows:
S 3-111. PERSONAL USE OF CAMPAIGN FUNDS. 1. UPON WRITTEN REQUEST FROM
ANY PERSON WHO IS SUBJECT TO THE REQUIREMENTS OF SECTION 14-130 OF THIS
CHAPTER, THE STATE BOARD OF ELECTIONS SHALL RENDER FORMAL OPINIONS ON
THE REQUIREMENTS OF SAID SECTION. AN OPINION RENDERED BY THE BOARD,
UNTIL AND UNLESS AMENDED OR REVOKED, SHALL BE BINDING ON THE BOARD IN
ANY SUBSEQUENT PROCEEDING CONCERNING THE PERSON WHO REQUESTED THE OPIN-
ION AND WHO ACTED IN GOOD FAITH, UNLESS MATERIAL FACTS WERE OMITTED OR
MISSTATED BY THE PERSON IN THE REQUEST FOR AN OPINION. SUCH OPINION MAY
ALSO BE RELIED UPON BY SUCH PERSON, AND MAY BE INTRODUCED AND SHALL BE A
DEFENSE IN ANY CRIMINAL OR CIVIL ACTION. SUCH REQUEST SHALL BE CONFIDEN-
TIAL, BUT THE BOARD SHALL PUBLISH SUCH OPINIONS PROVIDED THAT THE NAME
OF THE REQUESTING PERSON AND OTHER IDENTIFYING DETAILS SHALL NOT BE
INCLUDED IN THE PUBLICATION.
2. THE BOARD MAY, UPON A WRITTEN REQUEST INVOLVING THE SAME FACTS
ADDRESSED IN A PRIOR FORMAL OPINION, ISSUE A WRITTEN STATEMENT DIRECTING
THAT THE PRIOR FORMAL OPINION MAY BE RELIED UPON IN THE SAME MANNER AS
PROVIDED IN SUBDIVISION ONE OF THIS SECTION.
A. 7488 7
S 7. The election law is amended by adding a new section 3-228 to read
as follows:
S 3-228. STATE BOARD OF ELECTIONS WEBSITE; PUBLIC ACCESS. EVERY BOARD
OF ELECTIONS SHALL MAKE AT LEAST ONE COMPUTER AVAILABLE TO THE PUBLIC,
INCLUDING CANDIDATES FOR PUBLIC OFFICE OR PARTY POSITION, FOR THE
PURPOSE OF ACCESSING THE STATE BOARD OF ELECTIONS WEBSITE. SUCH ACCESS
SHALL ALLOW CANDIDATES TO FILE THEIR STATEMENTS OF CAMPAIGN RECEIPTS,
CONTRIBUTIONS, TRANSFERS AND EXPENDITURES AS REQUIRED BY SECTION 14-110
OF THIS CHAPTER.
S 8. Subdivision 1 of section 14-100 of the election law, as amended
by chapter 71 of the laws of 1988, is amended and six new subdivisions
12, 13, 14, 15, 16 and 17 are added to read as follows:
1. "political committee" means any corporation aiding or promoting and
any committee, political club or combination of one or more persons
operating or co-operating to aid or to promote the success or defeat of
a political party or principle, or of any ballot proposal; or to aid or
take part in the election or defeat of a candidate for public office or
to aid or take part in the election or defeat of a candidate for nomi-
nation at a primary election or convention, including all proceedings
prior to such primary election, or of a candidate for any party position
voted for at a primary election, or to aid or defeat the nomination by
petition of an independent candidate for public office; OR ANY POLITICAL
ACTION COMMITTEE ESTABLISHED, FINANCED, MAINTAINED OR CONTROLLED BY ANY
CORPORATION, LABOR ORGANIZATION, OR ANY OTHER PERSON; but nothing in
this article shall apply to any committee or organization for the
discussion or advancement of political questions or principles without
connection with any vote or to a national committee organized for the
election of presidential or vice-presidential candidates; provided,
however, that a person or corporation making a contribution or contrib-
utions to a candidate or a political committee which has filed pursuant
to section 14-118 shall not, by that fact alone, be deemed to be a poli-
tical committee as herein defined.
12. "CANDIDATE FOR LOCAL PUBLIC OFFICE" MEANS A CANDIDATE FOR ANY
PUBLIC OFFICE OTHER THAN: (A) A PUBLIC OFFICE TO BE VOTED ON BY THE
VOTERS OF THE ENTIRE STATE; (B) STATE SENATOR; OR (C) MEMBER OF THE
ASSEMBLY.
13. "CANDIDATE FOR STATE PUBLIC OFFICE" MEANS A CANDIDATE FOR: (A) A
PUBLIC OFFICE TO BE VOTED ON BY THE VOTERS OF THE ENTIRE STATE; (B)
STATE SENATOR; OR (C) MEMBER OF THE ASSEMBLY.
14. "LABOR ORGANIZATION" MEANS ANY ORGANIZATION OF ANY KIND WHICH
EXISTS FOR THE PURPOSE, IN WHOLE OR IN PART, OF REPRESENTING EMPLOYEES
EMPLOYED WITHIN THE STATE OF NEW YORK IN DEALING WITH EMPLOYERS OR
EMPLOYER ORGANIZATIONS OR WITH A STATE GOVERNMENT, OR ANY POLITICAL OR
CIVIL SUBDIVISION OR OTHER AGENCY THEREOF, CONCERNING TERMS AND CONDI-
TIONS OF EMPLOYMENT, GRIEVANCES, LABOR DISPUTES, OR OTHER MATTERS INCI-
DENTAL TO THE EMPLOYMENT RELATIONSHIP. FOR THE PURPOSES OF THIS ARTICLE,
EACH PARENT NATIONAL OR INTERNATIONAL ORGANIZATION OF A STATEWIDE LABOR
ORGANIZATION, AND EACH STATEWIDE FEDERATION RECEIVING DUES FROM SUBSID-
IARY LABOR ORGANIZATIONS, SHALL BE CONSIDERED A SEPARATE LABOR ORGANIZA-
TION.
15. "BUSINESS DEALINGS WITH THE STATE" MEANS ANY CONTRACT, AS SUCH
TERM IS DEFINED IN SUBDIVISION SIXTEEN OF THIS SECTION, WHICH IS FOR THE
PROCUREMENT OF GOODS, SERVICES OR CONSTRUCTION THAT IS ENTERED INTO OR
IN EFFECT WITH THE STATE OR ANY AGENCY OR ENTITY OF THE STATE; OR (A)
ANY ACQUISITION OR DISPOSITION OF REAL PROPERTY WITH THE STATE OR ANY
A. 7488 8
AGENCY OR ENTITY OF THE STATE; OR (B) ANY CONCESSION OR ANY FRANCHISE
FROM THE STATE OR ANY AGENCY OR ENTITY OF THE STATE
16. "CONTRACT" MEANS ANY AGREEMENT BETWEEN AN AGENCY, THE STATE OR
AGENCY OR ENTITY OF THE STATE OR ELECTED OFFICIAL AND A CONTRACTOR, OR
ANY AGREEMENT BETWEEN SUCH A CONTRACTOR AND A SUBCONTRACTOR, WHICH (A)
IS FOR THE PROVISION OF GOODS, SERVICES OR CONSTRUCTION AND HAS A VALUE
THAT WHEN AGGREGATED WITH THE VALUES OF ALL OTHER SUCH AGREEMENTS WITH
THE SAME CONTRACTOR OR SUBCONTRACTOR AND ANY FRANCHISES OR CONCESSIONS
AWARDED TO SUCH CONTRACTOR OR SUBCONTRACTOR DURING THE IMMEDIATELY
PRECEDING TWELVE-MONTH PERIOD IS VALUED AT ONE HUNDRED THOUSAND DOLLARS
OR MORE; OR (B) IS FOR THE PROVISION OF GOODS, SERVICES OR CONSTRUCTION,
IS AWARDED TO A SOLE SOURCE AND IS VALUED AT TEN THOUSAND DOLLARS OR
MORE; OR (C) IS A CONCESSION AND HAS A VALUE THAT WHEN AGGREGATED WITH
THE VALUE OF ALL OTHER CONTRACTS HELD BY THE SAME CONCESSIONAIRE IS
VALUED AT ONE HUNDRED THOUSAND DOLLARS OR MORE; OR (D) IS A FRANCHISE.
17. "DOING BUSINESS DATABASE" MEANS A COMPUTERIZED DATABASE ACCESSIBLE
TO THE BOARD THAT CONTAINS THE NAMES OF PERSONS WHO HAVE BUSINESS DEAL-
INGS WITH THE STATE. SUCH DATABASE SHALL BE DEVELOPED, MAINTAINED AND
UPDATED BY THE BOARD OF ELECTIONS IN A MANNER SO AS TO ENSURE ITS
REASONABLE ACCURACY AND COMPLETENESS; PROVIDED, HOWEVER, THAT IN NO
EVENT SHALL SUCH DATABASE BE UPDATED LESS FREQUENTLY THAN ONCE A MONTH.
SUCH COMPUTERIZED DATABASE SHALL CONTAIN A FUNCTION TO ENABLE MEMBERS OF
THE PUBLIC TO DETERMINE IF A GIVEN PERSON IS IN THE DATABASE BECAUSE
SUCH PERSON HAS BUSINESS DEALINGS WITH THE STATE. FOR PURPOSES OF THIS
SUBDIVISION, THE TERM "PERSON" SHALL INCLUDE AN ENTITY THAT HAS BUSINESS
DEALINGS WITH THE STATE, ANY CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL
OFFICER AND/OR CHIEF OPERATING OFFICER OF SUCH ENTITY OR PERSONS SERVING
IN AN EQUIVALENT CAPACITY, ANY PERSON EMPLOYED IN A SENIOR MANAGERIAL
CAPACITY REGARDING SUCH ENTITY, OR ANY PERSON WITH AN INTEREST IN SUCH
ENTITY WHICH EXCEEDS TEN PERCENT OF THE ENTITY. FOR PURPOSES OF THIS
SUBDIVISION, THE TERM "SENIOR MANAGERIAL CAPACITY" SHALL MEAN A HIGH
LEVEL SUPERVISORY CAPACITY, EITHER BY VIRTUE OF TITLE OR DUTIES, IN
WHICH SUBSTANTIAL DISCRETION AND OVERSIGHT IS EXERCISED OVER THE SOLIC-
ITATION, LETTING OR ADMINISTRATION OF BUSINESS TRANSACTIONS WITH THE
STATE, INCLUDING CONTRACTS, FRANCHISES, CONCESSIONS, GRANTS, ECONOMIC
DEVELOPMENT AGREEMENTS AND APPLICATIONS FOR LAND USE APPROVALS.
S 9. Subdivisions 1, 3 and 4 of section 14-102 of the election law,
subdivisions 1 and 3 as amended by chapter 8 of the laws of 1978, subdi-
vision 1 as redesignated by chapter 9 of the laws of 1978, subdivision 3
as renumbered by chapter 70 of the laws of 1983 and subdivision 4 as
amended by chapter 406 of the laws of 2005, are amended to read as
follows:
1. The treasurer of every political committee which, or any officer,
member or agent of any such committee who, in connection with any
election, receives or expends any money or other [valuable thing] ITEM
OF VALUE or incurs any liability to pay money or its equivalent shall
file statements sworn, or subscribed and bearing a form notice that
false statements made therein are punishable as a class A misdemeanor
pursuant to section 210.45 of the penal law, at the times prescribed by
this article setting forth all the receipts, contributions to and the
expenditures by and liabilities of the committee, and of its officers,
members and agents in its behalf. Such statements shall include the
dollar amount of any receipt, contribution or transfer, or the fair
market value of any receipt, contribution or transfer, which is other
than of money, the name [and], address AND OCCUPATION of the transferor,
contributor or person from whom received, OTHER THAN IN THE REGULAR
A. 7488 9
COURSE OF A LENDER'S BUSINESS, THE NAME AND ADDRESS OF SUCH PERSON'S
EMPLOYER, AND BUSINESS ADDRESS OF EACH INDIVIDUAL, POLITICAL COMMITTEE
OR OTHER ENTITY MAKING SUCH CONTRIBUTION, OR ANY LOAN, GUARANTEE, OR
OTHER SECURITY FOR SUCH A LOAN and if the transferor, contributor or
person is a political committee; the name of and the political unit
represented by the committee, the date of its receipt, the dollar amount
of every expenditure, the name and address of the person to whom it was
made or the name of and the political unit represented by the committee
to which it was made and the date thereof, and shall state clearly the
purpose of such expenditure. IF ANY ONE EXPENDITURE IS MADE FOR MORE
THAN ONE PURPOSE, OR AS PAYMENT FOR GOODS OR SERVICES SUPPLIED BY MORE
THAN ONE SUPPLIER, SUCH STATEMENT SHALL SET FORTH SEPARATELY EACH SUCH
PURPOSE OR SUPPLIER AND THE AMOUNT EXPENDED FOR EACH SUCH PURPOSE OR TO
EACH SUCH SUPPLIER. Any statement reporting a loan shall have attached
to it a copy of the evidence of indebtedness. Expenditures in sums
under fifty dollars need not be specifically accounted for by separate
items in said statements, and receipts and contributions aggregating not
more than ninety-nine dollars, from any one contributor need not be
specifically accounted for by separate items in said statements,
provided however, that such expenditures, receipts and contributions
shall be subject to the other provisions of section 14-118 of this arti-
cle.
3. The state board of elections shall promulgate regulations with
respect to the accounting methods to be applied IN COMPLYING WITH, AND
in preparing the statements required by, the provisions of this article
and shall provide forms suitable for such statements. SUCH REGULATIONS
SHALL BE DRAWN TO ASSURE SUCH COMPLIANCE AND OBTAIN THE MAXIMUM POSSIBLE
DISCLOSURE.
4. Any committee which is required to file statements with [any] THE
STATE board of elections pursuant to this article and which raises or
spends or expects to raise or spend more than one thousand dollars in
any calendar year shall file all such statements pursuant to the elec-
tronic reporting system prescribed by the state board of elections as
set forth in subdivision nine-A of section 3-102 of this chapter.
Notwithstanding the provisions of this subdivision, upon the filing of a
sworn statement by the treasurer of a political committee which states
that such political committee does not have access to the technology
necessary to comply with the electronic filing requirements of subdivi-
sion nine-A of section 3-102 of this chapter and that filing by such
means would constitute a substantial hardship for such political commit-
tee, the state board of elections may issue an exemption from the elec-
tronic filing requirements of this article.
S 10. Subdivision 5 of section 14-102 of the election law is REPEALED.
S 11. Subdivisions 1 and 2 of section 14-104 of the election law,
subdivision 1 as amended by chapter 430 of the laws of 1997 and subdivi-
sion 2 as amended by chapter 406 of the laws of 2005, are amended to
read as follows:
1. Any candidate for election to public office, or for nomination for
public office at a contested primary election or convention, or for
election to a party position at a primary election, shall file state-
ments sworn, or subscribed and bearing a form notice that false state-
ments made therein are punishable as a class A misdemeanor pursuant to
section 210.45 of the penal law, at the times prescribed by this article
setting forth the particulars specified by section 14-102 of this arti-
cle, as to all moneys or other valuable things, paid, given, expended or
promised by him OR HER to aid his OR HER own nomination or election, or
A. 7488 10
to promote the success or defeat of a political party, or to aid or
influence the nomination or election or the defeat of any other candi-
date to be voted for at the election or primary election or at a conven-
tion, including contributions to political committees, officers, members
or agents thereof, and transfers, receipts and contributions to him OR
HER to be used for any of the purposes above specified, or in lieu ther-
eof, any such candidate may file such a sworn statement at the first
filing period, on a form prescribed by the state board of elections that
such candidate has made no such expenditures and does not intend to make
any such expenditures, except through a political committee authorized
by such candidate pursuant to this article. A committee authorized by
such a candidate may fulfill all of the filing requirements of this
[act] ARTICLE on behalf of such candidate.
2. Statements filed by any political committee authorized by a candi-
date pursuant to this article which is required to file such statements
with [any] THE STATE board of elections and which raises or spends or
expects to raise or spend more than one thousand dollars in any calendar
year shall file all such statements pursuant to the electronic reporting
system prescribed by the state board of elections as set forth in subdi-
vision nine-A of section 3-102 of this chapter. Notwithstanding the
provisions of this subdivision, upon the filing of a sworn statement by
the treasurer of a political committee authorized by a candidate pursu-
ant to this article which states that such committee does not have
access to the technology necessary to comply with the electronic filing
requirements of subdivision nine-A of section 3-102 of this chapter and
that filing by such means would constitute a substantial hardship for
such committee, the state board of elections may issue an exemption from
the electronic filing requirements of this article.
S 12. Subdivision 3 of section 14-104 of the election law is REPEALED.
S 13. Section 14-106 of the election law, as amended by chapter 8 of
the laws of 1978, is amended to read as follows:
S 14-106. Political [advertisements and literature] COMMUNICATION;
FILING AND IDENTIFICATION. 1. The statements required to be filed under
the provisions of this article next succeeding a primary, general or
special election shall be accompanied by a facsimile or copy of all
advertisements, pamphlets, circulars, flyers, brochures, letterheads and
other printed matter purchased or produced [and], a schedule of all
radio or television time, and scripts used therein, SCRIPTS OF TELEPHON-
IC CALLS, AND REPRODUCTIONS OF STATEMENTS OR INFORMATION CONVEYED BY
COMPUTER OR OTHER ELECTRONIC DEVICE TO FIVE HUNDRED OR MORE RECIPIENTS
purchased in connection with such election by or under the authority of
the person filing the statement or the committee or the person on whose
behalf it is filed, as the case may be. Such facsimiles, copies, sched-
ules and scripts shall be preserved by the officer with whom or the
board with which it is required to be filed for a period of one year
from the date of filing thereof.
2. WHENEVER ANY PERSON MAKES AN EXPENDITURE THAT COSTS MORE THAN ONE
THOUSAND DOLLARS IN AGGREGATE FOR THE PURPOSE OF FINANCING, OR OTHERWISE
PUBLISHES OR DISTRIBUTES, COMMUNICATIONS EXPRESSLY ADVOCATING THE
ELECTION OR DEFEAT OF A CLEARLY IDENTIFIED CANDIDATE OR THE APPROVAL OR
DISAPPROVAL OF A BALLOT PROPOSAL, SUCH COMMUNICATION:
(A) IF PAID FOR AND AUTHORIZED BY A CANDIDATE, AN AUTHORIZED POLITICAL
COMMITTEE OF A CANDIDATE, OR ITS AGENTS, SHALL CLEARLY STATE THAT THE
COMMUNICATION HAS BEEN PAID FOR BY SUCH CANDIDATE, AUTHORIZED POLITICAL
COMMITTEE, OR AGENT; OR
A. 7488 11
(B) IF PAID FOR BY OTHER PERSONS BUT AUTHORIZED BY A CANDIDATE, AN
AUTHORIZED POLITICAL COMMITTEE OF A CANDIDATE, OR ITS AGENTS, SHALL
CLEARLY STATE THAT THE COMMUNICATION IS PAID FOR BY SUCH OTHER PERSONS
AND AUTHORIZED BY SUCH CANDIDATE, AUTHORIZED POLITICAL COMMITTEE, OR
AGENT.
(C) FOR PURPOSES OF THIS SUBDIVISION, THE TERM "PERSON" INCLUDES AN
INDIVIDUAL OR ANY OTHER ORGANIZATION OR GROUP OF PERSONS.
3. WHENEVER ANY POLITICAL COMMITTEE MAKES AN EXPENDITURE THAT COSTS
MORE THAN ONE THOUSAND DOLLARS IN AGGREGATE FOR THE PURPOSE OF FINANC-
ING, OR OTHERWISE PUBLISHES OR DISTRIBUTES, COMMUNICATIONS EXPRESSLY
ADVOCATING, THE ELECTION OR DEFEAT OF A CLEARLY IDENTIFIED CANDIDATE OR
THE APPROVAL OR DISAPPROVAL OF A BALLOT PROPOSAL AND SUCH COMMUNICATION
IS NOT AUTHORIZED BY A CANDIDATE, AN AUTHORIZED POLITICAL COMMITTEE OF A
CANDIDATE, OR ITS AGENTS, SUCH COMMUNICATION SHALL CLEARLY STATE THE
NAME OF THE POLITICAL COMMITTEE WHO PAID FOR, OR OTHERWISE PUBLISHED OR
DISTRIBUTED, THE COMMUNICATION AND STATE, WITH RESPECT TO COMMUNICATIONS
REGARDING CANDIDATES, THAT THE COMMUNICATION IS NOT AUTHORIZED BY ANY
CANDIDATE OR CANDIDATE'S COMMITTEE.
4. FOR PURPOSES OF THIS SECTION, THE FOLLOWING TERMS SHALL HAVE THE
FOLLOWING MEANINGS:
(A) THE TERM "CLEARLY IDENTIFIED" MEANS THAT:
(I) THE NAME OF THE CANDIDATE INVOLVED APPEARS;
(II) A PHOTOGRAPH OR DRAWING OF THE CANDIDATE APPEARS; OR
(III) THE IDENTITY OF THE CANDIDATE IS APPARENT BY UNAMBIGUOUS REFER-
ENCE.
(B) THE TERM "COMMUNICATION" INCLUDES ANY ADVERTISEMENTS, PAMPHLETS,
CIRCULARS, FLYERS, BROCHURES, LETTERHEADS OR OTHER PRINTED MATTER, RADIO
OR TELEVISION BROADCASTS, TELEPHONIC CALLS AND STATEMENTS OR INFORMATION
CONVEYED BY COMPUTER OR OTHER ELECTRONIC DEVICES TO FIVE HUNDRED OR MORE
RECIPIENTS.
5. A KNOWING AND WILLFUL VIOLATION OF THE PROVISIONS OF THIS SECTION
SHALL CONSTITUTE A CLASS A MISDEMEANOR.
S 13-a. The election law is amended by adding a new section 14-107 to
read as follows:
S 14-107. INDEPENDENT EXPENDITURE REPORTING. 1. FOR PURPOSES OF THIS
ARTICLE:
A. "INDEPENDENT EXPENDITURE" MEANS AN EXPENDITURE BY A PERSON OR ENTI-
TY WHICH: (I) EXPRESSLY ADVOCATES THE ELECTION OR DEFEAT OF A CLEARLY
IDENTIFIED CANDIDATE, AND (II) THAT IS NOT MADE IN CONCERT OR COOPER-
ATION WITH OR AT THE REQUEST OR SUGGESTION OF SUCH CANDIDATE, THE CANDI-
DATE'S COMMITTEE OR THEIR AGENTS, OR A POLITICAL PARTY COMMITTEE OR ITS
AGENTS.
B. "ELECTIONEERING COMMUNICATION" MEANS ANY BROADCAST, CABLE OR SATEL-
LITE COMMUNICATION WHICH REFERS TO A CLEARLY IDENTIFIED CANDIDATE FOR
STATE OR LOCAL OFFICE MADE WITHIN SIXTY DAYS BEFORE A GENERAL ELECTION
OR THIRTY DAYS BEFORE A PRIMARY OR SPECIAL ELECTION WHICH PROMOTES OR
SUPPORTS A CANDIDATE FOR AN OFFICE OR ATTACKS OR OPPOSES A CANDIDATE FOR
THAT OFFICE (REGARDLESS OF WHETHER THE COMMUNICATION EXPRESSLY ADVOCATES
A VOTE FOR OR AGAINST A CANDIDATE) AND WHICH IS SUGGESTIVE OF NO PLAUSI-
BLE MEANING OTHER THAN AN EXHORTATION TO VOTE FOR OR AGAINST A SPECIFIC
CANDIDATE. AN "ELECTIONEERING COMMUNICATION" DOES NOT INCLUDE:
(I) A COMMUNICATION APPEARING IN A NEWS STORY, COMMENTARY, OR EDITORI-
AL DISTRIBUTED THROUGH THE FACILITIES OF ANY BROADCASTING STATION,
UNLESS SUCH FACILITIES ARE OWNED OR CONTROLLED BY ANY POLITICAL PARTY,
POLITICAL COMMITTEE OR CANDIDATE;
A. 7488 12
(II) A COMMUNICATION THAT CONSTITUTES AN EXPENDITURE MADE BY AN ENTITY
REQUIRED TO REPORT SUCH EXPENDITURE WITH THE STATE BOARD OF ELECTIONS;
(III) A COMMUNICATION THAT CONSTITUTES A CANDIDATE DEBATE OR FORUM;
(IV) ANY OTHER COMMUNICATION WHICH HAS NO ELECTIONEERING PURPOSE OF
EFFECT EXEMPTED UNDER REGULATIONS PROMULGATED BY THE STATE BOARD OF
ELECTIONS; AND
(IV) A COMMUNICATION THAT DOES NOT REACH FIFTY THOUSAND PERSONS OR
POTENTIALLY REACH FIFTEEN PERCENT OF THE HOUSEHOLDS IN THE JURISDICTION
IN WHICH THE CANDIDATE IS SEEKING AN OFFICE OR IN WHICH THERE IS A
BALLOT PROPOSAL, WHICHEVER IS LESS.
2. ANY PERSON OR ENTITY WHICH MAKES INDEPENDENT EXPENDITURES OR ELEC-
TIONEERING COMMUNICATIONS THAT COST MORE THAN ONE THOUSAND DOLLARS IN
AGGREGATE, SHALL REPORT SUCH INDEPENDENT EXPENDITURES AND ELECTIONEERING
COMMUNICATIONS AND THE EXPENDITURES THEREFOR TO THE STATE BOARD OF
ELECTIONS ON STATEMENTS AS PROVIDED FOR IN SECTION 14-108 OF THIS ARTI-
CLE. ANY INDEPENDENT EXPENDITURE OR ELECTIONEERING COMMUNICATION MADE
AFTER THE CLOSE OF THE PERIOD TO BE COVERED IN THE LAST STATEMENT FILED
BEFORE ANY PRIMARY, GENERAL OR SPECIAL ELECTION BUT BEFORE SUCH
ELECTION, SHALL BE REPORTED WITHIN TWENTY-FOUR HOURS AFTER BEING
CONDUCTED.
3. EACH SUCH STATEMENT SHALL INCLUDE THE DOLLAR AMOUNT OF EACH GIFT,
SUBSCRIPTION, OUTSTANDING LOAN, ADVANCE, OR DEPOSIT OF MONEY OR ANY
THING OF VALUE, INCLUDING SERVICES, RELATED TO INDEPENDENT EXPENDITURES
OR ELECTIONEERING COMMUNICATIONS, AS WELL AS THE NAME AND ADDRESS OF THE
PERSON OR ENTITY PROVIDING SUCH AND THE DATE OF SAME.
4. EACH SUCH STATEMENT SHALL INCLUDE THE DOLLAR AMOUNT OF EACH EXPEND-
ITURE RELATED TO INDEPENDENT EXPENDITURES OR ELECTIONEERING COMMUNI-
CATIONS, AS WELL AS THE NAME AND ADDRESS OF THE PERSON OR ENTITY TO
WHICH SUCH EXPENDITURE IS MADE, THE DATE OF THE EXPENDITURE AND THE
PURPOSE OF SUCH EXPENDITURE.
5. ANY STATEMENT REPORTING A LOAN SHALL CONTAIN THE SAME INFORMATION
AS IF IT WERE AN EXPENDITURE, RECEIPT OR THING OF VALUE. IT SHALL ALSO
PROVIDE EVIDENCE OF THE INDEBTEDNESS.
6. NOTWITHSTANDING SECTION 14-106 OF THIS ARTICLE, EVERY SUCH STATE-
MENT REPORTED PURSUANT TO SUBDIVISION TWO OF THIS SECTION SHALL BE
ACCOMPANIED BY A FACSIMILE OR COPY OF ALL MATERIALS RELATED TO THE INDE-
PENDENT EXPENDITURE OR ELECTIONEERING COMMUNICATIONS TO BE REPORTED,
INCLUDING, BUT NOT LIMITED TO, ADVERTISEMENTS, PAMPHLETS, CIRCULARS,
FLYERS, BROCHURES OR ANY OTHER PRINTED MATERIAL PURCHASED OR PRODUCED, A
SCHEDULE OF ALL RADIO OR TELEVISION TIME, SCRIPTS USED THEREIN, AND A
TRUE AND AUTHENTIC COPY OF THE ELECTIONEERING COMMUNICATION AIRED,
BROADCAST OR OTHERWISE DISSEMINATED. EACH POST-ELECTION STATEMENT FILED
PURSUANT TO SUBDIVISION TWO OF THIS SECTION SHALL CONTAIN ALL SUCH MATE-
RIALS LISTED IN THIS SUBDIVISION FOR THE ELECTION TO WHICH IT PERTAINS.
7. SUCH STATEMENTS SHALL ALSO CONTAIN THE FOLLOWING INFORMATION:
A. THE ELECTIONS TO WHICH THE INDEPENDENT EXPENDITURE OR ELECTIONEER-
ING COMMUNICATIONS PERTAIN AND THE NAMES (IF KNOWN) OF THE CANDIDATES OR
POLITICAL PARTY IDENTIFIED OR TO BE IDENTIFIED;
B. IF THE DISBURSEMENTS WERE PAID OUT OF A SEGREGATED BANK ACCOUNT
WHICH CONSISTS OF FUNDS CONTRIBUTED DIRECTLY TO THIS ACCOUNT FOR INDE-
PENDENT EXPENDITURE OR ELECTIONEERING COMMUNICATIONS, THE NAMES AND
ADDRESSES OF ALL CONTRIBUTORS WHO CONTRIBUTED AN AGGREGATE AMOUNT OF ONE
HUNDRED DOLLARS OR MORE TO THAT ACCOUNT DURING THE PERIOD BEGINNING ON
THE FIRST DAY OF THE PRECEDING CALENDAR YEAR AND ENDING ON THE DISCLO-
SURE DATE; AND
A. 7488 13
C. IF THE DISBURSEMENTS WERE PAID OUT OF FUNDS NOT DESCRIBED IN PARA-
GRAPH B OF THIS SUBDIVISION, THE NAMES AND ADDRESSES OF ALL CONTRIBUTORS
WHO CONTRIBUTED AN AGGREGATE AMOUNT OF ONE HUNDRED DOLLARS OR MORE TO
THE PERSON MAKING THE DISBURSEMENT DURING THE PERIOD BEGINNING ON THE
FIRST DAY OF THE PRECEDING CALENDAR YEAR AND ENDING ON THE DISCLOSURE
DATE.
8. FOR PURPOSES OF THIS SECTION, AN EXPENDITURE SHALL BE TREATED AS
HAVING BEEN MADE UPON THE EXECUTION OF A CONTRACT TO MAKE THE EXPENDI-
TURE.
9. EVERY STATEMENT REQUIRED TO BE FILED PURSUANT TO THIS SECTION SHALL
BE FILED BY ELECTRONIC REPORTING PROCESS TO THE STATE BOARD OF
ELECTIONS.
10. THE STATE BOARD OF ELECTIONS SHALL PROMULGATE REGULATIONS WITH
RESPECT TO THE STATEMENTS REQUIRED TO BE FILED BY THIS SECTION AND SHALL
PROVIDE FORMS SUITABLE FOR SUCH STATEMENTS.
S 14. Subdivision 1 of section 14-108 of the election law, as amended
by chapter 955 of the laws of 1983, is amended to read as follows:
1. The statements required by this article shall be filed at such
times as the state board of elections, by rule or regulation, shall
specify; provided, however, that in no event shall the board provide for
fewer than three filings in the aggregate in connection with any prima-
ry, general or special election, or in connection with a question to be
voted on and two of said filings shall be before any such election,
including one such filing not less than thirty days nor more than
forty-five days prior to such election and one such filing not less than
eleven days nor more than fifteen days prior to such election. In addi-
tion, the board shall provide that every political committee which has
filed a statement of treasurer and depository shall make [at least] one
filing [every six months between the time such statement of treasurer
and depository is filed and the time such committee goes out of busi-
ness] ON JANUARY THIRTY-FIRST, ONE FILING ON APRIL THIRTIETH AND ONE
FILING ON JULY THIRTY-FIRST OF EACH YEAR. If any candidate or committee
shall be required by the provisions of this section, or by rule or regu-
lation hereunder, to effect two filings within a period of five days,
the state board of elections may, by rule or regulation, waive the
requirement of filing the earlier of such statements. If a statement
filed by a candidate or committee after the election to which it
pertains is not a final statement showing satisfaction of all liabil-
ities and disposition of all assets, such candidate or committee shall
file such additional statements as the board shall, by rule or regu-
lation provide until such a final statement is filed.
S 15. Subdivision 6 of section 14-108 of the election law, as amended
by chapter 323 of the laws of 1977 and as redesignated by chapter 9 of
the laws of 1978, is amended and a new subdivision 8 is added to read as
follows:
6. [A] ALL STATEMENTS REQUIRED TO BE FILED DURING THE PERIOD OF
FIFTEEN DAYS BEFORE ANY ELECTION SHALL BE FILED ELECTRONICALLY;
PROVIDED, HOWEVER ANY CANDIDATE OR COMMITTEE THAT HAS BEEN GRANTED AN
EXEMPTION FROM ELECTRONIC FILING BY THE STATE BOARD OF ELECTIONS SHALL
FILE SUCH STATEMENTS BY GUARANTEED OVERNIGHT DELIVERY THROUGH THE UNITED
STATES POSTAL SERVICE, OR SOME OTHER OVERNIGHT DELIVERY SERVICE. SUCH A
statement SENT BY GUARANTEED OVERNIGHT DELIVERY shall be deemed properly
filed when deposited [in an established post-office within the
prescribed time, duly stamped, certified and directed to the officer
with whom or to the board with which the statement is required to be
filed] WITH THE UNITED STATES POSTAL SERVICE OR OTHER OVERNIGHT DELIVERY
A. 7488 14
SERVICE, but in the event it is not received, a duplicate of such state-
ment shall be promptly filed upon notice by [such officer or such] THE
STATE board of its non-receipt.
8. IN THE CASE OF AN UNEXPECTED EXTREME HARDSHIP NOT IN THE CONTROL OF
A PERSON REQUIRED TO FILE STATEMENTS REQUIRED BY THIS ARTICLE, SUCH
PERSON MAY SUBMIT A WRITTEN REQUEST FOR A WAIVER OF THE STATUTORY DEAD-
LINE FOR SUCH FILING FROM THE STATE BOARD OF ELECTIONS PRIOR TO SUCH
DEADLINE. ANY WAIVER GRANTED PURSUANT TO THIS SUBDIVISION SHALL BE
LIMITED TO NO MORE THAN TEN DAYS.
S 16. Section 14-110 of the election law is REPEALED and a new section
14-110 is added to read as follows:
S 14-110. PLACE FOR FILING STATEMENTS. ALL STATEMENTS REQUIRED BY THIS
ARTICLE SHALL BE FILED WITH THE STATE BOARD OF ELECTIONS.
S 17. Section 14-112 of the election law, as amended by chapter 930 of
the laws of 1981, is amended to read as follows:
S 14-112. [Political] AUTHORIZED COMMITTEE; POLITICAL committee
authorization statement. 1. Any political committee aiding or taking
part in the election or nomination of any candidate, other than by
making contributions, shall file, [in the office in which the statements
of such committee are to be filed pursuant to this article] WITH THE
STATE BOARD OF ELECTIONS, either a sworn verified statement by the trea-
surer of such committee AND THE CANDIDATE that [the] SUCH candidate has
authorized the political committee to aid or take part in his OR HER
election or A SWORN VERIFIED STATEMENT BY THE TREASURER OF SUCH COMMIT-
TEE that the candidate has not authorized the committee to aid or take
part in his OR HER election.
2. NO CANDIDATE MAY AUTHORIZE MORE THAN TWO POLITICAL COMMITTEES FOR
ANY ONE PUBLIC OFFICE OR PARTY POSITION IN A PARTICULAR ELECTION. ANY
CANDIDATE WHO, ON DECEMBER FIRST, TWO THOUSAND NINE, HAS AUTHORIZED MORE
THAN TWO POLITICAL COMMITTEES FOR ANY ONE PUBLIC OFFICE OR PARTY POSI-
TION IN A PARTICULAR ELECTION SHALL, NOT LATER THAN THIRTY DAYS AFTER
SAID DATE, CLOSE ALL BUT TWO OF SUCH COMMITTEES AND TRANSFER EXISTING
FUNDS TO SUCH CANDIDATE'S REMAINING COMMITTEE OR COMMITTEES FOR THE SAME
PUBLIC OFFICE OR PARTY POSITION IN A PARTICULAR ELECTION. THIS SUBDIVI-
SION SHALL NOT APPLY TO THE AUTHORIZATION OF AN EXPLORATORY COMMITTEE BY
AN ELECTED PUBLIC OFFICIAL. A MULTI-CANDIDATE COMMITTEE MAY NOT BE AN
AUTHORIZED COMMITTEE.
3. NO INDIVIDUAL OR ENTITY, INCLUDING BUT NOT LIMITED TO, A CORPO-
RATION, LIMITED LIABILITY COMPANY, PROFESSIONAL LIMITED LIABILITY COMPA-
NY, PARTNERSHIP OR LABOR ORGANIZATION, MAY AUTHORIZE OR DESIGNATE MORE
THAN ONE POLITICAL ACTION COMMITTEE. ANY INDIVIDUAL OR ENTITY, INCLUD-
ING BUT NOT LIMITED TO, A CORPORATION, LIMITED LIABILITY COMPANY,
PROFESSIONAL LIMITED LIABILITY COMPANY, PARTNERSHIP OR LABOR ORGANIZA-
TION, THAT, ON DECEMBER FIRST, TWO THOUSAND NINE, HAS AUTHORIZED OR
DESIGNATED MORE THAN ONE POLITICAL ACTION COMMITTEE SHALL, NOT LATER
THAN THIRTY DAYS AFTER SAID DATE, CLOSE ALL BUT ONE POLITICAL ACTION
COMMITTEE AND TRANSFER EXISTING FUNDS TO THE REMAINING COMMITTEE. NO
INDIVIDUAL MAY SERVE AS THE TREASURER OF, OR BE AUTHORIZED TO EXPEND
FUNDS ON BEHALF OF, MORE THAN ONE POLITICAL ACTION COMMITTEE.
S 18. Subdivision 1 of section 14-114 of the election law, as amended
by chapter 79 of the laws of 1992, paragraphs a and b as amended by
chapter 659 of the laws of 1994, is amended to read as follows:
1. The following limitations apply to all contributions to candidates
for election to any public office or for nomination for any such office,
INCLUDING AN UNOPPOSED NOMINATION, or for election to any party posi-
tions, and to all contributions to political committees working directly
A. 7488 15
or indirectly with any candidate to aid or participate in such candi-
date's nomination or election[, other than any contributions to any
party committee or constituted committee]:
a. In any election for (I) a public office to be voted on by the
voters of the entire state, (II) A STATE SENATOR, OR (III) A MEMBER OF
THE ASSEMBLY, or for nomination to any such office, INCLUDING AN UNOP-
POSED NOMINATION, no contributor may make a contribution to any candi-
date or political committee, and no candidate or political committee may
accept any contribution from any contributor, which is in the aggregate
amount greater than[: (i) in the case of any nomination to public
office, the product of the total number of enrolled voters in the candi-
date's party in the state, excluding voters in inactive status, multi-
plied by $.005, but such amount shall be not less than four thousand
dollars nor more than twelve thousand dollars as increased or decreased
by the cost of living adjustment described in paragraph c of this subdi-
vision, and (ii) in the case of any election to a public office, twen-
ty-five thousand dollars as increased or decreased by the cost of living
adjustment described in paragraph c of this subdivision; provided howev-
er, that the maximum amount which may be so contributed or accepted, in
the aggregate, from any candidate's child, parent, grandparent, brother
and sister, and the spouse of any such persons, shall not exceed in the
case of any nomination to public office an amount equivalent to the
product of the number of enrolled voters in the candidate's party in the
state, excluding voters in inactive status, multiplied by $.025, and in
the case of any election for a public office, an amount equivalent to
the product of the number of registered voters in the state excluding
voters in inactive status, multiplied by $.025.] (1) SEVEN THOUSAND FIVE
HUNDRED DOLLARS FOR A PUBLIC OFFICE TO BE VOTED ON BY VOTERS OF THE
ENTIRE STATE; (2) FIVE THOUSAND DOLLARS FOR A STATE SENATOR; AND (3) TWO
THOUSAND THREE HUNDRED DOLLARS FOR A MEMBER OF THE ASSEMBLY. THE AGGRE-
GATE LIMITATION SET FORTH IN THIS PARAGRAPH, WHICH SHALL APPLY SEPARATE-
LY FOR EACH ELECTION OR NOMINATION FOR EACH PUBLIC OFFICE LISTED IN THIS
SECTION SHALL BE INCREASED OR DECREASED BY THE COST OF LIVING ADJUSTMENT
DESCRIBED IN PARAGRAPH C OF THIS SUBDIVISION.
b. [In] EXCEPT FOR ELECTIONS CONDUCTED PURSUANT TO CHAPTER SEVEN OF
TITLE THREE OF THE ADMINISTRATIVE CODE OF THE CITY OF NEW YORK, IN any
other election for party position or for election to a public office or
for nomination for any such office, no contributor may make a contrib-
ution to any candidate or political committee and no candidate or poli-
tical committee may accept any contribution from any contributor, which
is in the aggregate amount greater than: (i) in the case of any election
for party position, or for nomination to public office, the product of
the total number of enrolled voters in the candidate's party in the
district in which he is a candidate, excluding voters in inactive
status, multiplied by $.05, and (ii) in the case of any election for a
public office, the product of the total number of registered voters in
the district, excluding voters in inactive status, multiplied by $.05,
PROVIDED however [in the case of a nomination within the city of New
York for the office of mayor, public advocate or comptroller, such
amount shall be not less than four thousand dollars nor more than twelve
thousand dollars as increased or decreased by the cost of living adjust-
ment described in paragraph c of this subdivision; in the case of an
election within the city of New York for the office of mayor, public
advocate or comptroller, twenty-five thousand dollars as increased or
decreased by the cost of living adjustment described in paragraph c of
this subdivision; in the case of a nomination for state senator, four
A. 7488 16
thousand dollars as increased or decreased by the cost of living adjust-
ment described in paragraph c of this subdivision; in the case of an
election for state senator, six thousand two hundred fifty dollars as
increased or decreased by the cost of living adjustment described in
paragraph c of this subdivision; in the case of an election or nomi-
nation for a member of the assembly, twenty-five hundred dollars as
increased or decreased by the cost of living adjustment described in
paragraph c of this subdivision; but], in no event shall any such maxi-
mum exceed [fifty] TWO thousand THREE HUNDRED dollars or be less than
one thousand dollars[; provided however, that the maximum amount which
may be so contributed or accepted, in the aggregate, from any candi-
date's child, parent, grandparent, brother and sister, and the spouse of
any such persons, shall not exceed in the case of any election for party
position or nomination for public office an amount equivalent to the
number of enrolled voters in the candidate's party in the district in
which he is a candidate, excluding voters in inactive status, multiplied
by $.25 and in the case of any election to public office, an amount
equivalent to the number of registered voters in the district, excluding
voters in inactive status, multiplied by $.25; or twelve hundred fifty
dollars, whichever is greater, or in the case of a nomination or
election of a state senator, twenty thousand dollars, whichever is
greater, or in the case of a nomination or election of a member of the
assembly twelve thousand five hundred dollars, whichever is greater, but
in no event shall any such maximum exceed one hundred thousand dollars].
THE AGGREGATE LIMITATIONS SET FORTH IN THIS PARAGRAPH, WHICH SHALL APPLY
SEPARATELY FOR EACH ELECTION OR NOMINATION FOR PARTY POSITION OR PUBLIC
OFFICE LISTED IN THIS SECTION, SHALL BE INCREASED OR DECREASED BY THE
COST OF LIVING ADJUSTMENT SET FORTH IN PARAGRAPH C OF THIS SUBDIVISION.
c. At the beginning of each [fourth] SECOND calendar year, commencing
in [nineteen hundred ninety-five] TWO THOUSAND ELEVEN, the state board
shall determine the percentage of the difference between the [most
recent available monthly] consumer price index for all urban consumers
published by the United States bureau of labor statistics and such
consumer price index published for the same month [four] TWO years
previously. The amount of each contribution limit fixed in this subdivi-
sion shall be adjusted by the amount of such percentage difference to
the closest one hundred dollars by the state board which, not later than
the first day of February in each such year, shall issue a regulation
publishing the amount of each such contribution limit. Each contribution
limit as so adjusted shall be the contribution limit in effect for any
election held before the next such adjustment.
S 19. Section 14-114 of the election law is amended by adding a new
subdivision 11 to read as follows:
11. A. FOR THE PURPOSES OF THIS SUBDIVISION: (1) "SELF-FINANCED CANDI-
DATE" SHALL MEAN A CANDIDATE WHO EXPENDS PERSONAL FUNDS IN EXCESS OF THE
THRESHOLD AMOUNT ESTABLISHED FOR THE OFFICE FOR WHICH SUCH INDIVIDUAL IS
A CANDIDATE; (2) "NON-SELF-FINANCED CANDIDATE" MEANS ANY CANDIDATE WHO
IS NOT A SELF-FINANCED CANDIDATE, AND WHO HAS AN OPPONENT WHO IS A
SELF-FINANCED CANDIDATE; (3) "PERSONAL FUNDS" MEANS ALL FUNDS OWNED BY A
CANDIDATE OR AN IMMEDIATE FAMILY MEMBER OF SUCH CANDIDATE, AND THAT ARE
EXPENDED IN FURTHERANCE OF HIS OR HER CANDIDACY, INCLUDING BUT NOT
LIMITED TO MONETARY AND IN-KIND CONTRIBUTIONS AND LOANS OR LOAN GUARAN-
TEES FROM THE CANDIDATE TO HIS OR HER POLITICAL COMMITTEE; AND (4)
"THRESHOLD AMOUNT" SHALL MEAN TWENTY TIMES THE CONTRIBUTION LIMIT UNDER
PARAGRAPH A OF SUBDIVISION ONE OF THIS SECTION FOR THE OFFICE THE CANDI-
DATE SEEKS.
A. 7488 17
B. SUBJECT TO THE PROVISIONS OF PARAGRAPH D OF THIS SUBDIVISION, THE
CONTRIBUTION LIMITS UNDER PARAGRAPH A OF SUBDIVISION ONE OF THIS SECTION
FOR A NON-SELF-FINANCED CANDIDATE SHALL BE AS FOLLOWS: (1) FIFTEEN THOU-
SAND DOLLARS FOR A PUBLIC OFFICE TO BE VOTED ON BY THE VOTERS OF THE
ENTIRE STATE; (2) SEVEN THOUSAND TWO HUNDRED FIFTY DOLLARS FOR A STATE
SENATOR; AND (3) THREE THOUSAND EIGHT HUNDRED DOLLARS FOR A MEMBER OF
THE ASSEMBLY; PROVIDED THAT SUCH LIMITATIONS SHALL BE INCREASED OR
DECREASED BY THE COST OF LIVING ADJUSTMENT DESCRIBED IN PARAGRAPH C OF
SUBDIVISION ONE OF THIS SECTION.
C. (1) UPON THE ESTABLISHMENT OF A CANDIDATE COMMITTEE, A CANDIDATE
MUST ESTIMATE ON A STATEMENT TO BE FILED WITH THE STATE BOARD OF
ELECTIONS THE AMOUNT BY WHICH THEIR PERSONAL SPENDING ON THE CAMPAIGN
WILL EXCEED THE THRESHOLD AMOUNT AND SEND A COPY OF SUCH STATEMENT FILED
WITH THE BOARD TO EACH KNOWN OPPONENT.
(2) WITHIN TWENTY-FOUR HOURS, A SELF-FINANCED CANDIDATE MUST REPORT TO
THE STATE BOARD OF ELECTIONS AND ANY KNOWN OPPONENT:
(I) ANY EXPENDITURE OF PERSONAL FUNDS ABOVE THE CONTRIBUTION LIMIT FOR
THE OFFICE HE OR SHE SEEKS, INCLUDING THE RECEIPT OF SERVICES IN
EXCHANGE FOR THE PAYMENT FOR SUCH SERVICES IN THE FUTURE FROM PERSONAL
FUNDS;
(II) EACH ADDITIONAL ONE THOUSAND DOLLAR EXPENDITURE OF PERSONAL
FUNDS, INCLUDING THE RECEIPT OF SERVICES IN EXCHANGE FOR THE PAYMENT FOR
SUCH SERVICES IN THE FUTURE FROM PERSONAL FUNDS; AND
(III) WHEN THE AGGREGATE EXPENDITURE OF PERSONAL FUNDS, INCLUDING THE
RECEIPT OF SERVICES IN EXCHANGE FOR THE PAYMENT FOR SUCH SERVICES IN THE
FUTURE FROM PERSONAL FUNDS, EXCEEDS THE THRESHOLD AMOUNT.
D. A CANDIDATE AND THE CANDIDATE'S AUTHORIZED COMMITTEE SHALL NOT
ACCEPT ANY CONTRIBUTION UNDER THE INCREASED LIMIT AUTHORIZED BY PARA-
GRAPH A OF THIS SUBDIVISION UNTIL THE CANDIDATE HAS RECEIVED NOTIFICA-
TION FROM THE SELF-FINANCED OPPONENT OR THE STATE BOARD OF ELECTIONS
THAT CUMULATIVE EXPENDITURES FROM PERSONAL FUNDS HAVE BEEN MADE THAT
EXCEED THE THRESHOLD AMOUNT.
E. (1) A CANDIDATE WHO IS AN OPPONENT OF A SELF-FINANCED CANDIDATE
SHALL NOT ACCEPT ANY MORE CONTRIBUTIONS AT THE INCREASED LIMIT WHEN THE
AGGREGATE AMOUNT OF CONTRIBUTIONS COLLECTED AS A RESULT OF THE INCREASED
LIMIT IS EQUAL TO ONE HUNDRED PERCENT OF THE PERSONAL FUNDS EXPENDED BY
THE SELF-FINANCED CANDIDATE.
(2) A CANDIDATE AND A CANDIDATE'S AUTHORIZED COMMITTEE SHALL NOT
ACCEPT ANY CONTRIBUTION UNDER THE INCREASED LIMIT UNDER PARAGRAPH A OF
THIS SUBDIVISION AFTER THE DATE ON WHICH AN OPPOSING SELF-FINANCING
CANDIDATE CEASES TO BE A CANDIDATE TO THE EXTENT THAT THE AMOUNT OF SUCH
INCREASED LIMIT IS ATTRIBUTABLE TO SUCH AN OPPOSING CANDIDATE.
F. THE AGGREGATE AMOUNT OF CONTRIBUTIONS ACCEPTED BY A CANDIDATE OR A
CANDIDATE'S AUTHORIZED COMMITTEE AS A RESULT OF THE INCREASED LIMIT
UNDER PARAGRAPH A OF THIS SUBDIVISION AND NOT OTHERWISE EXPENDED IN
CONNECTION WITH THE ELECTION WITH RESPECT TO WHICH SUCH CONTRIBUTIONS
RELATE, SHALL, NOT LATER THAN SEVENTY-FIVE DAYS AFTER THE DATE OF SUCH
ELECTION, BE RETURNED TO THE PERSON OR PERSONS WHO MADE THE CONTRIB-
UTION.
S 20. Subdivision 8 of section 14-114 of the election law, as amended
by chapter 8 of the laws of 1978 and as redesignated by chapter 9 of the
laws of 1978, is amended to read as follows:
8. A. (I) Except as may otherwise be provided [for] BY a candidate
[and his family] FOR HIS OR HER OWN CAMPAIGN, no NATURAL person may
contribute, loan or guarantee in excess of one hundred [fifty] thousand
dollars within the state: (A) in connection with the nomination or
A. 7488 18
election of [persons to] CANDIDATES FOR state [and] OR local public
offices [and] OR party positions within the state of New York in any one
calendar year[.]; OR (B) TO PARTY COMMITTEES OR CONSTITUTED COMMITTEES,
INCLUDING, BUT NOT LIMITED TO, MONIES RECEIVED TO MAINTAIN A PERMANENT
HEADQUARTERS AND STAFF AND CARRY ON ORDINARY ACTIVITIES WHICH ARE NOT
FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDIDACY OF SPECIFIC CANDI-
DATES.
(II) NO LABOR ORGANIZATION MAY CONTRIBUTE, LOAN OR GUARANTEE IN EXCESS
OF ONE HUNDRED THOUSAND DOLLARS WITHIN THE STATE OF NEW YORK IN ANY ONE
CALENDAR YEAR: (A) IN CONNECTION WITH THE NOMINATION OR ELECTION OF
CANDIDATES FOR STATE PUBLIC OFFICES OR PARTY POSITIONS; OR (B) TO PARTY
COMMITTEES OR CONSTITUTED COMMITTEES, INCLUDING, BUT NOT LIMITED TO,
MONIES RECEIVED TO MAINTAIN A PERMANENT HEADQUARTERS AND STAFF AND CARRY
ON ORDINARY ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOT-
ING THE CANDIDACY OF SPECIFIC CANDIDATES.
(III) NO POLITICAL ACTION COMMITTEE ESTABLISHED, FINANCED, MAINTAINED
OR CONTROLLED BY ANY CORPORATION OR ANY OTHER PERSON, MAY CONTRIBUTE,
LOAN OR GUARANTEE, DIRECTLY OR INDIRECTLY (INCLUDING THROUGH A CONTRIB-
UTION OF FUNDS TO ANOTHER POLITICAL ACTION COMMITTEE), IN EXCESS OF
THREE HUNDRED THOUSAND DOLLARS WITHIN THE STATE OF NEW YORK IN ANY ONE
CALENDAR YEAR: (A) IN CONNECTION WITH THE NOMINATION OR ELECTION OF
CANDIDATES FOR STATE PUBLIC OFFICES OR PARTY POSITIONS; OR (B) TO PARTY
COMMITTEES OR CONSTITUTED COMMITTEES, INCLUDING, BUT NOT LIMITED TO,
MONIES RECEIVED TO MAINTAIN A PERMANENT HEADQUARTERS AND STAFF AND CARRY
ON ORDINARY ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOT-
ING THE CANDIDACY OF SPECIFIC CANDIDATES.
(IV) NO POLITICAL ACTION COMMITTEE ESTABLISHED, FINANCED, MAINTAINED
OR CONTROLLED BY ANY LABOR ORGANIZATION MAY CONTRIBUTE, LOAN OR GUARAN-
TEE, DIRECTLY OR INDIRECTLY (INCLUDING THROUGH A CONTRIBUTION OF FUNDS
TO ANOTHER POLITICAL ACTION COMMITTEE), IN EXCESS OF THREE HUNDRED FIFTY
THOUSAND DOLLARS WITHIN THE STATE OF NEW YORK IN ANY ONE CALENDAR YEAR:
(A) IN CONNECTION WITH THE NOMINATION OR ELECTION OF CANDIDATES FOR
STATE PUBLIC OFFICES OR PARTY POSITIONS; OR (B) PARTY COMMITTEES OR
CONSTITUTED COMMITTEES, INCLUDING, BUT NOT LIMITED TO, MONIES RECEIVED
TO MAINTAIN A PERMANENT HEADQUARTERS AND STAFF AND CARRY ON ORDINARY
ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDI-
DACY OF SPECIFIC CANDIDATES.
(V) For the purposes of this subdivision "loan" or "guarantee" shall
mean a loan or guarantee which is not repaid or discharged in the calen-
dar year in which it is made.
B. AT THE BEGINNING OF EACH FOURTH CALENDAR YEAR, COMMENCING IN TWO
THOUSAND THIRTEEN, THE STATE BOARD SHALL DETERMINE THE PERCENTAGE OF THE
DIFFERENCE BETWEEN THE MOST RECENT AVAILABLE MONTHLY CONSUMER PRICE
INDEX FOR ALL URBAN CONSUMERS PUBLISHED BY THE UNITED STATES BUREAU OF
LABOR STATISTICS AND SUCH CONSUMER PRICE INDEX PUBLISHED FOR THE SAME
MONTH FOUR YEARS PREVIOUSLY. THE AMOUNT OF SUCH CONTRIBUTION LIMIT FIXED
IN SUBPARAGRAPH (II) OF PARAGRAPH A OF THIS SUBDIVISION SHALL BE
ADJUSTED BY THE AMOUNT OF SUCH PERCENTAGE DIFFERENCE TO THE CLOSEST ONE
HUNDRED DOLLARS BY THE STATE BOARD, WHICH, NOT LATER THAN THE FIRST DAY
OF FEBRUARY IN EACH SUCH YEAR, SHALL ISSUE A REGULATION PUBLISHING THE
AMOUNT OF SUCH CONTRIBUTION LIMIT. SUCH CONTRIBUTION LIMIT AS SO
ADJUSTED SHALL BE THE CONTRIBUTION LIMIT IN EFFECT FOR ANY ELECTION HELD
BEFORE THE NEXT SUCH ADJUSTMENT.
S 21. Subdivision 10 of section 14-114 of the election law, as added
by chapter 79 of the laws of 1992, is amended to read as follows:
A. 7488 19
10. a. No contributor may make a contribution to a party or consti-
tuted committee and no such committee may accept a contribution from any
contributor which, in the aggregate, is greater than sixty-two thousand
five hundred dollars per annum.
b. At the beginning of each fourth calendar year, commencing in nine-
teen hundred ninety-five, the state board shall determine the percentage
of the difference between the most recent available monthly consumer
price index for all urban consumers published by the United States
bureau of labor statistics and such consumer price index published for
the same month four years previously. The amount of such contribution
limit fixed in paragraph a of this subdivision shall be adjusted by the
amount of such percentage difference to the closest one hundred dollars
by the state board which, not later than the first day of February in
each such year, shall issue a regulation publishing the amount of such
contribution limit. Such contribution limit as so adjusted shall be the
contribution limit in effect for any election held before the next such
adjustment. NOTWITHSTANDING THE PROVISIONS OF PARAGRAPH A OF THIS
SECTION, NO NATURAL PERSON, POLITICAL ACTION COMMITTEE, OR LABOR ORGAN-
IZATION MAY MAKE A CONTRIBUTION TO A PARTY OR CONSTITUTED COMMITTEE AND
NO SUCH COMMITTEE MAY ACCEPT A CONTRIBUTION FROM ANY NATURAL PERSON,
POLITICAL ACTION COMMITTEE, OR LABOR ORGANIZATION WHICH, IN THE AGGRE-
GATE, IS GREATER THAN FIFTY THOUSAND DOLLARS PER ANNUM.
C. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION THREE OF SECTION
14-124 OF THIS ARTICLE, NO NATURAL PERSON OR ENTITY, INCLUDING BUT NOT
LIMITED TO A POLITICAL ACTION COMMITTEE, CORPORATION, LIMITED LIABILITY
COMPANY, PROFESSIONAL LIMITED LIABILITY COMPANY, PARTNERSHIP OR LABOR
ORGANIZATION, MAY MAKE AGGREGATE CONTRIBUTIONS EXCEEDING FIFTY THOUSAND
DOLLARS PER ANNUM TO PARTY COMMITTEES OR CONSTITUTED COMMITTEES FOR THE
PURPOSE OF ALLOWING SUCH PARTY COMMITTEES OR CONSTITUTED COMMITTEES TO
MAINTAIN PERMANENT HEADQUARTERS AND STAFF AND CARRY ON ORDINARY ACTIV-
ITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDIDACY
OF SPECIFIC CANDIDATES. NO PARTY COMMITTEE OR CONSTITUTED COMMITTEE MAY
ACCEPT SUCH CONTRIBUTIONS FROM ANY NATURAL PERSON OR ENTITY, INCLUDING
BUT NOT LIMITED TO A POLITICAL ACTION COMMITTEE, CORPORATION, LIMITED
LIABILITY COMPANY, PROFESSIONAL LIMITED LIABILITY COMPANY, PARTNERSHIP
OR LABOR ORGANIZATION, WHERE SUCH CONTRIBUTIONS ARE MADE AND ACCEPTED
FOR PURPOSES OF ALLOWING SUCH PARTY COMMITTEES OR CONSTITUTED COMMITTEES
TO MAINTAIN PERMANENT HEADQUARTERS AND STAFF AND CARRY ON ORDINARY
ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDI-
DACY OF SPECIFIC CANDIDATES.
S 22. The election law is amended by adding a new section 14-115 to
read as follows:
S 14-115. RESTRICTIONS ON POLITICAL CONTRIBUTIONS BY LOBBYISTS. 1. IN
ANY ELECTION FOR STATE OFFICE, OR FOR NOMINATION TO ANY SUCH OFFICE, NO
LOBBYIST REQUIRED TO REGISTER UNDER SECTION ONE-E OF THE LEGISLATIVE LAW
AND NO MEMBER OF SUCH LOBBYIST'S HOUSEHOLD MAY MAKE A CONTRIBUTION
GREATER THAN FOUR HUNDRED DOLLARS TO ANY PERSON, INCLUDING A POLITICAL
COMMITTEE OR PARTY COMMITTEE, FOR NOMINATION OR ELECTION TO ANY STATE
OFFICE.
2. NO CANDIDATE OR POLITICAL COMMITTEE MAY ACCEPT ANY CONTRIBUTION
GREATER THAN FOUR HUNDRED DOLLARS FROM ANY LOBBYIST REGISTERED UNDER
SECTION ONE-E OF THE LEGISLATIVE LAW OR MEMBER OF SUCH LOBBYIST'S HOUSE-
HOLD.
S 23. Subdivisions 1 and 2 of section 14-116 of the election law,
subdivision 1 as redesignated by chapter 9 of the laws of 1978 and
A. 7488 20
subdivision 2 as amended by chapter 260 of the laws of 1981, are amended
and two new subdivisions 3 and 4 are added to read as follows:
1. No [corporation or] joint-stock association, LIMITED LIABILITY
COMPANY, PROFESSIONAL LIMITED LIABILITY COMPANY, OR PARTNERSHIP doing
business in this state, except [a corporation or association] AN ENTITY
organized or maintained for political purposes only, shall directly or
indirectly pay or use or offer, consent or agree to pay or use any money
or property for or in aid of any political party, committee or organiza-
tion, or for, or in aid of, any [corporation,] joint-stock or other
association, LIMITED LIABILITY COMPANY, PROFESSIONAL LIMITED LIABILITY
COMPANY, OR PARTNERSHIP organized or maintained for political purposes,
or for, or in aid of, any candidate for political office or for nomi-
nation for such office, or for any political purpose whatever, or for
the reimbursement or indemnification of any person for moneys or proper-
ty so used. Any [officer, director, stock-holder] MEMBER, SHAREHOLDER,
PARTNER, attorney or agent of any [corporation or] joint-stock associ-
ation, LIMITED LIABILITY COMPANY, PROFESSIONAL LIMITED LIABILITY COMPA-
NY, OR PARTNERSHIP which violates any of the provisions of this section,
who participates in, aids, abets or advises or consents to any such
violations, and any person who solicits or knowingly receives any money
or property in violation of this section, shall be guilty of a misdemea-
nor.
2. [Notwithstanding the provisions of subdivision one of this section,
any corporation or an organization financially supported in whole or in
part, by such corporation may make expenditures, including contrib-
utions, not otherwise prohibited by law, for political purposes, in an
amount not to exceed five thousand dollars in the aggregate in any
calendar year; provided that no public utility shall use revenues
received from the rendition of public service within the state for
contributions for political purposes unless such cost is charged to the
shareholders of such a public service corporation.] ANY CORPORATION: (A)
MAY ONLY MAKE EXPENDITURES, INCLUDING CONTRIBUTIONS, NOT OTHERWISE
PROHIBITED BY LAW, FOR POLITICAL PURPOSES, IN AN AMOUNT NOT TO EXCEED
FIVE THOUSAND DOLLARS IN THE AGGREGATE IN ANY CALENDAR YEAR; PROVIDED
THAT NO PUBLIC UTILITY SHALL USE REVENUES RECEIVED FROM THE RENDITION OF
PUBLIC SERVICE WITHIN THE STATE FOR CONTRIBUTIONS FOR POLITICAL PURPOSES
UNLESS SUCH COST IS CHARGED TO THE SHAREHOLDERS OF EACH PUBLIC SERVICE
CORPORATION; OR (B) MAY ONLY AUTHORIZE OR DESIGNATE A POLITICAL ACTION
COMMITTEE TO SUPPORT CANDIDATES OR OTHER POLITICAL COMMITTEES, SUBJECT
TO THE AGGREGATE CONTRIBUTION LIMIT APPLICABLE TO POLITICAL ACTION
COMMITTEES PURSUANT TO SUBDIVISION EIGHT OF SECTION 14-114 OF THIS ARTI-
CLE.
3. FOR THE PURPOSES OF SUBDIVISION TWO OF THIS SECTION, ALL OF THE
COMPONENT MEMBERS OF A CONTROLLED GROUP OF CORPORATIONS WITHIN THE MEAN-
ING OF SECTION ONE THOUSAND FIVE HUNDRED SIXTY-THREE OF THE INTERNAL
REVENUE CODE OF THE UNITED STATES SHALL BE DEEMED TO BE ONE CORPORATION.
4. ANY LABOR ORGANIZATION: (A) MAY MAKE EXPENDITURES, INCLUDING
CONTRIBUTIONS, NOT OTHERWISE PROHIBITED BY LAW, FOR POLITICAL PURPOSES,
SUBJECT TO THE AGGREGATE CONTRIBUTION LIMIT APPLICABLE TO LABOR ORGAN-
IZATIONS PURSUANT TO SUBDIVISION EIGHT OF SECTION 14-114 OF THIS ARTI-
CLE, OR (B) MAY AUTHORIZE OR DESIGNATE A POLITICAL ACTION COMMITTEE TO
SUPPORT CANDIDATES OR OTHER POLITICAL COMMITTEES, SUBJECT TO THE AGGRE-
GATE CONTRIBUTION LIMIT APPLICABLE TO POLITICAL ACTION COMMITTEES PURSU-
ANT TO SUBDIVISION EIGHT OF SECTION 14-114 OF THIS ARTICLE.
S 24. Subdivision 2 of section 14-120 of the election law is REPEALED.
A. 7488 21
S 25. Subdivision 3 of section 14-124 of the election law, as amended
by chapter 71 of the laws of 1988, is amended to read as follows:
3. The contribution and receipt limits of this article, EXCEPT FOR THE
CONTRIBUTION AND RECEIPT LIMITATIONS SET FORTH IN SUBDIVISION EIGHT OR
PARAGRAPH C OF SUBDIVISION TEN OF SECTION 14-114 OF THIS ARTICLE, shall
not apply to monies received and expenditures made by a party committee
or constituted committee to maintain a permanent headquarters and staff
and carry on ordinary activities which are not for the express purpose
of promoting the candidacy of specific candidates.
S 26. Section 14-126 of the election law, as amended by chapter 8 of
the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
1994 and subdivisions 2, 3 and 4 as redesignated by chapter 9 of the
laws of 1978, is amended to read as follows:
S 14-126. Violations; penalties. 1. Any person who fails to file a
statement required to be filed by this article shall be subject to a
civil penalty, not in excess of [five hundred] ONE THOUSAND dollars, to
be recoverable in a special proceeding or civil action to be brought by
the state board of elections [or other board of elections] PURSUANT TO
SECTION 16-114 OF THIS CHAPTER.
2. ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL
COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW,
UNLAWFULLY ACCEPTS A MONETARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION
LIMITATION ESTABLISHED IN THIS ARTICLE, SHALL BE REQUIRED TO REFUND SUCH
EXCESS AMOUNT AND SHALL BE SUBJECT TO A CIVIL PENALTY EQUAL TO TWO TIMES
THE EXCESS AMOUNT PLUS A FINE OF UP TO TEN THOUSAND DOLLARS, TO BE
RECOVERABLE IN A SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE
STATE BOARD OF ELECTIONS PURSUANT TO SECTION 16-120 OF THIS CHAPTER.
3. ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL
COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW,
UNLAWFULLY (A) EXPENDS CAMPAIGN FUNDS FOR A PERSONAL USE IN VIOLATION OF
THIS ARTICLE, OR (B) IN THE CASE OF A POLITICAL COMMITTEE, CONDUCTS
ACTIVITIES PROHIBITED BY THIS ARTICLE, SHALL BE SUBJECT TO A CIVIL
PENALTY, NOT IN EXCESS OF TEN THOUSAND DOLLARS, TO BE RECOVERABLE IN A
SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE STATE BOARD OF
ELECTIONS PURSUANT TO SECTION 16-120 OF THIS CHAPTER.
4. Any person who knowingly and willfully fails to file a statement
required to be filed by this article within ten days after the date
provided for filing such statement or any person who knowingly and will-
fully violates any other provision of this article shall be guilty of a
misdemeanor.
[3.] 5. Any person who knowingly and willfully contributes, accepts or
aids or participates in the acceptance of a contribution in an amount
exceeding an applicable maximum specified in this article shall be guil-
ty of a misdemeanor.
[4.] 6. Any person who shall, acting on behalf of a candidate or poli-
tical committee, knowingly and willfully solicit, organize or coordinate
the formation of activities of one or more unauthorized committees, make
expenditures in connection with the nomination for election or election
of any candidate, or solicit any person to make any such expenditures,
for the purpose of evading the contribution limitations of this article,
shall be guilty of a class E felony.
S 27. Section 14-130 of the election law, as added by chapter 152 of
the laws of 1985, is amended to read as follows:
S 14-130. Campaign funds for personal use. [Contributions] 1.
CAMPAIGN FUNDS received by a candidate or a political committee may ONLY
be expended for [any] lawful [purpose] PURPOSES. Such funds shall not
A. 7488 22
be converted by any person to a personal use which is unrelated to a
political campaign or the holding of a public office or party position.
2. AS USED IN THIS SECTION, "CAMPAIGN FUNDS" MEANS ANY FUNDS RECEIVED
BY A CANDIDATE OR A POLITICAL COMMITTEE, INCLUDING BUT NOT LIMITED TO
CONTRIBUTIONS AND TRANSFERS FROM ANY SOURCE AND INTEREST RECEIVED AS THE
RESULT OF THE LOAN OR INVESTMENT OF CAMPAIGN FUNDS.
3. NO CAMPAIGN FUNDS SHALL BE USED TO PAY INTEREST ABOVE THE PREVAIL-
ING MARKET RATE OR ANY OTHER FINANCE CHARGES UPON MONIES LOANED TO THE
CAMPAIGN BY SUCH CANDIDATE OR THE SPOUSE OF SUCH CANDIDATE.
4. NO CAMPAIGN FUNDS SHALL BE USED TO PAY ATTORNEY'S FEES OR ANY COSTS
OF DEFENDING AGAINST CIVIL OR CRIMINAL INVESTIGATION OR PROSECUTION FOR
ALLEGED VIOLATIONS OF FEDERAL, STATE OR LOCAL LAW COMMITTED WHILE HOLD-
ING PUBLIC OFFICE OR PARTY POSITION, OR BEING A CANDIDATE FOR SUCH
OFFICE OR POSITION, UNLESS THE ALLEGED VIOLATION ARISES IN CONNECTION
WITH THE NOMINATION OR ELECTION OF SUCH CANDIDATE TO PUBLIC OFFICE OR
PARTY POSITION, OR THE HOLDING OF A PUBLIC OFFICE OR PARTY POSITION.
5. PROHIBITED PERSONAL USES OF CAMPAIGN FUNDS INCLUDE, BUT ARE NOT
LIMITED TO THE FOLLOWING EXPENDITURES:
(A) ANY RESIDENTIAL OR HOUSEHOLD ITEMS, SUPPLIES OR EXPENDITURES,
INCLUDING MORTGAGE, RENT OR UTILITY PAYMENTS FOR ANY PART OF ANY
PERSONAL RESIDENCE OF A CANDIDATE OR OFFICEHOLDER OR A MEMBER OF THE
CANDIDATE'S OR OFFICEHOLDER'S FAMILY;
(B) MORTGAGE, RENT OR UTILITY PAYMENTS FOR ANY PART OF ANY NON-RESI-
DENTIAL PROPERTY THAT IS OWNED BY A CANDIDATE OR OFFICEHOLDER OR A
MEMBER OF A CANDIDATE'S OR OFFICEHOLDER'S FAMILY AND USED FOR CAMPAIGN
PURPOSES, TO THE EXTENT THE PAYMENTS EXCEED THE FAIR MARKET VALUE OF THE
PROPERTY USAGE;
(C) CLOTHING, OTHER THAN NOVELTY CAMPAIGN RELATED ITEMS;
(D) TUITION PAYMENTS;
(E) CHILDCARE COSTS;
(F) DUES, FEES, OR GRATUITIES AT A COUNTRY CLUB, HEALTH CLUB, RECRE-
ATIONAL FACILITY OR OTHER NONPOLITICAL ORGANIZATION, UNLESS THEY ARE
PART OF A SPECIFIC FUNDRAISING EVENT THAT TAKES PLACE ON THE ORGANIZA-
TION'S PREMISES;
(G) CONSULTATION FEES TO A MEMBER OF A CANDIDATE'S FAMILY OR SALARY
PAYMENTS TO A MEMBER OF A CANDIDATE'S FAMILY, WHERE SUCH SALARY PAYMENTS
EXCEED THE FAIR MARKET VALUE OF THE SERVICES RENDERED;
(H) ADMISSION TO A SPORTING EVENT, CONCERT, THEATER, OR OTHER FORM OF
ENTERTAINMENT, UNLESS PART OF A SPECIFIC CAMPAIGN OR OFFICEHOLDER ACTIV-
ITY;
(I) PAYMENTS FOR EXPENSES RELATING TO THE HOLDING OF PUBLIC OFFICE OR
PARTY POSITION TO THE EXTENT SUCH EXPENSES ARE REIMBURSED BY THE STATE
OR ANY POLITICAL SUBDIVISION OR ANY PRIVATE PARTY;
(J) PAYMENT OF ANY FINES, FEES, OR PENALTIES, EXCEPTING THAT CAMPAIGN
FUNDS MAY BE APPLIED TO PAY ANY FINES, FEES OR PENALTIES ASSESSED
AGAINST A COMMITTEE OR ITS TREASURER PURSUANT TO THIS CHAPTER BY THE
STATE BOARD OF ELECTIONS WHERE THERE IS NO FINDING THAT THE UNDERLYING
VIOLATION WAS KNOWING AND WILLFUL;
(K) VEHICLE PURCHASES OR LEASES WHICH ARE SOLELY FOR PERSONAL
PURPOSES;
(L) TRAVEL EXPENSES RELATING SOLELY TO PERSONAL ACTIVITIES; OR
(M) MEDICAL TREATMENT, THERAPY OR OTHER EXPENDITURES PERSONALLY BENE-
FICIAL TO THE PHYSICAL HEALTH OR WELFARE OF A CANDIDATE OR OFFICER HOLD-
ER.
6. IN THE EVENT THAT AN ITEM OF EXPENSE IS INCURRED FOR BOTH: (A)
PURPOSES RELATING TO A POLITICAL CAMPAIGN, THE HOLDING OF PUBLIC OFFICE
A. 7488 23
OR PARTY POSITION; AND (B) PERSONAL ACTIVITIES, THE AGGREGATE AMOUNT OF
EXPENSE RELATED TO A POLITICAL CAMPAIGN AND THE HOLDING OF PUBLIC OFFICE
OR PARTY POSITION SHALL BE REPORTED TO THE STATE BOARD OF ELECTIONS IN
THE STATEMENTS OF CAMPAIGN RECEIPTS, CONTRIBUTIONS, TRANSFERS AND
EXPENDITURES REQUIRED BY THIS ARTICLE.
7. (A) NOTWITHSTANDING THIS SECTION, AN INDIVIDUAL WHO DOES NOT HOLD A
PUBLIC OFFICE OR A PARTY POSITION AND IS NOT A DECLARED CANDIDATE FOR
PUBLIC OFFICE OR PARTY POSITION MAY NOT EXPEND CAMPAIGN FUNDS FOR
PERSONAL USE INCLUDING, BUT NOT LIMITED TO, MEALS, ENTERTAINMENT, AND
SALARIES FOR IMMEDIATE FAMILY MEMBERS; PROVIDED, HOWEVER, NOTHING IN
THIS SUBDIVISION PROHIBITS THE USE OF CAMPAIGN FUNDS TO SUPPORT ONE OR
MORE DECLARED CANDIDATES AS AUTHORIZED BY THIS ARTICLE.
(B) FOR PURPOSES OF THIS SECTION, A "DECLARED CANDIDATE" MEANS AN
INDIVIDUAL WHO HAS FILED WITH THE STATE BOARD OF ELECTIONS BOTH AN
"AUTHORIZATION OR NON-AUTHORIZATION BY A CANDIDATE" FORM PURSUANT TO
SECTION 14-102 OF THIS ARTICLE AND A "COMMITTEE DESIGNATION OF TREASURER
AND DEPOSITORY" FORM PURSUANT TO SECTION 14-118 OF THIS ARTICLE, BOTH OF
WHICH INDICATE THE SPECIFIC OFFICE AND DISTRICT SOUGHT AND THE YEAR OF
THE ELECTION.
S 27-a. The election law is amended by adding a new section 14-132 to
read as follows:
S 14-132. BUSINESS DEALINGS WITH THE STATE. 1. NOTWITHSTANDING ANY
INCONSISTENT PROVISION OF THIS SECTION, A CANDIDATE OR HIS OR HER PRIN-
CIPAL COMMITTEE MAY NOT ACCEPT, EITHER DIRECTLY OR BY TRANSFER, ANY
CONTRIBUTION OR CONTRIBUTIONS FOR AN ELECTION IN WHICH HE OR SHE IS A
CANDIDATE FROM A NATURAL PERSON WHO HAS BUSINESS DEALINGS WITH THE
STATE, AS THAT TERM IS DEFINED IN SUBDIVISION FIFTEEN OF SECTION 14-100
OF THIS ARTICLE, IF THE AGGREGATE OF SUCH CONTRIBUTIONS TO SUCH CANDI-
DATE FROM SUCH PERSON FOR ALL ELECTIONS IN THE SAME CALENDAR YEAR
EXCEEDS: (A) FOR THE OFFICE OF GOVERNOR, LIEUTENANT GOVERNOR, ATTORNEY
GENERAL OR COMPTROLLER FOUR HUNDRED DOLLARS; (B) FOR SENATE FOUR HUNDRED
DOLLARS; AND (C) FOR MEMBER OF ASSEMBLY FOUR HUNDRED DOLLARS; PROVIDED
THAT A CANDIDATE OR HIS OR HER PRINCIPAL COMMITTEE MAY ACCEPT ADDITIONAL
CONTRIBUTIONS WHICH DO NOT EXCEED ONE-HALF THE AMOUNT OF THE APPLICABLE
LIMITATION FOR AN ADDITIONAL DAY FOR VOTING HELD PURSUANT TO SECTION
3-108 OF THIS CHAPTER, SPECIAL ELECTION TO FILL A VACANCY, DELAYED OR
OTHERWISE POSTPONED ELECTION, OR ELECTION HELD PURSUANT TO COURT ORDER
WHICH IS AN ELECTION AND IN WHICH THE CANDIDATE SEEKS NOMINATION FOR
ELECTION. FOR PURPOSES OF THIS SUBDIVISION, "PERSON" SHALL INCLUDE ANY
CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER AND/OR CHIEF OPERATING
OFFICER OF AN ENTITY WHICH HAS BUSINESS DEALINGS WITH THE STATE, ANY
PERSON EMPLOYED IN A SENIOR MANAGERIAL CAPACITY REGARDING SUCH AN ENTI-
TY, OR ANY PERSON WITH AN INTEREST IN SUCH AN ENTITY WHICH EXCEEDS TEN
PERCENT OF THE ENTITY. FOR PURPOSES OF THIS SUBDIVISION, "SENIOR MANAGE-
RIAL CAPACITY" SHALL HAVE THE SAME MEANING AS SET FORTH IN SUBDIVISION
SEVENTEEN OF SECTION 14-100 OF THIS ARTICLE. NOTWITHSTANDING ANY
PROVISION OF THIS SUBDIVISION, THE LIMITATIONS ON CONTRIBUTIONS
CONTAINED HEREIN SHALL NOT APPLY TO ANY CONTRIBUTION MADE BY A NATURAL
PERSON WHO HAS BUSINESS DEALINGS WITH THE STATE TO A CANDIDATE OR HIS OR
HER PRINCIPAL COMMITTEE WHERE SUCH CANDIDATE IS THE CONTRIBUTOR, OR
WHERE SUCH CANDIDATE IS THE CONTRIBUTOR'S PARENT, SPOUSE, DOMESTIC PART-
NER, SIBLING, CHILD, GRANDCHILD, AUNT, UNCLE, COUSIN, NIECE OR NEPHEW BY
BLOOD OR MARRIAGE.
2. EACH CANDIDATE AND HIS OR HER PRINCIPAL COMMITTEE SHALL INQUIRE OF
EVERY INDIVIDUAL OR ENTITY MAKING A CONTRIBUTION, LOAN, GUARANTEE OR
OTHER SECURITY FOR SUCH LOAN IN EXCESS OF THE AMOUNTS SET FORTH IN
A. 7488 24
SUBDIVISION ONE OF THIS SECTION, THROUGH A QUESTION, IN A FORM
PRESCRIBED BY THE BOARD OF ELECTIONS, AS TO WHETHER SUCH INDIVIDUAL,
CORPORATION, PARTNERSHIP, POLITICAL COMMITTEE, EMPLOYEE ORGANIZATION OR
OTHER ENTITY HAS BUSINESS DEALINGS WITH THE STATE, AS THAT TERM IS
DEFINED IN SUBDIVISION FIFTEEN OF SECTION 14-100 OF THIS ARTICLE, AND,
IF SO, THE NAME OF THE AGENCY OR ENTITY WITH WHICH SUCH BUSINESS DEAL-
INGS ARE OR WERE CARRIED ON AND THE APPROPRIATE TYPE OR CATEGORY OF SUCH
BUSINESS DEALINGS. SUCH FORM SHALL CONTAIN IN PROMINENT TYPEFACE AND IN
A PROMINENT LOCATION THE STATEMENT "IF A CONTRIBUTOR HAS BUSINESS DEAL-
INGS WITH THE STATE AS DEFINED IN THE CAMPAIGN FINANCE REFORM ACT OF
2009, SUCH CONTRIBUTOR MAY CONTRIBUTE ONLY UP TO FOUR HUNDRED DOLLARS."
UPON RECEIPT OF THE RESPONSE TO SUCH INQUIRY (INCLUDING ANY FAILURE TO
RESPOND), THE PRINCIPAL COMMITTEE SHALL KEEP A COPY IN ITS RECORDS AND
SHALL REPORT EACH CONTRIBUTION TO THE BOARD ON THE NEXT APPLICABLE
FILING DEADLINE IN ACCORDANCE WITH THE BOARD'S DISCLOSURE SCHEDULE. THE
BOARD SHALL CHECK EACH CONTRIBUTION AGAINST THE DOING BUSINESS DATABASE
AND SHALL NOTIFY THE PRINCIPAL COMMITTEE WITHIN TWENTY DAYS OF THE
REPORTING OF SUCH CONTRIBUTION IF A CONTRIBUTION EXCEEDING THE DOING
BUSINESS CONTRIBUTION LIMITATION SET FORTH IN SUBDIVISION ONE OF THIS
SECTION IS SUBJECT TO SUCH LIMITATIONS OF THIS CHAPTER. NOTWITHSTANDING
ANY PROVISION IN THIS SUBDIVISION, IN THE SIX WEEKS PRECEDING THE
COVERED ELECTION THE BOARD SHALL PROVIDE SUCH NOTIFICATION TO THE PRIN-
CIPAL OR AUTHORIZED COMMITTEE WITHIN THREE BUSINESS DAYS OF THE REPORT-
ING OF SUCH CONTRIBUTION TO THE BOARD IN ACCORDANCE WITH APPLICABLE
REPORTING DEADLINES. IF THE BOARD FAILS TO NOTIFY THE PRINCIPAL COMMIT-
TEE THAT A CONTRIBUTION IS IN EXCESS OF THE LIMITATIONS SET FORTH IN
SUBDIVISION ONE OF THIS SECTION IN ACCORDANCE WITH THIS SUBDIVISION, ANY
SUCH CONTRIBUTION SHALL BE DEEMED VALID FOR PURPOSES OF SUCH LIMITATION
PROVIDED. SUCH PRINCIPAL COMMITTEE SHALL HAVE TWENTY DAYS FROM THE DATE
OF ANY SUCH NOTIFICATION TO RETURN THE AMOUNT OF ANY CONTRIBUTION IN
EXCESS OF THE LIMITATIONS SET FORTH IN SUBDIVISION ONE OF THIS SECTION
TO THE CONTRIBUTOR. NO VIOLATION SHALL ISSUE AND NO PENALTY SHALL BE
IMPOSED WHERE SUCH EXCESS AMOUNT IS POSTMARKED OR DELIVERED WITHIN TWEN-
TY DAYS OF SUCH NOTIFICATION BY THE BOARD AND THE BOARD SHALL NOT DESIG-
NATE A CANDIDATE AS HAVING ACCEPTED A CONTRIBUTION IN EXCESS OF SUCH
LIMITATIONS WHERE SUCH EXCESS HAS BEEN RETURNED IN ACCORDANCE WITH THE
TIME LIMITATIONS SET FORTH HEREIN. FAILURE TO RETURN SUCH EXCESS AMOUNT
IN ACCORDANCE WITH THE PROVISIONS HEREIN SHALL NOT RESULT IN THE BOARD
WITHHOLDING PUBLIC FUNDS FOR WHICH THE PARTICIPATING CANDIDATE'S PRIN-
CIPAL COMMITTEE IS OTHERWISE ELIGIBLE; PROVIDED, HOWEVER, THAT THE BOARD
MAY DEDUCT AN AMOUNT EQUAL TO THE TOTAL UNRETURNED CONTRIBUTIONS IN
EXCESS OF THE LIMITATIONS SET FORTH IN SUBDIVISION ONE OF THIS SECTION
FROM SUCH PAYMENT OF PUBLIC FUNDS. FOR PURPOSES OF THIS SECTION, "INDI-
VIDUAL" SHALL INCLUDE ANY CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFI-
CER, AND/OR CHIEF OPERATING OFFICER OF AN ENTITY OR PERSONS SERVING IN
AN EQUIVALENT CAPACITY, ANY PERSON IN A SENIOR MANAGERIAL CAPACITY
REGARDING AN ENTITY, OR ANY PERSON WITH AN INTEREST IN AN ENTITY, WHICH
EXCEEDS TEN PERCENT OF THE ENTITY. FOR PURPOSES OF THIS SUBDIVISION, THE
PHRASE "SENIOR MANAGERIAL CAPACITY" SHALL MEAN A HIGH LEVEL SUPERVISORY
CAPACITY, EITHER BY VIRTUE OF TITLE OR DUTIES, IN WHICH SUBSTANTIAL
DISCRETION AND OVERSIGHT IS EXERCISED OVER THE SOLICITATION, LETTING OR
ADMINISTRATION OF BUSINESS TRANSACTIONS WITH THE STATE, INCLUDING
CONTRACTS, FRANCHISES, CONCESSIONS, GRANTS, ECONOMIC DEVELOPMENT AGREE-
MENTS, AND APPLICATIONS FOR LAND USE APPROVALS. NOTWITHSTANDING ANY
OTHER PROVISION OF THIS SECTION, NO PARTICIPATING CANDIDATE SHALL BE
A. 7488 25
LIABLE FOR ANY FINE OR PENALTY FOR THE FAILURE OF ANY CONTRIBUTOR TO
RESPOND TO ANY SUCH REQUEST OR FOR ANY ERRONEOUS RESPONSE.
S 28. Section 16-100 of the election law is amended to read as
follows:
S 16-100. Jurisdiction; supreme court, county court. 1. The supreme
court is vested with jurisdiction to summarily determine any question of
law or fact arising as to any subject set forth in this article, which
shall be construed liberally.
2. The county court is vested with jurisdiction to summarily determine
any question of law or fact except proceedings as to a nomination or
election at a primary election or a nomination at a judicial convention,
proceedings as to the casting and canvass of ballots [and], proceedings
for examination or preservation of ballots AND PROCEEDINGS TO ENFORCE
THE PROVISIONS OF ARTICLE FOURTEEN OF THIS CHAPTER AS PROVIDED IN
SECTION 16-120 OF THIS ARTICLE.
S 29. Subdivision 4 of section 16-114 of the election law, as redesig-
nated by chapter 9 of the laws of 1978, is amended to read as follows:
4. In every proceeding instituted under this section, except a
proceeding to compel the filing of a statement by a candidate for nomi-
nation to a public office at a primary election or for election thereto,
or by the treasurer of a political committee, who has failed to file any
statement, the petitioner or petitioners, upon the institution of the
proceeding shall file with the county clerk an undertaking in a sum to
be determined and with sureties to be approved by a justice of the
supreme court conditioned to pay any costs imposed against him OR HER or
them; provided, however, that no such undertaking shall be required in a
proceeding instituted by the state or other board of elections.
S 30. The election law is amended by adding a new section 16-120 to
read as follows:
S 16-120. ENFORCEMENT PROCEEDINGS. 1. THE SUPREME COURT OR A JUSTICE
THEREOF, IN A PROCEEDING INSTITUTED BY THE STATE BOARD OF ELECTIONS, MAY
IMPOSE A CIVIL PENALTY, AS PROVIDED FOR IN SUBDIVISIONS TWO AND THREE OF
SECTION 14-126 OF THIS CHAPTER, UPON ANY PERSON WHO, ACTING AS OR ON
BEHALF OF A CANDIDATE OR POLITICAL COMMITTEE UNDER CIRCUMSTANCES EVINC-
ING AN INTENT TO VIOLATE SUCH LAW, HAS UNLAWFULLY (A) ACCEPTED A MONE-
TARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION ESTABLISHED IN
ARTICLE FOURTEEN OF THIS CHAPTER, (B) EXPENDED CAMPAIGN FUNDS FOR A
PERSONAL USE IN VIOLATION OF THIS ARTICLE OR (C) IN THE CASE OF A POLI-
TICAL COMMITTEE, CONDUCTED ACTIVITIES PROHIBITED BY ARTICLE FOURTEEN OF
THIS CHAPTER.
2. UPON PROOF THAT A VIOLATION OF ARTICLE FOURTEEN, AS PROVIDED IN
SUBDIVISION ONE OF THIS SECTION, HAS OCCURRED, THE COURT MAY IMPOSE A
CIVIL PENALTY, PURSUANT TO SUBDIVISIONS TWO AND THREE OF SECTION 14-126
OF THIS CHAPTER, AFTER CONSIDERING, AMONG OTHER FACTORS, THE SEVERITY OF
THE VIOLATION OR VIOLATIONS, WHETHER THE SUBJECT OF THE VIOLATION MADE A
GOOD FAITH EFFORT TO CORRECT THE VIOLATION AND WHETHER THE SUBJECT OF
THE VIOLATION HAS A HISTORY OF SIMILAR VIOLATIONS. ALL SUCH DETERMI-
NATIONS SHALL BE MADE ON A FAIR AND EQUITABLE BASIS WITHOUT REGARD TO
THE STATUS OF THE CANDIDATE OR POLITICAL COMMITTEE.
S 31. Section 1-c of the legislative law is amended by adding two new
subdivisions (w) and (x) to read as follows:
(W) THE TERM "CONTRIBUTION COLLECTION OR DELIVERY ACTIVITIES BY LOBBY-
ISTS" SHALL MEAN DELIVERY OR COLLECTION OF CONTRIBUTIONS FOR A CANDIDATE
FOR NOMINATION FOR ELECTION, OR ELECTION, TO THE OFFICE OF GOVERNOR,
LIEUTENANT GOVERNOR, COMPTROLLER, ATTORNEY GENERAL OR MEMBER OF THE
A. 7488 26
STATE LEGISLATURE, OR FOR THE POLITICAL COMMITTEE OF ANY SUCH CANDIDATE
BY A LOBBYIST.
(X) FOR PURPOSES OF THIS ARTICLE, THE TERMS "CONTRIBUTION" AND "POLI-
TICAL COMMITTEE" SHALL HAVE THE MEANINGS AS SET FORTH IN SECTION 14-100
OF THE ELECTION LAW.
S 32. Subdivision (b) of section 1-h of the legislative law is
amended by adding a new paragraph 6 to read as follows:
(6) CONTRIBUTION COLLECTION OR DELIVERY ACTIVITIES BY LOBBYISTS FOR
ANY CANDIDATE FOR NOMINATION FOR ELECTION, OR ELECTION, TO THE OFFICE OF
GOVERNOR, LIEUTENANT GOVERNOR, COMPTROLLER, ATTORNEY GENERAL OR MEMBER
OF THE STATE LEGISLATURE INCLUDING:
(I) THE INDIVIDUALS EMPLOYED BY THE LOBBYIST ENGAGED IN SUCH CONTRIB-
UTION COLLECTION OR DELIVERY ACTIVITIES;
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CANDIDATE, OR
ELECTED OFFICIAL TO WHOM OR ON WHOSE BEHALF THE LOBBYIST ENGAGED IN
CONTRIBUTION COLLECTION OR DELIVERY ACTIVITIES; AND
(III) THE TOTAL DOLLAR AMOUNT COLLECTED OR DELIVERED FOR EACH CANDI-
DATE FOR WHICH SUCH ACTIVITIES WERE PERFORMED.
S 33. The legislative law is amended by adding a new article 1-B to
read as follows:
ARTICLE 1-B
PARTICIPATION IN FUNDRAISERS DURING
A LEGISLATIVE SESSION
SECTION 1-AA. DEFINITIONS.
1-BB. PARTICIPATION IN FUNDRAISERS DURING A LEGISLATIVE SESSION.
S 1-AA. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS
SHALL HAVE THE FOLLOWING MEANINGS:
1. "FUNDRAISER" SHALL MEAN AN EVENT OR FUNCTION AT WHICH OR IN
CONNECTION WITH FUNDS ARE SOLICITED FOR OR ON BEHALF OF (A) A GOVERNOR,
LIEUTENANT GOVERNOR, COMPTROLLER, ATTORNEY GENERAL, MEMBER OR MEMBERS OF
THE STATE LEGISLATURE, OR A CANDIDATE FOR ANY OF THE FOREGOING OFFICES;
(B) A POLITICAL COMMITTEE ORGANIZED TO SUPPORT OR OPPOSE THE ELECTION OF
ANY SUCH PERSON OR PERSONS; (C) A STATE COMMITTEE OR A SUBCOMMITTEE OF
SUCH STATE COMMITTEE, PROVIDED THAT THE TERM "FUNDRAISER" WHEN APPLIED
TO AN EVENT OR FUNCTION HELD BY A STATE COMMITTEE OR SUBCOMMITTEE THERE-
OF SHALL NOT INCLUDE AN EVENT OR FUNCTION AT WHICH FUNDS ARE RAISED
EXCLUSIVELY TO SUPPORT OR OPPOSE A CANDIDATE OR CANDIDATES FOR FEDERAL
ELECTIVE OFFICE, OR A POLITICAL COMMITTEE AUTHORIZED BY SUCH A CANDIDATE
OR CANDIDATES, WHERE SUCH FUNDS ARE NOT USED FOR ANY OTHER PURPOSE; OR
(D) ANY LOBBYIST OR CLIENT POLITICAL COMMITTEE, WHERE SUCH AN EVENT OR
FUNCTION IS HELD FOR THE EXPLICIT PURPOSE OF RAISING FUNDS FOR OR ON
BEHALF OF ANY OF THE FOREGOING ENTITIES.
2. "LOBBYIST OR CLIENT POLITICAL COMMITTEE" SHALL MEAN A POLITICAL
COMMITTEE ORGANIZED TO SUPPORT THE ACTIVITIES OF A LOBBYIST OR CLIENT
PROVIDED, HOWEVER, THAT THE TERM "LOBBYIST OR CLIENT POLITICAL COMMIT-
TEE" AS USED IN THIS ARTICLE, SHALL NOT INCLUDE A FUNDRAISING EVENT OR
FUNCTION HOSTED BY SUCH A COMMITTEE TO RAISE FUNDS FOR THE COMMITTEE'S
GENERAL USE WHERE SUCH AN EVENT OR FUNCTION IS NOT TARGETED TO BENEFIT
ANY OF THE SPECIFIC PERSONS OR ENTITIES DESCRIBED IN SUBDIVISION ONE OF
THIS SECTION.
3. THE TERM "LEGISLATIVE SESSION" SHALL MEAN THE PERIOD BEGINNING ON
THE WEDNESDAY SUCCEEDING THE FIRST MONDAY OF JANUARY AND ENDING ON THE
LATER OF (A) THE THIRTIETH DAY OF JUNE OR (B) TWO WEEKS AFTER THE DAY ON
WHICH THE LEGISLATURE HAS TAKEN FINAL ACTION ON ALL OF THE APPROPRIATION
BILLS SUBMITTED BY THE GOVERNOR PURSUANT TO ARTICLE SEVEN OF THE STATE
CONSTITUTION, THEREBY ENACTING A STATE BUDGET THAT PROVIDED SUFFICIENT
A. 7488 27
APPROPRIATION AUTHORITY FOR THE ONGOING OPERATION AND SUPPORT OF STATE
GOVERNMENT AND LOCAL ASSISTANCE FOR THE ENSUING FISCAL YEAR.
S 1-BB. PARTICIPATION IN FUNDRAISERS DURING A LEGISLATIVE SESSION. 1.
EXCEPT AS OTHERWISE PROVIDED IN THIS SECTION, NO PERSON OR ENTITY SHALL
HOLD, PARTICIPATE IN, CONTRIBUTE TO, PURCHASE A TICKET FOR, OR ATTEND
ANY FUNDRAISER WITHIN FORTY MILES OF THE NEW YORK STATE CAPITOL DURING
THE LEGISLATIVE SESSION.
2. THIS SECTION SHALL NOT APPLY TO FUNDRAISERS WITHIN THE DISTRICT OF
MEMBERS OF THE LEGISLATURE OR CANDIDATES THEREFOR WHOSE DISTRICTS ARE
LOCATED IN WHOLE OR IN PART WITHIN FORTY MILES OF THE NEW YORK STATE
CAPITOL, PROVIDED, HOWEVER THAT SUCH FUNDRAISERS SHALL BE SOLELY FOR THE
BENEFIT OF THE LEGISLATOR OR THE CANDIDATE OR THE AUTHORIZED POLITICAL
COMMITTEE OF SUCH LEGISLATOR OR CANDIDATE AND NO OTHER ELECTED OFFICIAL,
POLITICAL COMMITTEE OR CANDIDATE FOR ELECTED OFFICE; AND FURTHER
PROVIDED THAT SUCH FUNDRAISERS SHALL NOT BE HELD ON ANY DAY WHEN A
QUORUM OF EITHER HOUSE OF THE LEGISLATURE IS IN ATTENDANCE OF A SESSION
OF THEIR RESPECTIVE HOUSE.
S 34. Severability clause. If any clause, sentence, paragraph, subdi-
vision, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair or invalidate the remainder thereof, but shall be confined in its
operation to the clause, sentence, paragraph, subdivision, section or
part thereof directly involved in the controversy in which such judgment
shall have been rendered. It is hereby declared to be the intent of the
legislature that this act would have been enacted even if such invalid
provisions had not been included herein.
S 35. This act shall take effect December 1, 2009; provided, however,
that contributions legally received prior to the effective date of this
act may be retained for lawful purposes and shall not provide the basis
for a violation of article 14 of the election law; and provided, howev-
er, that the state board of elections shall notify all registered
campaign committees and political committees of the applicable
provisions of this act within thirty days after this act shall have
become a law.
2009-A7488A (ACTIVE) - Details
2009-A7488A (ACTIVE) - Bill Text download pdf
S T A T E O F N E W Y O R K
________________________________________________________________________
7488--A
2009-2010 Regular Sessions
I N A S S E M B L Y
April 13, 2009
___________
Introduced by M. of A. BRENNAN, LANCMAN -- read once and referred to the
Committee on Election Law -- committee discharged, bill amended,
ordered reprinted as amended and recommitted to said committee
AN ACT to amend the election law and the legislative law, in relation to
enacting the "campaign finance reform act of 2009"; and repealing
certain provisions of the election law relating thereto
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Legislative findings and declarations. The legislature
finds that it is vitally important to democratic government in this
state to prevent corruption, special privileges, and favoritism in
connection with the financing and other operations of statewide poli-
tical campaigns and to also avoid the appearance of these abuses. The
public's perception is that government is held hostage to special inter-
ests and wealthy donors. As the United States Supreme Court found in
BUCKLEY V. VALEO, states have a compelling interest "to reduce the dele-
terious effect of large contributions on our political process." There-
fore, the legislature declares that it is in the public interest and a
valid public purpose to lower contribution limits, limit contributions
from special interests, such as lobbyists, ban all fundraising in the
capital district during the legislative session, prohibit the personal
use of campaign funds, improve transparency and accountability, facili-
tate compliance with campaign finance reporting requirements, expand the
enforcement powers of the state board of elections and increase penal-
ties for campaign finance violations. This comprehensive reform package
will reduce the influence of special interests and the appearance of
corruption while restoring the public's confidence in elected officials.
S 2. This act shall be known and may be cited as the "campaign finance
reform act of 2009".
S 3. Section 3-100 of the election law, subdivisions 1, 2 and 3 as
amended by chapter 220 of the laws of 2005, subdivisions 4 and 5 as
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD10073-06-9
A. 7488--A 2
redesignated by chapter 9 of the laws of 1978, is amended to read as
follows:
S 3-100. New York state board of elections; membership; organization.
1. There is hereby created within the executive department a New York
state board of elections, hereafter referred to as the "state board of
elections", composed of [four] FIVE commissioners appointed by the
governor AS FOLLOWS: (A) two commissioners, one each from among not
fewer than two persons recommended by the chairman of the state commit-
tee of each of the major political parties; [and] (B) two [other]
commissioners, one upon the joint recommendation of the legislative
leaders, of one major political party, in each house of the legislature
and one upon the joint recommendation of the legislative leaders, of the
other major political party, in each house of the legislature, AND (C)
ONE COMMISSIONER UPON THE JOINT RECOMMENDATION OF THE TWO COMMISSIONERS
SELECTED PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION. The commission-
ers shall be appointed for terms of two years each and in the same
manner as their respective predecessors. A commissioner appointed to the
board to fill a vacancy caused other than by expiration of a term, shall
serve for the balance of the unexpired term. In the event that there is
a vacancy in the office of the commissioner appointed [on the recommen-
dation of such legislative leaders] PURSUANT TO PARAGRAPH (B) OF THIS
SUBDIVISION caused by expiration of term or otherwise, [such] THE legis-
lative leaders responsible for making the joint recommendation to fill
such vacancy shall jointly recommend an individual to fill such vacancy
and the governor shall make the appointment from such joint recommenda-
tion within thirty days of receiving such joint recommendation. In the
event the governor does not act on such joint recommendation within
thirty days or objects to such joint recommendation, then the legisla-
tive leaders making such joint recommendation shall have the option of:
[(a)] (I) appointing the individual so jointly recommended as a commis-
sioner, or [(b)] (II) jointly recommending another individual for
appointment by the governor according to the procedure outlined in this
subdivision. IN THE EVENT THAT THERE IS A VACANCY IN THE OFFICE OF THE
COMMISSIONER APPOINTED PURSUANT TO PARAGRAPH (C) OF THIS SUBDIVISION
CAUSED BY EXPIRATION OF TERM OR OTHERWISE, THE COMMISSIONERS RESPONSIBLE
FOR MAKING THE JOINT RECOMMENDATION TO FILL SUCH VACANCY SHALL JOINTLY
RECOMMEND AN INDIVIDUAL TO FILL SUCH VACANCY AND THE GOVERNOR SHALL MAKE
THE APPOINTMENT FROM SUCH JOINT RECOMMENDATION WITHIN THIRTY DAYS OF
RECEIVING SUCH JOINT RECOMMENDATION. IN THE EVENT THE GOVERNOR DOES NOT
ACT ON SUCH JOINT RECOMMENDATION WITHIN THIRTY DAYS OR OBJECTS TO SUCH
JOINT RECOMMENDATION, THEN THE COMMISSIONERS MAKING SUCH JOINT RECOMMEN-
DATION SHALL HAVE THE OPTION OF: (I) APPOINTING THE INDIVIDUAL SO JOINT-
LY RECOMMENDED AS A COMMISSIONER, OR (II) JOINTLY RECOMMENDING ANOTHER
INDIVIDUAL FOR APPOINTMENT BY THE GOVERNOR ACCORDING TO THE PROCEDURE
OUTLINED IN THIS SUBDIVISION. THE PROVISIONS OF SECTION FIVE OF THE
PUBLIC OFFICERS LAW SHALL NOT APPLY TO ANY MEMBER APPOINTED PURSUANT TO
PARAGRAPH (C) OF THIS SUBDIVISION.
2. The two commissioners of the board appointed upon the recommenda-
tion of the legislative leaders shall be co-chairs of the state board of
elections.
3. The commissioners of the state board of elections shall have no
other public employment. The commissioners shall receive an annual sala-
ry of twenty-five thousand dollars, within the amounts made available
therefor by appropriation. The board shall, for the purposes of sections
seventy-three and seventy-four of the public officers law, be a "state
agency", and such commissioners shall be "officers" of the state board
A. 7488--A 3
of elections for the purposes of such sections. Within the amounts made
available by appropriation therefor, the state board of elections shall
appoint two co-executive directors, counsel and such other staff members
as are necessary in the exercise of its functions, and may fix their
compensation. Anytime after the effective date of [the] chapter TWO
HUNDRED TWENTY of the laws of two thousand five [which amended this
subdivision], the commissioners or, in the case of a vacancy on the
board, the commissioner of each of the major political parties shall
appoint one co-executive director. Each co-executive director shall
serve a term of four years. Any vacancy in the office of co-executive
director shall be filled by the commissioners or, in the case of a
vacancy on the board, the commissioner of the same major political party
as the vacating incumbent for the remaining period of the term of such
vacating incumbent.
4. For the purposes of meetings, three commissioners shall constitute
a quorum. The affirmative vote of three commissioners shall be required
for any official action of the state board of elections.
5. The principal office of the state board of elections shall be in
the county of Albany.
S 4. Subdivisions 3, 7, 9-A, 12, 16 and 17 of section 3-102 of the
election law, subdivisions 3, 7 and 17 as amended and subdivision 12 as
redesignated by chapter 9 of the laws of 1978, subdivision 9-A as added
by chapter 430 of the laws of 1997, paragraph (a) of subdivision 9-A as
amended by chapter 406 of the laws of 2005 and paragraph (d) of subdivi-
sion 9-A as amended by chapter 249 of the laws of 2003, subdivision 16
as added and subdivision 17 as renumbered by chapter 23 of the laws of
2005, are amended to read as follows:
3. conduct, THROUGH THE ENFORCEMENT UNIT ESTABLISHED PURSUANT TO
SECTION 3-104 OF THIS TITLE any investigation necessary to carry out the
provisions of this chapter, EXCEPT WHEN A SPECIAL INVESTIGATOR IS
APPOINTED PURSUANT TO SECTION 3-107 OF THIS TITLE;
7. institute[, or direct a board of elections to institute] such judi-
cial proceedings as may be necessary to enforce compliance with any
provision of article fourteen of this chapter or any regulation promul-
gated thereunder including, but not limited to, application, on notice
served upon the respondent in the manner directed by the court at least
six hours prior to the time of return thereon, to a justice of the
supreme court within the judicial district in which an alleged violation
of any such provision or regulation occurred or is threatened, for an
order prohibiting the continued or threatened violation thereof or for
such other or further relief as the court may deem just and proper;
9-A. (a) develop an electronic reporting system, WHICH IS A WEB-BASED
COMPUTER APPLICATION FOR FILING OVER THE INTERNET, to process the state-
ments of campaign receipts, contributions, transfers and expenditures
required to be filed with [any] THE STATE board of elections pursuant to
the provisions of sections 14-102 and 14-104 of this chapter;
(b) prescribe the information required in the form for each statement
to be filed;
(c) establish a training program on the electronic reporting process
and make it available to any such candidate or committee, INCLUDING BUT
NOT LIMITED TO THE DEVELOPMENT AND IMPLEMENTATION OF AN INTERNET-BASED
CAMPAIGN FINANCE DISCLOSURE TRAINING PROGRAM. SUCH CAMPAIGN FINANCE
DISCLOSURE TRAINING PROGRAM SHALL INCLUDE NEW YORK STATE SPECIFIC INFOR-
MATION AND INSTRUCTIONS TO ENABLE CANDIDATES AND COMMITTEES TO COMPLY
WITH THE FINANCIAL DISCLOSURE REQUIREMENTS IN ARTICLE FOURTEEN OF THIS
CHAPTER AND APPLICABLE REGULATIONS;
A. 7488--A 4
(d) make the electronic reporting process available to any such candi-
date or committee which is required to file or which agrees to file such
statements by such electronic reporting process;
(e) cause all information contained in such a statement filed with the
state board of elections which is not on such electronic reporting
system to be entered into such system as soon as practicable but in no
event later than ten business days after its receipt by the state board
of elections; and
(f) make all data COLLECTED from THE electronic reporting process
REQUIRED BY THIS SECTION available at all times on the internet.
12. monitor the adequacy and effectiveness of the election laws and
report thereon [at least] annually to the governor and the legislature.
SUCH REPORT SHALL INCLUDE A SUMMARY SETTING FORTH THE NUMBER OF
COMPLAINTS RECEIVED AND INVESTIGATIONS CONDUCTED BY THE STATE BOARD OF
ELECTIONS AND THE NUMBER AND NATURE OF ACTIONS COMMENCED AND ALL MATTERS
RESOLVED AND PENALTIES IMPOSED BY THE COURTS DURING THE PRECEDING TWELVE
MONTH PERIOD;
16. administer the administrative complaint procedure as provided for
in section 3-105 of this [article.] TITLE;
17. HEAR AND CONSIDER THE RECOMMENDATIONS OF THE STATE BOARD OF
ELECTIONS ENFORCEMENT UNIT REGARDING THE ENFORCEMENT OF VIOLATIONS OF
ARTICLE FOURTEEN OF THIS CHAPTER OR RECOMMENDATIONS REGARDING IMMUNITY
MADE IN CONNECTION WITH AN INVESTIGATION CONDUCTED PURSUANT TO SECTION
3-104 OF THIS TITLE;
18. perform such other acts as may be necessary to carry out the
purposes of this chapter.
S 5. Section 3-104 of the election law is REPEALED and a new section
3-104 is added to read as follows:
S 3-104. STATE BOARD OF ELECTIONS ENFORCEMENT UNIT. 1. THERE SHALL BE
A UNIT KNOWN AS THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT ESTAB-
LISHED WITHIN THE STATE BOARD OF ELECTIONS.
2. THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT SHALL HAVE SOLE
AUTHORITY WITHIN THE STATE BOARD OF ELECTIONS TO INVESTIGATE ALLEGED
VIOLATIONS OF ARTICLE FOURTEEN OF THIS CHAPTER AND ALL COMPLAINTS ALLEG-
ING ARTICLE FOURTEEN VIOLATIONS SHALL BE FORWARDED TO THIS UNIT. NOTH-
ING IN THIS SECTION SHALL BE CONSTRUED TO DIMINISH OR ALTER THE STATE
BOARD OF ELECTIONS ENFORCEMENT UNIT'S JURISDICTION PURSUANT TO THIS
CHAPTER.
3. UPON RECEIPT OF A COMPLAINT AND SUPPORTING INFORMATION ALLEGING A
VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, THE STATE BOARD OF
ELECTIONS ENFORCEMENT UNIT SHALL ANALYZE THE COMPLAINT TO DETERMINE IF
AN INVESTIGATION SHOULD BE UNDERTAKEN. THE STATE BOARD OF ELECTIONS
ENFORCEMENT UNIT SHALL, IF NECESSARY, REQUEST ADDITIONAL INFORMATION
FROM THE COMPLAINANT TO ASSIST IT IN MAKING THIS DETERMINATION. SUCH
ANALYSIS SHALL CONSIST OF A TWO PRONG TEST: FIRST, WHETHER THE ALLEGA-
TIONS, IF TRUE, WOULD CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF THIS
CHAPTER AND, SECOND, WHETHER THE ALLEGATIONS ARE SUPPORTED BY CREDIBLE
EVIDENCE.
4. IF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT
THE ALLEGATIONS, IF TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE
FOURTEEN OF THIS CHAPTER OR THAT THE ALLEGATIONS ARE NOT SUPPORTED BY
CREDIBLE EVIDENCE, IT SHALL ISSUE A LETTER TO THE COMPLAINANT DISMISSING
THE COMPLAINT.
5. IF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT
THE ALLEGATIONS, IF TRUE, WOULD CONSTITUTE A VIOLATION OF ARTICLE FOUR-
TEEN OF THIS CHAPTER AND THAT THE ALLEGATIONS APPEAR TO BE SUPPORTED BY
A. 7488--A 5
CREDIBLE EVIDENCE, IT SHALL PUBLICLY REPORT ITS INTENT TO COMMENCE AN
INVESTIGATION TO THE STATE BOARD OF ELECTIONS NO LATER THAN THE BOARD'S
NEXT REGULARLY SCHEDULED MEETING. SUCH REPORT SHALL SUMMARIZE THE RELE-
VANT FACTS AND THE APPLICABLE LAW AND SHALL TO THE EXTENT POSSIBLE,
MAINTAIN THE CONFIDENTIALITY OF THE COMPLAINANT AND THE INDIVIDUAL
SUBJECT TO THE COMPLAINT.
6. IF, UPON CONSIDERING THE ENFORCEMENT UNIT'S RECOMMENDATION TO
COMMENCE AN INVESTIGATION, THE STATE BOARD OF ELECTIONS BELIEVES THAT
THE ALLEGATIONS, IF TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE
FOURTEEN OF THIS CHAPTER, OR THE ALLEGATIONS ARE NOT SUPPORTED BY CREDI-
BLE EVIDENCE OR, THAT ON BALANCE, THE EQUITIES FAVOR A DISMISSAL OF THE
COMPLAINT, THE BOARD SHALL PUBLICLY DIRECT THAT AN INVESTIGATION NOT BE
UNDERTAKEN. IN DETERMINING WHETHER THE EQUITIES FAVOR A DISMISSAL OF THE
COMPLAINT, THE STATE BOARD OF ELECTIONS SHALL CONSIDER THE FOLLOWING
FACTORS: (A) WHETHER THE COMPLAINT ALLEGES A DE MINIMUS VIOLATION OF
ARTICLE FOURTEEN OF THIS CHAPTER; OR (B) WHETHER THE SUBJECT OF THE
COMPLAINT HAS MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION; OR (C)
WHETHER THE SUBJECT OF THE COMPLAINT HAS A HISTORY OF SIMILAR
VIOLATIONS. DETERMINATIONS OF THE STATE BOARD OF ELECTIONS TO DISMISS A
COMPLAINT AND NOT PROCEED WITH A FORMAL INVESTIGATION SHALL BE VOTED
UPON AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT
AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW,
AND SHALL BE MADE ON A FAIR AND EQUITABLE BASIS AND WITHOUT REGARD TO
THE STATUS OF THE SUBJECT OF THE COMPLAINT.
7. ABSENT A DETERMINATION BY THE STATE BOARD OF ELECTIONS THAT AN
INVESTIGATION SHALL NOT BE UNDERTAKEN, THE STATE BOARD OF ELECTIONS
ENFORCEMENT UNIT SHALL COMMENCE AN INVESTIGATION ON A TIMELY BASIS. IF
THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT ADDITIONAL
INVESTIGATIVE POWERS, AS PROVIDED FOR IN SUBDIVISIONS FOUR, FIVE AND SIX
OF SECTION 3-102 OF THIS TITLE, ARE NEEDED TO COMPLETE ITS INVESTI-
GATION, IT SHALL REQUEST SUCH ADDITIONAL POWERS FROM THE STATE BOARD OF
ELECTIONS. SUCH POWERS SHALL BE GRANTED BY THE BOARD IN PUBLIC, AS
PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE, ONLY WHEN
THE BOARD FINDS THAT FURTHER INVESTIGATION IS WARRANTED AND JUSTIFIED.
8. AT THE CONCLUSION OF ITS INVESTIGATION, THE STATE BOARD OF
ELECTIONS ENFORCEMENT UNIT SHALL PROVIDE THE STATE BOARD OF ELECTIONS
WITH A WRITTEN RECOMMENDATION AS TO: (A) WHETHER SUBSTANTIAL REASON
EXISTS TO BELIEVE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER HAS
OCCURRED AND, IF SO, THE NATURE OF THE VIOLATION, AND THE APPROPRIATE
PENALTY, AS DEFINED IN SECTION 14-126 OF THIS CHAPTER, BASED ON THE
NATURE OF THE VIOLATION; AND (B) WHETHER A REFERRAL SHOULD BE MADE TO A
DISTRICT ATTORNEY OR THE STATE ATTORNEY GENERAL PURSUANT TO SUBDIVISION
TEN OF THIS SECTION BECAUSE SUBSTANTIAL REASON EXISTS TO BELIEVE A
VIOLATION WARRANTING CRIMINAL PROSECUTION HAS TAKEN PLACE.
9. THE STATE BOARD OF ELECTIONS SHALL ACCEPT, MODIFY OR REJECT THE
STATE BOARD OF ELECTIONS ENFORCEMENT UNIT RECOMMENDATION AS PROVIDED IN
SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING
PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW. IN MAKING ITS
DETERMINATION, THE BOARD SHALL AGAIN CONSIDER: (A) WHETHER THE COMPLAINT
ALLEGES A DE MINIMUS VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER; OR
(B) WHETHER THE SUBJECT OF THE COMPLAINT HAS MADE A GOOD FAITH EFFORT TO
CORRECT THE VIOLATION; OR (C) WHETHER THE SUBJECT OF THE COMPLAINT HAS A
HISTORY OF SIMILAR VIOLATIONS. ALL SUCH DETERMINATIONS SHALL BE VOTED
UPON AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT
AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW,
A. 7488--A 6
AND SHALL BE MADE ON A FAIR AND EQUITABLE BASIS, WITHOUT REGARD TO THE
STATUS OF THE SUBJECT OF THE COMPLAINT.
10. (A) IF THE STATE BOARD OF ELECTIONS CONCLUDES, AS PROVIDED IN
SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING
PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, THAT SUBSTANTIAL
REASON EXISTS TO BELIEVE THAT A VIOLATION OF SUBDIVISION ONE OF SECTION
14-126 OF THIS CHAPTER HAS OCCURRED, OR (B) IF THE STATE BOARD OF
ELECTIONS CONCLUDES, AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF
THIS TITLE AT AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC
OFFICERS LAW, THAT SUBSTANTIAL REASON EXISTS TO BELIEVE THAT A PERSON,
ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL COMMITTEE UNDER
CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW, HAS UNLAWFULLY (I)
ACCEPTED A MONETARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION
ESTABLISHED IN ARTICLE FOURTEEN OF THIS CHAPTER, (II) EXPENDED CAMPAIGN
FUNDS FOR A PERSONAL USE IN VIOLATION OF SECTION 14-130 OF THIS CHAPTER,
OR (III) IN THE CASE OF A POLITICAL COMMITTEE, CONDUCTED ACTIVITIES
PROHIBITED BY ARTICLE FOURTEEN OF THIS CHAPTER, WHICH COULD WARRANT A
CIVIL PENALTY AS PROVIDED FOR IN SUBDIVISION TWO OF SECTION 14-126 OF
THIS CHAPTER, THE BOARD SHALL DIRECT THE COMMENCEMENT OF A SPECIAL
PROCEEDING IN THE SUPREME COURT PURSUANT TO SECTION 16-120 OF THIS CHAP-
TER. IF THE STATE BOARD OF ELECTIONS CONCLUDES, AS PROVIDED IN SUBDIVI-
SION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING PURSUANT TO
ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, THAT SUBSTANTIAL REASON EXISTS
TO BELIEVE A VIOLATION WARRANTING CRIMINAL PROSECUTION HAS TAKEN PLACE,
THE BOARD SHALL REFER THE MATTER TO A DISTRICT ATTORNEY OR THE STATE
ATTORNEY GENERAL AND SHALL MAKE AVAILABLE TO SUCH DISTRICT ATTORNEY OR
THE STATE ATTORNEY GENERAL ALL PAPERS, DOCUMENTS, TESTIMONY AND FINDINGS
RELEVANT TO ITS INVESTIGATION.
11. UPON NOTIFICATION THAT A SPECIAL PROCEEDING HAS BEEN COMMENCED BY
A PARTY OTHER THAN THE STATE BOARD OF ELECTIONS, PURSUANT TO SECTION
16-114 OF THIS CHAPTER, THE STATE BOARD OF ELECTIONS SHALL DIRECT THE
STATE BOARD OF ELECTIONS ENFORCEMENT UNIT TO INVESTIGATE THE ALLEGED
VIOLATIONS UNLESS OTHERWISE DIRECTED BY THE COURT.
12. THE STATE BOARD OF ELECTIONS SHALL PROMULGATE RULES AND REGU-
LATIONS CONSISTENT WITH LAW TO EFFECTUATE THE PROVISIONS OF THIS
SECTION.
S 6. The election law is amended by adding a new section 3-111 to read
as follows:
S 3-111. PERSONAL USE OF CAMPAIGN FUNDS. 1. UPON WRITTEN REQUEST FROM
ANY PERSON WHO IS SUBJECT TO THE REQUIREMENTS OF SECTION 14-130 OF THIS
CHAPTER, THE STATE BOARD OF ELECTIONS SHALL RENDER FORMAL OPINIONS ON
THE REQUIREMENTS OF SAID SECTION. AN OPINION RENDERED BY THE BOARD,
UNTIL AND UNLESS AMENDED OR REVOKED, SHALL BE BINDING ON THE BOARD IN
ANY SUBSEQUENT PROCEEDING CONCERNING THE PERSON WHO REQUESTED THE OPIN-
ION AND WHO ACTED IN GOOD FAITH, UNLESS MATERIAL FACTS WERE OMITTED OR
MISSTATED BY THE PERSON IN THE REQUEST FOR AN OPINION. SUCH OPINION MAY
ALSO BE RELIED UPON BY SUCH PERSON, AND MAY BE INTRODUCED AND SHALL BE A
DEFENSE IN ANY CRIMINAL OR CIVIL ACTION. SUCH REQUEST SHALL BE CONFIDEN-
TIAL, BUT THE BOARD SHALL PUBLISH SUCH OPINIONS PROVIDED THAT THE NAME
OF THE REQUESTING PERSON AND OTHER IDENTIFYING DETAILS SHALL NOT BE
INCLUDED IN THE PUBLICATION.
2. THE BOARD MAY, UPON A WRITTEN REQUEST INVOLVING THE SAME FACTS
ADDRESSED IN A PRIOR FORMAL OPINION, ISSUE A WRITTEN STATEMENT DIRECTING
THAT THE PRIOR FORMAL OPINION MAY BE RELIED UPON IN THE SAME MANNER AS
PROVIDED IN SUBDIVISION ONE OF THIS SECTION.
A. 7488--A 7
S 7. The election law is amended by adding a new section 3-228 to read
as follows:
S 3-228. STATE BOARD OF ELECTIONS WEBSITE; PUBLIC ACCESS. EVERY BOARD
OF ELECTIONS SHALL MAKE AT LEAST ONE COMPUTER AVAILABLE TO THE PUBLIC,
INCLUDING CANDIDATES FOR PUBLIC OFFICE OR PARTY POSITION, FOR THE
PURPOSE OF ACCESSING THE STATE BOARD OF ELECTIONS WEBSITE. SUCH ACCESS
SHALL ALLOW CANDIDATES TO FILE THEIR STATEMENTS OF CAMPAIGN RECEIPTS,
CONTRIBUTIONS, TRANSFERS AND EXPENDITURES AS REQUIRED BY SECTION 14-110
OF THIS CHAPTER.
S 8. Subdivision 1 of section 14-100 of the election law, as amended
by chapter 71 of the laws of 1988, is amended and six new subdivisions
12, 13, 14, 15, 16 and 17 are added to read as follows:
1. "political committee" means any corporation aiding or promoting and
any committee, political club or combination of one or more persons
operating or co-operating to aid or to promote the success or defeat of
a political party or principle, or of any ballot proposal; or to aid or
take part in the election or defeat of a candidate for public office or
to aid or take part in the election or defeat of a candidate for nomi-
nation at a primary election or convention, including all proceedings
prior to such primary election, or of a candidate for any party position
voted for at a primary election, or to aid or defeat the nomination by
petition of an independent candidate for public office; OR ANY POLITICAL
ACTION COMMITTEE ESTABLISHED, FINANCED, MAINTAINED OR CONTROLLED BY ANY
CORPORATION, LABOR ORGANIZATION, OR ANY OTHER PERSON; but nothing in
this article shall apply to any committee or organization for the
discussion or advancement of political questions or principles without
connection with any vote or to a national committee organized for the
election of presidential or vice-presidential candidates; provided,
however, that a person or corporation making a contribution or contrib-
utions to a candidate or a political committee which has filed pursuant
to section 14-118 OF THIS ARTICLE shall not, by that fact alone, be
deemed to be a political committee as herein defined.
12. "CANDIDATE FOR LOCAL PUBLIC OFFICE" MEANS A CANDIDATE FOR ANY
PUBLIC OFFICE OTHER THAN: (A) A PUBLIC OFFICE TO BE VOTED ON BY THE
VOTERS OF THE ENTIRE STATE; (B) STATE SENATOR; OR (C) MEMBER OF THE
ASSEMBLY.
13. "CANDIDATE FOR STATE PUBLIC OFFICE" MEANS A CANDIDATE FOR: (A) A
PUBLIC OFFICE TO BE VOTED ON BY THE VOTERS OF THE ENTIRE STATE; (B)
STATE SENATOR; OR (C) MEMBER OF THE ASSEMBLY.
14. "LABOR ORGANIZATION" MEANS ANY ORGANIZATION OF ANY KIND WHICH
EXISTS FOR THE PURPOSE, IN WHOLE OR IN PART, OF REPRESENTING EMPLOYEES
EMPLOYED WITHIN THE STATE OF NEW YORK IN DEALING WITH EMPLOYERS OR
EMPLOYER ORGANIZATIONS OR WITH A STATE GOVERNMENT, OR ANY POLITICAL OR
CIVIL SUBDIVISION OR OTHER AGENCY THEREOF, CONCERNING TERMS AND CONDI-
TIONS OF EMPLOYMENT, GRIEVANCES, LABOR DISPUTES, OR OTHER MATTERS INCI-
DENTAL TO THE EMPLOYMENT RELATIONSHIP. FOR THE PURPOSES OF THIS ARTICLE,
EACH PARENT NATIONAL OR INTERNATIONAL ORGANIZATION OF A STATEWIDE LABOR
ORGANIZATION, AND EACH STATEWIDE FEDERATION RECEIVING DUES FROM SUBSID-
IARY LABOR ORGANIZATIONS, SHALL BE CONSIDERED A SEPARATE LABOR ORGANIZA-
TION.
15. "BUSINESS DEALINGS WITH THE STATE" MEANS ANY CONTRACT, AS SUCH
TERM IS DEFINED IN SUBDIVISION SIXTEEN OF THIS SECTION, WHICH IS FOR THE
PROCUREMENT OF GOODS, SERVICES OR CONSTRUCTION THAT IS ENTERED INTO OR
IN EFFECT WITH THE STATE OR ANY AGENCY OR ENTITY OF THE STATE; OR (A)
ANY ACQUISITION OR DISPOSITION OF REAL PROPERTY WITH THE STATE OR ANY
A. 7488--A 8
AGENCY OR ENTITY OF THE STATE; OR (B) ANY CONCESSION OR ANY FRANCHISE
FROM THE STATE OR ANY AGENCY OR ENTITY OF THE STATE.
16. "CONTRACT" MEANS ANY AGREEMENT BETWEEN AN AGENCY, THE STATE OR
AGENCY OR ENTITY OF THE STATE OR ELECTED OFFICIAL AND A CONTRACTOR, OR
ANY AGREEMENT BETWEEN SUCH A CONTRACTOR AND A SUBCONTRACTOR, WHICH (A)
IS FOR THE PROVISION OF GOODS, SERVICES OR CONSTRUCTION AND HAS A VALUE
THAT WHEN AGGREGATED WITH THE VALUES OF ALL OTHER SUCH AGREEMENTS WITH
THE SAME CONTRACTOR OR SUBCONTRACTOR AND ANY FRANCHISES OR CONCESSIONS
AWARDED TO SUCH CONTRACTOR OR SUBCONTRACTOR DURING THE IMMEDIATELY
PRECEDING TWELVE-MONTH PERIOD IS VALUED AT ONE HUNDRED THOUSAND DOLLARS
OR MORE; OR (B) IS FOR THE PROVISION OF GOODS, SERVICES OR CONSTRUCTION,
IS AWARDED TO A SOLE SOURCE AND IS VALUED AT TEN THOUSAND DOLLARS OR
MORE; OR (C) IS A CONCESSION AND HAS A VALUE THAT WHEN AGGREGATED WITH
THE VALUE OF ALL OTHER CONTRACTS HELD BY THE SAME CONCESSIONAIRE IS
VALUED AT ONE HUNDRED THOUSAND DOLLARS OR MORE; OR (D) IS A FRANCHISE.
17. "DOING BUSINESS DATABASE" MEANS A COMPUTERIZED DATABASE ACCESSIBLE
TO THE BOARD THAT CONTAINS THE NAMES OF PERSONS WHO HAVE BUSINESS DEAL-
INGS WITH THE STATE. SUCH DATABASE SHALL BE DEVELOPED, MAINTAINED AND
UPDATED BY THE BOARD OF ELECTIONS IN A MANNER SO AS TO ENSURE ITS
REASONABLE ACCURACY AND COMPLETENESS; PROVIDED, HOWEVER, THAT IN NO
EVENT SHALL SUCH DATABASE BE UPDATED LESS FREQUENTLY THAN ONCE A MONTH.
SUCH COMPUTERIZED DATABASE SHALL CONTAIN A FUNCTION TO ENABLE MEMBERS OF
THE PUBLIC TO DETERMINE IF A GIVEN PERSON IS IN THE DATABASE BECAUSE
SUCH PERSON HAS BUSINESS DEALINGS WITH THE STATE. FOR PURPOSES OF THIS
SUBDIVISION, THE TERM "PERSON" SHALL INCLUDE AN ENTITY THAT HAS BUSINESS
DEALINGS WITH THE STATE, ANY CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL
OFFICER AND/OR CHIEF OPERATING OFFICER OF SUCH ENTITY OR PERSONS SERVING
IN AN EQUIVALENT CAPACITY, ANY PERSON EMPLOYED IN A SENIOR MANAGERIAL
CAPACITY REGARDING SUCH ENTITY, OR ANY PERSON WITH AN INTEREST IN SUCH
ENTITY WHICH EXCEEDS TEN PERCENT OF THE ENTITY. FOR PURPOSES OF THIS
SUBDIVISION, THE TERM "SENIOR MANAGERIAL CAPACITY" SHALL MEAN A HIGH
LEVEL SUPERVISORY CAPACITY, EITHER BY VIRTUE OF TITLE OR DUTIES, IN
WHICH SUBSTANTIAL DISCRETION AND OVERSIGHT IS EXERCISED OVER THE SOLIC-
ITATION, LETTING OR ADMINISTRATION OF BUSINESS TRANSACTIONS WITH THE
STATE, INCLUDING CONTRACTS, FRANCHISES, CONCESSIONS, GRANTS, ECONOMIC
DEVELOPMENT AGREEMENTS AND APPLICATIONS FOR LAND USE APPROVALS.
S 9. Subdivisions 1, 3 and 4 of section 14-102 of the election law,
subdivisions 1 and 3 as amended by chapter 8 of the laws of 1978, subdi-
vision 1 as redesignated by chapter 9 of the laws of 1978, subdivision 3
as renumbered by chapter 70 of the laws of 1983 and subdivision 4 as
amended by chapter 406 of the laws of 2005, are amended to read as
follows:
1. The treasurer of every political committee which, or any officer,
member or agent of any such committee who, in connection with any
election, receives or expends any money or other [valuable thing] ITEM
OF VALUE or incurs any liability to pay money or its equivalent shall
file statements sworn, or subscribed and bearing a form notice that
false statements made therein are punishable as a class A misdemeanor
pursuant to section 210.45 of the penal law, at the times prescribed by
this article setting forth all the receipts, contributions to and the
expenditures by and liabilities of the committee, and of its officers,
members and agents in its behalf. Such statements shall include the
dollar amount of any receipt, contribution or transfer, or the fair
market value of any receipt, contribution or transfer, which is other
than of money, the name [and], address AND OCCUPATION of the transferor,
contributor or person from whom received, OTHER THAN IN THE REGULAR
A. 7488--A 9
COURSE OF A LENDER'S BUSINESS, THE NAME AND ADDRESS OF SUCH PERSON'S
EMPLOYER, AND BUSINESS ADDRESS OF EACH INDIVIDUAL, POLITICAL COMMITTEE
OR OTHER ENTITY MAKING SUCH CONTRIBUTION, OR ANY LOAN, GUARANTEE, OR
OTHER SECURITY FOR SUCH A LOAN and if the transferor, contributor or
person is a political committee; the name of and the political unit
represented by the committee, the date of its receipt, the dollar amount
of every expenditure, the name and address of the person to whom it was
made or the name of and the political unit represented by the committee
to which it was made and the date thereof, and shall state clearly the
purpose of such expenditure. IF ANY ONE EXPENDITURE IS MADE FOR MORE
THAN ONE PURPOSE, OR AS PAYMENT FOR GOODS OR SERVICES SUPPLIED BY MORE
THAN ONE SUPPLIER, SUCH STATEMENT SHALL SET FORTH SEPARATELY EACH SUCH
PURPOSE OR SUPPLIER AND THE AMOUNT EXPENDED FOR EACH SUCH PURPOSE OR TO
EACH SUCH SUPPLIER. Any statement reporting a loan shall have attached
to it a copy of the evidence of indebtedness. Expenditures in sums
under fifty dollars need not be specifically accounted for by separate
items in said statements, and receipts and contributions aggregating not
more than ninety-nine dollars, from any one contributor need not be
specifically accounted for by separate items in said statements,
provided however, that such expenditures, receipts and contributions
shall be subject to the other provisions of section 14-118 of this arti-
cle.
3. The state board of elections shall promulgate regulations with
respect to the accounting methods to be applied IN COMPLYING WITH, AND
in preparing the statements required by, the provisions of this article
and shall provide forms suitable for such statements. SUCH REGULATIONS
SHALL BE DRAWN TO ASSURE SUCH COMPLIANCE AND OBTAIN THE MAXIMUM POSSIBLE
DISCLOSURE.
4. Any committee which is required to file statements with [any] THE
STATE board of elections pursuant to this article and which raises or
spends or expects to raise or spend more than one thousand dollars in
any calendar year shall file all such statements pursuant to the elec-
tronic reporting system prescribed by the state board of elections as
set forth in subdivision nine-A of section 3-102 of this chapter.
Notwithstanding the provisions of this subdivision, upon the filing of a
sworn statement by the treasurer of a political committee which states
that such political committee does not have access to the technology
necessary to comply with the electronic filing requirements of subdivi-
sion nine-A of section 3-102 of this chapter and that filing by such
means would constitute a substantial hardship for such political commit-
tee, the state board of elections may issue an exemption from the elec-
tronic filing requirements of this article.
S 10. Subdivision 5 of section 14-102 of the election law is REPEALED.
S 11. Subdivisions 1 and 2 of section 14-104 of the election law,
subdivision 1 as amended by chapter 430 of the laws of 1997 and subdivi-
sion 2 as amended by chapter 406 of the laws of 2005, are amended to
read as follows:
1. Any candidate for election to public office, or for nomination for
public office at a contested primary election or convention, or for
election to a party position at a primary election, shall file state-
ments sworn, or subscribed and bearing a form notice that false state-
ments made therein are punishable as a class A misdemeanor pursuant to
section 210.45 of the penal law, at the times prescribed by this article
setting forth the particulars specified by section 14-102 of this arti-
cle, as to all moneys or other valuable things, paid, given, expended or
promised by him OR HER to aid his OR HER own nomination or election, or
A. 7488--A 10
to promote the success or defeat of a political party, or to aid or
influence the nomination or election or the defeat of any other candi-
date to be voted for at the election or primary election or at a conven-
tion, including contributions to political committees, officers, members
or agents thereof, and transfers, receipts and contributions to him OR
HER to be used for any of the purposes above specified, or in lieu ther-
eof, any such candidate may file such a sworn statement at the first
filing period, on a form prescribed by the state board of elections that
such candidate has made no such expenditures and does not intend to make
any such expenditures, except through a political committee authorized
by such candidate pursuant to this article. A committee authorized by
such a candidate may fulfill all of the filing requirements of this
[act] ARTICLE on behalf of such candidate.
2. Statements filed by any political committee authorized by a candi-
date pursuant to this article which is required to file such statements
with [any] THE STATE board of elections and which raises or spends or
expects to raise or spend more than one thousand dollars in any calendar
year shall file all such statements pursuant to the electronic reporting
system prescribed by the state board of elections as set forth in subdi-
vision nine-A of section 3-102 of this chapter. Notwithstanding the
provisions of this subdivision, upon the filing of a sworn statement by
the treasurer of a political committee authorized by a candidate pursu-
ant to this article which states that such committee does not have
access to the technology necessary to comply with the electronic filing
requirements of subdivision nine-A of section 3-102 of this chapter and
that filing by such means would constitute a substantial hardship for
such committee, the state board of elections may issue an exemption from
the electronic filing requirements of this article.
S 12. Subdivision 3 of section 14-104 of the election law is REPEALED.
S 13. Section 14-106 of the election law, as amended by chapter 8 of
the laws of 1978, is amended to read as follows:
S 14-106. Political [advertisements and literature] COMMUNICATION;
FILING AND IDENTIFICATION. 1. The statements required to be filed under
the provisions of this article next succeeding a primary, general or
special election shall be accompanied by a facsimile or copy of all
advertisements, pamphlets, circulars, flyers, brochures, letterheads and
other printed matter purchased or produced [and], a schedule of all
radio or television time, and scripts used therein, SCRIPTS OF TELEPHON-
IC CALLS, AND REPRODUCTIONS OF STATEMENTS OR INFORMATION CONVEYED BY
COMPUTER OR OTHER ELECTRONIC DEVICE TO FIVE HUNDRED OR MORE RECIPIENTS
purchased in connection with such election by or under the authority of
the person filing the statement or the committee or the person on whose
behalf it is filed, as the case may be. Such facsimiles, copies, sched-
ules and scripts shall be preserved by the officer with whom or the
board with which it is required to be filed for a period of one year
from the date of filing thereof.
2. WHENEVER ANY PERSON MAKES AN EXPENDITURE THAT COSTS MORE THAN ONE
THOUSAND DOLLARS IN AGGREGATE FOR THE PURPOSE OF FINANCING, OR OTHERWISE
PUBLISHES OR DISTRIBUTES, COMMUNICATIONS EXPRESSLY ADVOCATING THE
ELECTION OR DEFEAT OF A CLEARLY IDENTIFIED CANDIDATE OR THE APPROVAL OR
DISAPPROVAL OF A BALLOT PROPOSAL, SUCH COMMUNICATION:
(A) IF PAID FOR AND AUTHORIZED BY A CANDIDATE, AN AUTHORIZED POLITICAL
COMMITTEE OF A CANDIDATE, OR ITS AGENTS, SHALL CLEARLY STATE THAT THE
COMMUNICATION HAS BEEN PAID FOR BY SUCH CANDIDATE, AUTHORIZED POLITICAL
COMMITTEE, OR AGENT; OR
A. 7488--A 11
(B) IF PAID FOR BY OTHER PERSONS BUT AUTHORIZED BY A CANDIDATE, AN
AUTHORIZED POLITICAL COMMITTEE OF A CANDIDATE, OR ITS AGENTS, SHALL
CLEARLY STATE THAT THE COMMUNICATION IS PAID FOR BY SUCH OTHER PERSONS
AND AUTHORIZED BY SUCH CANDIDATE, AUTHORIZED POLITICAL COMMITTEE, OR
AGENT.
(C) FOR PURPOSES OF THIS SUBDIVISION, THE TERM "PERSON" INCLUDES AN
INDIVIDUAL OR ANY OTHER ORGANIZATION OR GROUP OF PERSONS.
3. WHENEVER ANY POLITICAL COMMITTEE MAKES AN EXPENDITURE THAT COSTS
MORE THAN ONE THOUSAND DOLLARS IN AGGREGATE FOR THE PURPOSE OF FINANC-
ING, OR OTHERWISE PUBLISHES OR DISTRIBUTES, COMMUNICATIONS EXPRESSLY
ADVOCATING, THE ELECTION OR DEFEAT OF A CLEARLY IDENTIFIED CANDIDATE OR
THE APPROVAL OR DISAPPROVAL OF A BALLOT PROPOSAL AND SUCH COMMUNICATION
IS NOT AUTHORIZED BY A CANDIDATE, AN AUTHORIZED POLITICAL COMMITTEE OF A
CANDIDATE, OR ITS AGENTS, SUCH COMMUNICATION SHALL CLEARLY STATE THE
NAME OF THE POLITICAL COMMITTEE WHO PAID FOR, OR OTHERWISE PUBLISHED OR
DISTRIBUTED, THE COMMUNICATION AND STATE, WITH RESPECT TO COMMUNICATIONS
REGARDING CANDIDATES, THAT THE COMMUNICATION IS NOT AUTHORIZED BY ANY
CANDIDATE OR CANDIDATE'S COMMITTEE.
4. FOR PURPOSES OF THIS SECTION, THE FOLLOWING TERMS SHALL HAVE THE
FOLLOWING MEANINGS:
(A) THE TERM "CLEARLY IDENTIFIED" MEANS THAT:
(I) THE NAME OF THE CANDIDATE INVOLVED APPEARS;
(II) A PHOTOGRAPH OR DRAWING OF THE CANDIDATE APPEARS; OR
(III) THE IDENTITY OF THE CANDIDATE IS APPARENT BY UNAMBIGUOUS REFER-
ENCE.
(B) THE TERM "COMMUNICATION" INCLUDES ANY ADVERTISEMENTS, PAMPHLETS,
CIRCULARS, FLYERS, BROCHURES, LETTERHEADS OR OTHER PRINTED MATTER, RADIO
OR TELEVISION BROADCASTS, TELEPHONIC CALLS AND STATEMENTS OR INFORMATION
CONVEYED BY COMPUTER OR OTHER ELECTRONIC DEVICES TO FIVE HUNDRED OR MORE
RECIPIENTS.
5. A KNOWING AND WILLFUL VIOLATION OF THE PROVISIONS OF THIS SECTION
SHALL CONSTITUTE A CLASS A MISDEMEANOR.
S 13-a. The election law is amended by adding a new section 14-107 to
read as follows:
S 14-107. INDEPENDENT EXPENDITURE REPORTING. 1. FOR PURPOSES OF THIS
ARTICLE:
A. "INDEPENDENT EXPENDITURE" MEANS AN EXPENDITURE BY A PERSON OR ENTI-
TY WHICH: (I) EXPRESSLY ADVOCATES THE ELECTION OR DEFEAT OF A CLEARLY
IDENTIFIED CANDIDATE, AND (II) THAT IS NOT MADE IN CONCERT OR COOPER-
ATION WITH OR AT THE REQUEST OR SUGGESTION OF SUCH CANDIDATE, THE CANDI-
DATE'S COMMITTEE OR THEIR AGENTS, OR A POLITICAL PARTY COMMITTEE OR ITS
AGENTS.
B. "ELECTIONEERING COMMUNICATION" MEANS ANY BROADCAST, CABLE OR SATEL-
LITE COMMUNICATION WHICH REFERS TO A CLEARLY IDENTIFIED CANDIDATE FOR
STATE OR LOCAL OFFICE MADE WITHIN SIXTY DAYS BEFORE A GENERAL ELECTION
OR THIRTY DAYS BEFORE A PRIMARY OR SPECIAL ELECTION WHICH PROMOTES OR
SUPPORTS A CANDIDATE FOR AN OFFICE OR ATTACKS OR OPPOSES A CANDIDATE FOR
THAT OFFICE (REGARDLESS OF WHETHER THE COMMUNICATION EXPRESSLY ADVOCATES
A VOTE FOR OR AGAINST A CANDIDATE) AND WHICH IS SUGGESTIVE OF NO PLAUSI-
BLE MEANING OTHER THAN AN EXHORTATION TO VOTE FOR OR AGAINST A SPECIFIC
CANDIDATE. AN "ELECTIONEERING COMMUNICATION" DOES NOT INCLUDE:
(I) A COMMUNICATION APPEARING IN A NEWS STORY, COMMENTARY, OR EDITORI-
AL DISTRIBUTED THROUGH THE FACILITIES OF ANY BROADCASTING STATION,
UNLESS SUCH FACILITIES ARE OWNED OR CONTROLLED BY ANY POLITICAL PARTY,
POLITICAL COMMITTEE OR CANDIDATE;
A. 7488--A 12
(II) A COMMUNICATION THAT CONSTITUTES AN EXPENDITURE MADE BY AN ENTITY
REQUIRED TO REPORT SUCH EXPENDITURE WITH THE STATE BOARD OF ELECTIONS;
(III) A COMMUNICATION THAT CONSTITUTES A CANDIDATE DEBATE OR FORUM;
(IV) ANY OTHER COMMUNICATION WHICH HAS NO ELECTIONEERING PURPOSE OF
EFFECT EXEMPTED UNDER REGULATIONS PROMULGATED BY THE STATE BOARD OF
ELECTIONS; AND
(V) A COMMUNICATION THAT DOES NOT REACH FIFTY THOUSAND PERSONS OR
POTENTIALLY REACH FIFTEEN PERCENT OF THE HOUSEHOLDS IN THE JURISDICTION
IN WHICH THE CANDIDATE IS SEEKING AN OFFICE OR IN WHICH THERE IS A
BALLOT PROPOSAL, WHICHEVER IS LESS.
2. ANY PERSON OR ENTITY WHICH MAKES INDEPENDENT EXPENDITURES OR ELEC-
TIONEERING COMMUNICATIONS THAT COST MORE THAN ONE THOUSAND DOLLARS IN
AGGREGATE, SHALL REPORT SUCH INDEPENDENT EXPENDITURES AND ELECTIONEERING
COMMUNICATIONS AND THE EXPENDITURES THEREFOR TO THE STATE BOARD OF
ELECTIONS ON STATEMENTS AS PROVIDED FOR IN SECTION 14-108 OF THIS ARTI-
CLE. ANY INDEPENDENT EXPENDITURE OR ELECTIONEERING COMMUNICATION MADE
AFTER THE CLOSE OF THE PERIOD TO BE COVERED IN THE LAST STATEMENT FILED
BEFORE ANY PRIMARY, GENERAL OR SPECIAL ELECTION BUT BEFORE SUCH
ELECTION, SHALL BE REPORTED WITHIN TWENTY-FOUR HOURS AFTER BEING
CONDUCTED.
3. EACH SUCH STATEMENT SHALL INCLUDE THE DOLLAR AMOUNT OF EACH GIFT,
SUBSCRIPTION, OUTSTANDING LOAN, ADVANCE, OR DEPOSIT OF MONEY OR ANY
THING OF VALUE, INCLUDING SERVICES, RELATED TO INDEPENDENT EXPENDITURES
OR ELECTIONEERING COMMUNICATIONS, AS WELL AS THE NAME AND ADDRESS OF THE
PERSON OR ENTITY PROVIDING SUCH AND THE DATE OF SAME.
4. EACH SUCH STATEMENT SHALL INCLUDE THE DOLLAR AMOUNT OF EACH EXPEND-
ITURE RELATED TO INDEPENDENT EXPENDITURES OR ELECTIONEERING COMMUNI-
CATIONS, AS WELL AS THE NAME AND ADDRESS OF THE PERSON OR ENTITY TO
WHICH SUCH EXPENDITURE IS MADE, THE DATE OF THE EXPENDITURE AND THE
PURPOSE OF SUCH EXPENDITURE.
5. ANY STATEMENT REPORTING A LOAN SHALL CONTAIN THE SAME INFORMATION
AS IF IT WERE AN EXPENDITURE, RECEIPT OR THING OF VALUE. IT SHALL ALSO
PROVIDE EVIDENCE OF THE INDEBTEDNESS.
6. NOTWITHSTANDING SECTION 14-106 OF THIS ARTICLE, EVERY SUCH STATE-
MENT REPORTED PURSUANT TO SUBDIVISION TWO OF THIS SECTION SHALL BE
ACCOMPANIED BY A FACSIMILE OR COPY OF ALL MATERIALS RELATED TO THE INDE-
PENDENT EXPENDITURE OR ELECTIONEERING COMMUNICATIONS TO BE REPORTED,
INCLUDING, BUT NOT LIMITED TO, ADVERTISEMENTS, PAMPHLETS, CIRCULARS,
FLYERS, BROCHURES OR ANY OTHER PRINTED MATERIAL PURCHASED OR PRODUCED, A
SCHEDULE OF ALL RADIO OR TELEVISION TIME, SCRIPTS USED THEREIN, AND A
TRUE AND AUTHENTIC COPY OF THE ELECTIONEERING COMMUNICATION AIRED,
BROADCAST OR OTHERWISE DISSEMINATED. EACH POST-ELECTION STATEMENT FILED
PURSUANT TO SUBDIVISION TWO OF THIS SECTION SHALL CONTAIN ALL SUCH MATE-
RIALS LISTED IN THIS SUBDIVISION FOR THE ELECTION TO WHICH IT PERTAINS.
7. SUCH STATEMENTS SHALL ALSO CONTAIN THE FOLLOWING INFORMATION:
A. THE ELECTIONS TO WHICH THE INDEPENDENT EXPENDITURE OR ELECTIONEER-
ING COMMUNICATIONS PERTAIN AND THE NAMES (IF KNOWN) OF THE CANDIDATES OR
POLITICAL PARTY IDENTIFIED OR TO BE IDENTIFIED;
B. IF THE DISBURSEMENTS WERE PAID OUT OF A SEGREGATED BANK ACCOUNT
WHICH CONSISTS OF FUNDS CONTRIBUTED DIRECTLY TO THIS ACCOUNT FOR INDE-
PENDENT EXPENDITURE OR ELECTIONEERING COMMUNICATIONS, THE NAMES AND
ADDRESSES OF ALL CONTRIBUTORS WHO CONTRIBUTED AN AGGREGATE AMOUNT OF ONE
HUNDRED DOLLARS OR MORE TO THAT ACCOUNT DURING THE PERIOD BEGINNING ON
THE FIRST DAY OF THE PRECEDING CALENDAR YEAR AND ENDING ON THE DISCLO-
SURE DATE; AND
A. 7488--A 13
C. IF THE DISBURSEMENTS WERE PAID OUT OF FUNDS NOT DESCRIBED IN PARA-
GRAPH B OF THIS SUBDIVISION, THE NAMES AND ADDRESSES OF ALL CONTRIBUTORS
WHO CONTRIBUTED AN AGGREGATE AMOUNT OF ONE HUNDRED DOLLARS OR MORE TO
THE PERSON MAKING THE DISBURSEMENT DURING THE PERIOD BEGINNING ON THE
FIRST DAY OF THE PRECEDING CALENDAR YEAR AND ENDING ON THE DISCLOSURE
DATE.
8. FOR PURPOSES OF THIS SECTION, AN EXPENDITURE SHALL BE TREATED AS
HAVING BEEN MADE UPON THE EXECUTION OF A CONTRACT TO MAKE THE EXPENDI-
TURE.
9. EVERY STATEMENT REQUIRED TO BE FILED PURSUANT TO THIS SECTION SHALL
BE FILED BY ELECTRONIC REPORTING PROCESS TO THE STATE BOARD OF
ELECTIONS.
10. THE STATE BOARD OF ELECTIONS SHALL PROMULGATE REGULATIONS WITH
RESPECT TO THE STATEMENTS REQUIRED TO BE FILED BY THIS SECTION AND SHALL
PROVIDE FORMS SUITABLE FOR SUCH STATEMENTS.
S 14. Subdivision 1 of section 14-108 of the election law, as amended
by chapter 955 of the laws of 1983, is amended to read as follows:
1. The statements required by this article shall be filed at such
times as the state board of elections, by rule or regulation, shall
specify; provided, however, that in no event shall the board provide for
fewer than three filings in the aggregate in connection with any prima-
ry, general or special election, or in connection with a question to be
voted on and two of said filings shall be before any such election,
including one such filing not less than thirty days nor more than
forty-five days prior to such election and one such filing not less than
eleven days nor more than fifteen days prior to such election. In addi-
tion, the board shall provide that every political committee which has
filed a statement of treasurer and depository shall make [at least] one
filing [every six months between the time such statement of treasurer
and depository is filed and the time such committee goes out of busi-
ness] ON JANUARY THIRTY-FIRST, ONE FILING ON APRIL THIRTIETH AND ONE
FILING ON JULY THIRTY-FIRST OF EACH YEAR. If any candidate or committee
shall be required by the provisions of this section, or by rule or regu-
lation hereunder, to effect two filings within a period of five days,
the state board of elections may, by rule or regulation, waive the
requirement of filing the earlier of such statements. If a statement
filed by a candidate or committee after the election to which it
pertains is not a final statement showing satisfaction of all liabil-
ities and disposition of all assets, such candidate or committee shall
file such additional statements as the board shall, by rule or regu-
lation provide until such a final statement is filed.
S 15. Subdivision 6 of section 14-108 of the election law, as amended
by chapter 323 of the laws of 1977 and as redesignated by chapter 9 of
the laws of 1978, is amended and a new subdivision 8 is added to read as
follows:
6. [A] ALL STATEMENTS REQUIRED TO BE FILED DURING THE PERIOD OF
FIFTEEN DAYS BEFORE ANY ELECTION SHALL BE FILED ELECTRONICALLY;
PROVIDED, HOWEVER ANY CANDIDATE OR COMMITTEE THAT HAS BEEN GRANTED AN
EXEMPTION FROM ELECTRONIC FILING BY THE STATE BOARD OF ELECTIONS SHALL
FILE SUCH STATEMENTS BY GUARANTEED OVERNIGHT DELIVERY THROUGH THE UNITED
STATES POSTAL SERVICE, OR SOME OTHER OVERNIGHT DELIVERY SERVICE. SUCH A
statement SENT BY GUARANTEED OVERNIGHT DELIVERY shall be deemed properly
filed when deposited [in an established post-office within the
prescribed time, duly stamped, certified and directed to the officer
with whom or to the board with which the statement is required to be
filed] WITH THE UNITED STATES POSTAL SERVICE OR OTHER OVERNIGHT DELIVERY
A. 7488--A 14
SERVICE, but in the event it is not received, a duplicate of such state-
ment shall be promptly filed upon notice by [such officer or such] THE
STATE board of its non-receipt.
8. IN THE CASE OF AN UNEXPECTED EXTREME HARDSHIP NOT IN THE CONTROL OF
A PERSON REQUIRED TO FILE STATEMENTS REQUIRED BY THIS ARTICLE, SUCH
PERSON MAY SUBMIT A WRITTEN REQUEST FOR A WAIVER OF THE STATUTORY DEAD-
LINE FOR SUCH FILING FROM THE STATE BOARD OF ELECTIONS PRIOR TO SUCH
DEADLINE. ANY WAIVER GRANTED PURSUANT TO THIS SUBDIVISION SHALL BE
LIMITED TO NO MORE THAN TEN DAYS.
S 16. Section 14-110 of the election law is REPEALED and a new section
14-110 is added to read as follows:
S 14-110. PLACE FOR FILING STATEMENTS. ALL STATEMENTS REQUIRED BY THIS
ARTICLE SHALL BE FILED WITH THE STATE BOARD OF ELECTIONS.
S 17. Section 14-112 of the election law, as amended by chapter 930 of
the laws of 1981, is amended to read as follows:
S 14-112. [Political] AUTHORIZED COMMITTEE; POLITICAL committee
authorization statement. 1. Any political committee aiding or taking
part in the election or nomination of any candidate, other than by
making contributions, shall file, [in the office in which the statements
of such committee are to be filed pursuant to this article] WITH THE
STATE BOARD OF ELECTIONS, either a sworn verified statement by the trea-
surer of such committee AND THE CANDIDATE that [the] SUCH candidate has
authorized the political committee to aid or take part in his OR HER
election or A SWORN VERIFIED STATEMENT BY THE TREASURER OF SUCH COMMIT-
TEE that the candidate has not authorized the committee to aid or take
part in his OR HER election.
2. NO CANDIDATE MAY AUTHORIZE MORE THAN TWO POLITICAL COMMITTEES FOR
ANY ONE PUBLIC OFFICE OR PARTY POSITION IN A PARTICULAR ELECTION. ANY
CANDIDATE WHO, ON JANUARY FIRST, TWO THOUSAND ELEVEN, HAS AUTHORIZED
MORE THAN TWO POLITICAL COMMITTEES FOR ANY ONE PUBLIC OFFICE OR PARTY
POSITION IN A PARTICULAR ELECTION SHALL, NOT LATER THAN THIRTY DAYS
AFTER SAID DATE, CLOSE ALL BUT TWO OF SUCH COMMITTEES AND TRANSFER
EXISTING FUNDS TO SUCH CANDIDATE'S REMAINING COMMITTEE OR COMMITTEES FOR
THE SAME PUBLIC OFFICE OR PARTY POSITION IN A PARTICULAR ELECTION. THIS
SUBDIVISION SHALL NOT APPLY TO THE AUTHORIZATION OF AN EXPLORATORY
COMMITTEE BY AN ELECTED PUBLIC OFFICIAL. A MULTI-CANDIDATE COMMITTEE MAY
NOT BE AN AUTHORIZED COMMITTEE.
3. NO INDIVIDUAL OR ENTITY, INCLUDING BUT NOT LIMITED TO, A CORPO-
RATION, LIMITED LIABILITY COMPANY, PROFESSIONAL LIMITED LIABILITY COMPA-
NY, PARTNERSHIP OR LABOR ORGANIZATION, MAY AUTHORIZE OR DESIGNATE MORE
THAN ONE POLITICAL ACTION COMMITTEE. ANY INDIVIDUAL OR ENTITY, INCLUD-
ING BUT NOT LIMITED TO, A CORPORATION, LIMITED LIABILITY COMPANY,
PROFESSIONAL LIMITED LIABILITY COMPANY, PARTNERSHIP OR LABOR ORGANIZA-
TION, THAT, ON JANUARY FIRST, TWO THOUSAND ELEVEN, HAS AUTHORIZED OR
DESIGNATED MORE THAN ONE POLITICAL ACTION COMMITTEE SHALL, NOT LATER
THAN THIRTY DAYS AFTER SAID DATE, CLOSE ALL BUT ONE POLITICAL ACTION
COMMITTEE AND TRANSFER EXISTING FUNDS TO THE REMAINING COMMITTEE. NO
INDIVIDUAL MAY SERVE AS THE TREASURER OF, OR BE AUTHORIZED TO EXPEND
FUNDS ON BEHALF OF, MORE THAN ONE POLITICAL ACTION COMMITTEE.
S 18. Subdivision 1 of section 14-114 of the election law, as amended
by chapter 79 of the laws of 1992, paragraphs a and b as amended by
chapter 659 of the laws of 1994, is amended to read as follows:
1. The following limitations apply to all contributions to candidates
for election to any public office or for nomination for any such office,
INCLUDING AN UNOPPOSED NOMINATION, or for election to any party posi-
tions, and to all contributions to political committees working directly
A. 7488--A 15
or indirectly with any candidate to aid or participate in such candi-
date's nomination or election[, other than any contributions to any
party committee or constituted committee]:
a. In any election for (I) a public office to be voted on by the
voters of the entire state, (II) A STATE SENATOR, OR (III) A MEMBER OF
THE ASSEMBLY, or for nomination to any such office, INCLUDING AN UNOP-
POSED NOMINATION, no contributor may make a contribution to any candi-
date or political committee, and no candidate or political committee may
accept any contribution from any contributor, which is in the aggregate
amount greater than[: (i) in the case of any nomination to public
office, the product of the total number of enrolled voters in the candi-
date's party in the state, excluding voters in inactive status, multi-
plied by $.005, but such amount shall be not less than four thousand
dollars nor more than twelve thousand dollars as increased or decreased
by the cost of living adjustment described in paragraph c of this subdi-
vision, and (ii) in the case of any election to a public office, twen-
ty-five thousand dollars as increased or decreased by the cost of living
adjustment described in paragraph c of this subdivision; provided howev-
er, that the maximum amount which may be so contributed or accepted, in
the aggregate, from any candidate's child, parent, grandparent, brother
and sister, and the spouse of any such persons, shall not exceed in the
case of any nomination to public office an amount equivalent to the
product of the number of enrolled voters in the candidate's party in the
state, excluding voters in inactive status, multiplied by $.025, and in
the case of any election for a public office, an amount equivalent to
the product of the number of registered voters in the state excluding
voters in inactive status, multiplied by $.025.] (1) SEVEN THOUSAND FIVE
HUNDRED DOLLARS FOR A PUBLIC OFFICE TO BE VOTED ON BY VOTERS OF THE
ENTIRE STATE; (2) FIVE THOUSAND DOLLARS FOR A STATE SENATOR; AND (3) TWO
THOUSAND THREE HUNDRED DOLLARS FOR A MEMBER OF THE ASSEMBLY. THE AGGRE-
GATE LIMITATION SET FORTH IN THIS PARAGRAPH, WHICH SHALL APPLY SEPARATE-
LY FOR EACH ELECTION OR NOMINATION FOR EACH PUBLIC OFFICE LISTED IN THIS
SECTION SHALL BE INCREASED OR DECREASED BY THE COST OF LIVING ADJUSTMENT
DESCRIBED IN PARAGRAPH C OF THIS SUBDIVISION.
b. [In] EXCEPT FOR ELECTIONS CONDUCTED PURSUANT TO CHAPTER SEVEN OF
TITLE THREE OF THE ADMINISTRATIVE CODE OF THE CITY OF NEW YORK, IN any
other election for party position or for election to a public office or
for nomination for any such office, no contributor may make a contrib-
ution to any candidate or political committee and no candidate or poli-
tical committee may accept any contribution from any contributor, which
is in the aggregate amount greater than: (i) in the case of any election
for party position, or for nomination to public office, the product of
the total number of enrolled voters in the candidate's party in the
district in which he is a candidate, excluding voters in inactive
status, multiplied by $.05, and (ii) in the case of any election for a
public office, the product of the total number of registered voters in
the district, excluding voters in inactive status, multiplied by $.05,
PROVIDED however [in the case of a nomination within the city of New
York for the office of mayor, public advocate or comptroller, such
amount shall be not less than four thousand dollars nor more than twelve
thousand dollars as increased or decreased by the cost of living adjust-
ment described in paragraph c of this subdivision; in the case of an
election within the city of New York for the office of mayor, public
advocate or comptroller, twenty-five thousand dollars as increased or
decreased by the cost of living adjustment described in paragraph c of
this subdivision; in the case of a nomination for state senator, four
A. 7488--A 16
thousand dollars as increased or decreased by the cost of living adjust-
ment described in paragraph c of this subdivision; in the case of an
election for state senator, six thousand two hundred fifty dollars as
increased or decreased by the cost of living adjustment described in
paragraph c of this subdivision; in the case of an election or nomi-
nation for a member of the assembly, twenty-five hundred dollars as
increased or decreased by the cost of living adjustment described in
paragraph c of this subdivision; but], in no event shall any such maxi-
mum exceed [fifty] TWO thousand THREE HUNDRED dollars or be less than
one thousand dollars[; provided however, that the maximum amount which
may be so contributed or accepted, in the aggregate, from any candi-
date's child, parent, grandparent, brother and sister, and the spouse of
any such persons, shall not exceed in the case of any election for party
position or nomination for public office an amount equivalent to the
number of enrolled voters in the candidate's party in the district in
which he is a candidate, excluding voters in inactive status, multiplied
by $.25 and in the case of any election to public office, an amount
equivalent to the number of registered voters in the district, excluding
voters in inactive status, multiplied by $.25; or twelve hundred fifty
dollars, whichever is greater, or in the case of a nomination or
election of a state senator, twenty thousand dollars, whichever is
greater, or in the case of a nomination or election of a member of the
assembly twelve thousand five hundred dollars, whichever is greater, but
in no event shall any such maximum exceed one hundred thousand dollars].
THE AGGREGATE LIMITATIONS SET FORTH IN THIS PARAGRAPH, WHICH SHALL APPLY
SEPARATELY FOR EACH ELECTION OR NOMINATION FOR PARTY POSITION OR PUBLIC
OFFICE LISTED IN THIS SECTION, SHALL BE INCREASED OR DECREASED BY THE
COST OF LIVING ADJUSTMENT SET FORTH IN PARAGRAPH C OF THIS SUBDIVISION.
c. At the beginning of each [fourth] SECOND calendar year, commencing
in [nineteen hundred ninety-five] TWO THOUSAND THIRTEEN, the state board
shall determine the percentage of the difference between the [most
recent available monthly] consumer price index for all urban consumers
published by the United States bureau of labor statistics and such
consumer price index published for the same month [four] TWO years
previously. The amount of each contribution limit fixed in this subdivi-
sion shall be adjusted by the amount of such percentage difference to
the closest one hundred dollars by the state board which, not later than
the first day of February in each such year, shall issue a regulation
publishing the amount of each such contribution limit. Each contribution
limit as so adjusted shall be the contribution limit in effect for any
election held before the next such adjustment.
S 19. Subdivision 8 of section 14-114 of the election law, as amended
by chapter 8 of the laws of 1978 and as redesignated by chapter 9 of the
laws of 1978, is amended to read as follows:
8. A. (I) Except as may otherwise be provided [for] BY a candidate
[and his family] FOR HIS OR HER OWN CAMPAIGN, no NATURAL person may
contribute, loan or guarantee in excess of one hundred [fifty] thousand
dollars within the state: (A) in connection with the nomination or
election of [persons to] CANDIDATES FOR state [and] OR local public
offices [and] OR party positions within the state of New York in any one
calendar year[.]; OR (B) TO PARTY COMMITTEES OR CONSTITUTED COMMITTEES,
INCLUDING, BUT NOT LIMITED TO, MONIES RECEIVED TO MAINTAIN A PERMANENT
HEADQUARTERS AND STAFF AND CARRY ON ORDINARY ACTIVITIES WHICH ARE NOT
FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDIDACY OF SPECIFIC CANDI-
DATES.
A. 7488--A 17
(II) NO LABOR ORGANIZATION MAY CONTRIBUTE, LOAN OR GUARANTEE IN EXCESS
OF ONE HUNDRED THOUSAND DOLLARS WITHIN THE STATE OF NEW YORK IN ANY ONE
CALENDAR YEAR: (A) IN CONNECTION WITH THE NOMINATION OR ELECTION OF
CANDIDATES FOR STATE PUBLIC OFFICES OR PARTY POSITIONS; OR (B) TO PARTY
COMMITTEES OR CONSTITUTED COMMITTEES, INCLUDING, BUT NOT LIMITED TO,
MONIES RECEIVED TO MAINTAIN A PERMANENT HEADQUARTERS AND STAFF AND CARRY
ON ORDINARY ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOT-
ING THE CANDIDACY OF SPECIFIC CANDIDATES.
(III) NO POLITICAL ACTION COMMITTEE ESTABLISHED, FINANCED, MAINTAINED
OR CONTROLLED BY ANY CORPORATION OR ANY OTHER PERSON, MAY CONTRIBUTE,
LOAN OR GUARANTEE, DIRECTLY OR INDIRECTLY (INCLUDING THROUGH A CONTRIB-
UTION OF FUNDS TO ANOTHER POLITICAL ACTION COMMITTEE), IN EXCESS OF
THREE HUNDRED THOUSAND DOLLARS WITHIN THE STATE OF NEW YORK IN ANY ONE
CALENDAR YEAR: (A) IN CONNECTION WITH THE NOMINATION OR ELECTION OF
CANDIDATES FOR STATE PUBLIC OFFICES OR PARTY POSITIONS; OR (B) TO PARTY
COMMITTEES OR CONSTITUTED COMMITTEES, INCLUDING, BUT NOT LIMITED TO,
MONIES RECEIVED TO MAINTAIN A PERMANENT HEADQUARTERS AND STAFF AND CARRY
ON ORDINARY ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOT-
ING THE CANDIDACY OF SPECIFIC CANDIDATES.
(IV) NO POLITICAL ACTION COMMITTEE ESTABLISHED, FINANCED, MAINTAINED
OR CONTROLLED BY ANY LABOR ORGANIZATION MAY CONTRIBUTE, LOAN OR GUARAN-
TEE, DIRECTLY OR INDIRECTLY (INCLUDING THROUGH A CONTRIBUTION OF FUNDS
TO ANOTHER POLITICAL ACTION COMMITTEE), IN EXCESS OF THREE HUNDRED FIFTY
THOUSAND DOLLARS WITHIN THE STATE OF NEW YORK IN ANY ONE CALENDAR YEAR:
(A) IN CONNECTION WITH THE NOMINATION OR ELECTION OF CANDIDATES FOR
STATE PUBLIC OFFICES OR PARTY POSITIONS; OR (B) PARTY COMMITTEES OR
CONSTITUTED COMMITTEES, INCLUDING, BUT NOT LIMITED TO, MONIES RECEIVED
TO MAINTAIN A PERMANENT HEADQUARTERS AND STAFF AND CARRY ON ORDINARY
ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDI-
DACY OF SPECIFIC CANDIDATES.
(V) For the purposes of this subdivision "loan" or "guarantee" shall
mean a loan or guarantee which is not repaid or discharged in the calen-
dar year in which it is made.
B. AT THE BEGINNING OF EACH FOURTH CALENDAR YEAR, COMMENCING IN TWO
THOUSAND FIFTEEN, THE STATE BOARD SHALL DETERMINE THE PERCENTAGE OF THE
DIFFERENCE BETWEEN THE MOST RECENT AVAILABLE MONTHLY CONSUMER PRICE
INDEX FOR ALL URBAN CONSUMERS PUBLISHED BY THE UNITED STATES BUREAU OF
LABOR STATISTICS AND SUCH CONSUMER PRICE INDEX PUBLISHED FOR THE SAME
MONTH FOUR YEARS PREVIOUSLY. THE AMOUNT OF SUCH CONTRIBUTION LIMIT FIXED
IN SUBPARAGRAPH (II) OF PARAGRAPH A OF THIS SUBDIVISION SHALL BE
ADJUSTED BY THE AMOUNT OF SUCH PERCENTAGE DIFFERENCE TO THE CLOSEST ONE
HUNDRED DOLLARS BY THE STATE BOARD, WHICH, NOT LATER THAN THE FIRST DAY
OF FEBRUARY IN EACH SUCH YEAR, SHALL ISSUE A REGULATION PUBLISHING THE
AMOUNT OF SUCH CONTRIBUTION LIMIT. SUCH CONTRIBUTION LIMIT AS SO
ADJUSTED SHALL BE THE CONTRIBUTION LIMIT IN EFFECT FOR ANY ELECTION HELD
BEFORE THE NEXT SUCH ADJUSTMENT.
S 20. Subdivision 10 of section 14-114 of the election law, as added
by chapter 79 of the laws of 1992, is amended to read as follows:
10. a. No contributor may make a contribution to a party or consti-
tuted committee and no such committee may accept a contribution from any
contributor which, in the aggregate, is greater than sixty-two thousand
five hundred dollars per annum.
b. At the beginning of each fourth calendar year, commencing in nine-
teen hundred ninety-five, the state board shall determine the percentage
of the difference between the most recent available monthly consumer
price index for all urban consumers published by the United States
A. 7488--A 18
bureau of labor statistics and such consumer price index published for
the same month four years previously. The amount of such contribution
limit fixed in paragraph a of this subdivision shall be adjusted by the
amount of such percentage difference to the closest one hundred dollars
by the state board which, not later than the first day of February in
each such year, shall issue a regulation publishing the amount of such
contribution limit. Such contribution limit as so adjusted shall be the
contribution limit in effect for any election held before the next such
adjustment. NOTWITHSTANDING THE PROVISIONS OF PARAGRAPH A OF THIS
SECTION, NO NATURAL PERSON, POLITICAL ACTION COMMITTEE, OR LABOR ORGAN-
IZATION MAY MAKE A CONTRIBUTION TO A PARTY OR CONSTITUTED COMMITTEE AND
NO SUCH COMMITTEE MAY ACCEPT A CONTRIBUTION FROM ANY NATURAL PERSON,
POLITICAL ACTION COMMITTEE, OR LABOR ORGANIZATION WHICH, IN THE AGGRE-
GATE, IS GREATER THAN FIFTY THOUSAND DOLLARS PER ANNUM.
C. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION THREE OF SECTION
14-124 OF THIS ARTICLE, NO NATURAL PERSON OR ENTITY, INCLUDING BUT NOT
LIMITED TO A POLITICAL ACTION COMMITTEE, CORPORATION, LIMITED LIABILITY
COMPANY, PROFESSIONAL LIMITED LIABILITY COMPANY, PARTNERSHIP OR LABOR
ORGANIZATION, MAY MAKE AGGREGATE CONTRIBUTIONS EXCEEDING FIFTY THOUSAND
DOLLARS PER ANNUM TO PARTY COMMITTEES OR CONSTITUTED COMMITTEES FOR THE
PURPOSE OF ALLOWING SUCH PARTY COMMITTEES OR CONSTITUTED COMMITTEES TO
MAINTAIN PERMANENT HEADQUARTERS AND STAFF AND CARRY ON ORDINARY ACTIV-
ITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDIDACY
OF SPECIFIC CANDIDATES. NO PARTY COMMITTEE OR CONSTITUTED COMMITTEE MAY
ACCEPT SUCH CONTRIBUTIONS FROM ANY NATURAL PERSON OR ENTITY, INCLUDING
BUT NOT LIMITED TO A POLITICAL ACTION COMMITTEE, CORPORATION, LIMITED
LIABILITY COMPANY, PROFESSIONAL LIMITED LIABILITY COMPANY, PARTNERSHIP
OR LABOR ORGANIZATION, WHERE SUCH CONTRIBUTIONS ARE MADE AND ACCEPTED
FOR PURPOSES OF ALLOWING SUCH PARTY COMMITTEES OR CONSTITUTED COMMITTEES
TO MAINTAIN PERMANENT HEADQUARTERS AND STAFF AND CARRY ON ORDINARY
ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDI-
DACY OF SPECIFIC CANDIDATES.
S 21. The election law is amended by adding a new section 14-115 to
read as follows:
S 14-115. RESTRICTIONS ON POLITICAL CONTRIBUTIONS BY LOBBYISTS. 1. IN
ANY ELECTION FOR STATE OFFICE, OR FOR NOMINATION TO ANY SUCH OFFICE, NO
LOBBYIST REQUIRED TO REGISTER UNDER SECTION ONE-E OF THE LEGISLATIVE LAW
AND NO MEMBER OF SUCH LOBBYIST'S HOUSEHOLD MAY MAKE A CONTRIBUTION
GREATER THAN FOUR HUNDRED DOLLARS TO ANY PERSON, INCLUDING A POLITICAL
COMMITTEE OR PARTY COMMITTEE, FOR NOMINATION OR ELECTION TO ANY STATE
OFFICE.
2. NO CANDIDATE OR POLITICAL COMMITTEE MAY ACCEPT ANY CONTRIBUTION
GREATER THAN FOUR HUNDRED DOLLARS FROM ANY LOBBYIST REGISTERED UNDER
SECTION ONE-E OF THE LEGISLATIVE LAW OR MEMBER OF SUCH LOBBYIST'S HOUSE-
HOLD.
S 22. Subdivisions 1 and 2 of section 14-116 of the election law,
subdivision 1 as redesignated by chapter 9 of the laws of 1978 and
subdivision 2 as amended by chapter 260 of the laws of 1981, are amended
and two new subdivisions 3 and 4 are added to read as follows:
1. No [corporation or] joint-stock association, LIMITED LIABILITY
COMPANY, PROFESSIONAL LIMITED LIABILITY COMPANY, OR PARTNERSHIP doing
business in this state, except [a corporation or association] AN ENTITY
organized or maintained for political purposes only, shall directly or
indirectly pay or use or offer, consent or agree to pay or use any money
or property for or in aid of any political party, committee or organiza-
tion, or for, or in aid of, any [corporation,] joint-stock or other
A. 7488--A 19
association, LIMITED LIABILITY COMPANY, PROFESSIONAL LIMITED LIABILITY
COMPANY, OR PARTNERSHIP organized or maintained for political purposes,
or for, or in aid of, any candidate for political office or for nomi-
nation for such office, or for any political purpose whatever, or for
the reimbursement or indemnification of any person for moneys or proper-
ty so used. Any [officer, director, stock-holder] MEMBER, SHAREHOLDER,
PARTNER, attorney or agent of any [corporation or] joint-stock associ-
ation, LIMITED LIABILITY COMPANY, PROFESSIONAL LIMITED LIABILITY COMPA-
NY, OR PARTNERSHIP which violates any of the provisions of this section,
who participates in, aids, abets or advises or consents to any such
violations, and any person who solicits or knowingly receives any money
or property in violation of this section, shall be guilty of a misdemea-
nor.
2. [Notwithstanding the provisions of subdivision one of this section,
any corporation or an organization financially supported in whole or in
part, by such corporation may make expenditures, including contrib-
utions, not otherwise prohibited by law, for political purposes, in an
amount not to exceed five thousand dollars in the aggregate in any
calendar year; provided that no public utility shall use revenues
received from the rendition of public service within the state for
contributions for political purposes unless such cost is charged to the
shareholders of such a public service corporation.] ANY CORPORATION: (A)
MAY ONLY MAKE EXPENDITURES, INCLUDING CONTRIBUTIONS, NOT OTHERWISE
PROHIBITED BY LAW, FOR POLITICAL PURPOSES, IN AN AMOUNT NOT TO EXCEED
FIVE THOUSAND DOLLARS IN THE AGGREGATE IN ANY CALENDAR YEAR; PROVIDED
THAT NO PUBLIC UTILITY SHALL USE REVENUES RECEIVED FROM THE RENDITION OF
PUBLIC SERVICE WITHIN THE STATE FOR CONTRIBUTIONS FOR POLITICAL PURPOSES
UNLESS SUCH COST IS CHARGED TO THE SHAREHOLDERS OF EACH PUBLIC SERVICE
CORPORATION; OR (B) MAY ONLY AUTHORIZE OR DESIGNATE A POLITICAL ACTION
COMMITTEE TO SUPPORT CANDIDATES OR OTHER POLITICAL COMMITTEES, SUBJECT
TO THE AGGREGATE CONTRIBUTION LIMIT APPLICABLE TO POLITICAL ACTION
COMMITTEES PURSUANT TO SUBDIVISION EIGHT OF SECTION 14-114 OF THIS ARTI-
CLE.
3. FOR THE PURPOSES OF SUBDIVISION TWO OF THIS SECTION, ALL OF THE
COMPONENT MEMBERS OF A CONTROLLED GROUP OF CORPORATIONS WITHIN THE MEAN-
ING OF SECTION ONE THOUSAND FIVE HUNDRED SIXTY-THREE OF THE INTERNAL
REVENUE CODE OF THE UNITED STATES SHALL BE DEEMED TO BE ONE CORPORATION.
4. ANY LABOR ORGANIZATION: (A) MAY MAKE EXPENDITURES, INCLUDING
CONTRIBUTIONS, NOT OTHERWISE PROHIBITED BY LAW, FOR POLITICAL PURPOSES,
SUBJECT TO THE AGGREGATE CONTRIBUTION LIMIT APPLICABLE TO LABOR ORGAN-
IZATIONS PURSUANT TO SUBDIVISION EIGHT OF SECTION 14-114 OF THIS ARTI-
CLE, OR (B) MAY AUTHORIZE OR DESIGNATE A POLITICAL ACTION COMMITTEE TO
SUPPORT CANDIDATES OR OTHER POLITICAL COMMITTEES, SUBJECT TO THE AGGRE-
GATE CONTRIBUTION LIMIT APPLICABLE TO POLITICAL ACTION COMMITTEES PURSU-
ANT TO SUBDIVISION EIGHT OF SECTION 14-114 OF THIS ARTICLE.
S 23. Subdivision 2 of section 14-120 of the election law is REPEALED.
S 24. Subdivision 3 of section 14-124 of the election law, as amended
by chapter 71 of the laws of 1988, is amended to read as follows:
3. The contribution and receipt limits of this article, EXCEPT FOR THE
CONTRIBUTION AND RECEIPT LIMITATIONS SET FORTH IN SUBDIVISION EIGHT OR
PARAGRAPH C OF SUBDIVISION TEN OF SECTION 14-114 OF THIS ARTICLE, shall
not apply to monies received and expenditures made by a party committee
or constituted committee to maintain a permanent headquarters and staff
and carry on ordinary activities which are not for the express purpose
of promoting the candidacy of specific candidates.
A. 7488--A 20
S 25. Section 14-126 of the election law, as amended by chapter 8 of
the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
1994 and subdivisions 2, 3 and 4 as redesignated by chapter 9 of the
laws of 1978, is amended to read as follows:
S 14-126. Violations; penalties. 1. Any person who fails to file a
statement required to be filed by this article shall be subject to a
civil penalty, not in excess of [five hundred] ONE THOUSAND dollars, to
be recoverable in a special proceeding or civil action to be brought by
the state board of elections [or other board of elections] PURSUANT TO
SECTION 16-114 OF THIS CHAPTER.
2. ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL
COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW,
UNLAWFULLY ACCEPTS A MONETARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION
LIMITATION ESTABLISHED IN THIS ARTICLE, SHALL BE REQUIRED TO REFUND SUCH
EXCESS AMOUNT AND SHALL BE SUBJECT TO A CIVIL PENALTY EQUAL TO TWO TIMES
THE EXCESS AMOUNT PLUS A FINE OF UP TO TEN THOUSAND DOLLARS, TO BE
RECOVERABLE IN A SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE
STATE BOARD OF ELECTIONS PURSUANT TO SECTION 16-120 OF THIS CHAPTER.
3. ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL
COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW,
UNLAWFULLY (A) EXPENDS CAMPAIGN FUNDS FOR A PERSONAL USE IN VIOLATION OF
THIS ARTICLE, OR (B) IN THE CASE OF A POLITICAL COMMITTEE, CONDUCTS
ACTIVITIES PROHIBITED BY THIS ARTICLE, SHALL BE SUBJECT TO A CIVIL
PENALTY, NOT IN EXCESS OF TEN THOUSAND DOLLARS, TO BE RECOVERABLE IN A
SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE STATE BOARD OF
ELECTIONS PURSUANT TO SECTION 16-120 OF THIS CHAPTER.
4. Any person who knowingly and willfully fails to file a statement
required to be filed by this article within ten days after the date
provided for filing such statement or any person who knowingly and will-
fully violates any other provision of this article shall be guilty of a
misdemeanor.
[3.] 5. Any person who knowingly and willfully contributes, accepts or
aids or participates in the acceptance of a contribution in an amount
exceeding an applicable maximum specified in this article shall be guil-
ty of a misdemeanor.
[4.] 6. Any person who shall, acting on behalf of a candidate or poli-
tical committee, knowingly and willfully solicit, organize or coordinate
the formation of activities of one or more unauthorized committees, make
expenditures in connection with the nomination for election or election
of any candidate, or solicit any person to make any such expenditures,
for the purpose of evading the contribution limitations of this article,
shall be guilty of a class E felony.
S 26. Section 14-130 of the election law, as added by chapter 152 of
the laws of 1985, is amended to read as follows:
S 14-130. Campaign funds for personal use. [Contributions] 1.
CAMPAIGN FUNDS received by a candidate or a political committee may ONLY
be expended for [any] lawful [purpose] PURPOSES. Such funds shall not
be converted by any person to a personal use which is unrelated to a
political campaign or the holding of a public office or party position.
2. AS USED IN THIS SECTION, "CAMPAIGN FUNDS" MEANS ANY FUNDS RECEIVED
BY A CANDIDATE OR A POLITICAL COMMITTEE, INCLUDING BUT NOT LIMITED TO
CONTRIBUTIONS AND TRANSFERS FROM ANY SOURCE AND INTEREST RECEIVED AS THE
RESULT OF THE LOAN OR INVESTMENT OF CAMPAIGN FUNDS.
3. NO CAMPAIGN FUNDS SHALL BE USED TO PAY INTEREST ABOVE THE PREVAIL-
ING MARKET RATE OR ANY OTHER FINANCE CHARGES UPON MONIES LOANED TO THE
CAMPAIGN BY SUCH CANDIDATE OR THE SPOUSE OF SUCH CANDIDATE.
A. 7488--A 21
4. NO CAMPAIGN FUNDS SHALL BE USED TO PAY ATTORNEY'S FEES OR ANY COSTS
OF DEFENDING AGAINST CIVIL OR CRIMINAL INVESTIGATION OR PROSECUTION FOR
ALLEGED VIOLATIONS OF FEDERAL, STATE OR LOCAL LAW COMMITTED WHILE HOLD-
ING PUBLIC OFFICE OR PARTY POSITION, OR BEING A CANDIDATE FOR SUCH
OFFICE OR POSITION, UNLESS THE ALLEGED VIOLATION ARISES IN CONNECTION
WITH THE NOMINATION OR ELECTION OF SUCH CANDIDATE TO PUBLIC OFFICE OR
PARTY POSITION, OR THE HOLDING OF A PUBLIC OFFICE OR PARTY POSITION.
5. PROHIBITED PERSONAL USES OF CAMPAIGN FUNDS INCLUDE, BUT ARE NOT
LIMITED TO THE FOLLOWING EXPENDITURES:
(A) ANY RESIDENTIAL OR HOUSEHOLD ITEMS, SUPPLIES OR EXPENDITURES,
INCLUDING MORTGAGE, RENT OR UTILITY PAYMENTS FOR ANY PART OF ANY
PERSONAL RESIDENCE OF A CANDIDATE OR OFFICEHOLDER OR A MEMBER OF THE
CANDIDATE'S OR OFFICEHOLDER'S FAMILY;
(B) MORTGAGE, RENT OR UTILITY PAYMENTS FOR ANY PART OF ANY NON-RESI-
DENTIAL PROPERTY THAT IS OWNED BY A CANDIDATE OR OFFICEHOLDER OR A
MEMBER OF A CANDIDATE'S OR OFFICEHOLDER'S FAMILY AND USED FOR CAMPAIGN
PURPOSES, TO THE EXTENT THE PAYMENTS EXCEED THE FAIR MARKET VALUE OF THE
PROPERTY USAGE;
(C) CLOTHING, OTHER THAN NOVELTY CAMPAIGN RELATED ITEMS;
(D) TUITION PAYMENTS;
(E) CHILDCARE COSTS;
(F) DUES, FEES, OR GRATUITIES AT A COUNTRY CLUB, HEALTH CLUB, RECRE-
ATIONAL FACILITY OR OTHER NONPOLITICAL ORGANIZATION, UNLESS THEY ARE
PART OF A SPECIFIC FUNDRAISING EVENT THAT TAKES PLACE ON THE ORGANIZA-
TION'S PREMISES;
(G) CONSULTATION FEES TO A MEMBER OF A CANDIDATE'S FAMILY OR SALARY
PAYMENTS TO A MEMBER OF A CANDIDATE'S FAMILY, WHERE SUCH SALARY PAYMENTS
EXCEED THE FAIR MARKET VALUE OF THE SERVICES RENDERED;
(H) ADMISSION TO A SPORTING EVENT, CONCERT, THEATER, OR OTHER FORM OF
ENTERTAINMENT, UNLESS PART OF A SPECIFIC CAMPAIGN OR OFFICEHOLDER ACTIV-
ITY;
(I) PAYMENTS FOR EXPENSES RELATING TO THE HOLDING OF PUBLIC OFFICE OR
PARTY POSITION TO THE EXTENT SUCH EXPENSES ARE REIMBURSED BY THE STATE
OR ANY POLITICAL SUBDIVISION OR ANY PRIVATE PARTY;
(J) PAYMENT OF ANY FINES, FEES, OR PENALTIES, EXCEPTING THAT CAMPAIGN
FUNDS MAY BE APPLIED TO PAY ANY FINES, FEES OR PENALTIES ASSESSED
AGAINST A COMMITTEE OR ITS TREASURER PURSUANT TO THIS CHAPTER BY THE
STATE BOARD OF ELECTIONS WHERE THERE IS NO FINDING THAT THE UNDERLYING
VIOLATION WAS KNOWING AND WILLFUL;
(K) VEHICLE PURCHASES OR LEASES WHICH ARE SOLELY FOR PERSONAL
PURPOSES;
(L) TRAVEL EXPENSES RELATING SOLELY TO PERSONAL ACTIVITIES; OR
(M) MEDICAL TREATMENT, THERAPY OR OTHER EXPENDITURES PERSONALLY BENE-
FICIAL TO THE PHYSICAL HEALTH OR WELFARE OF A CANDIDATE OR OFFICER HOLD-
ER.
6. IN THE EVENT THAT AN ITEM OF EXPENSE IS INCURRED FOR BOTH: (A)
PURPOSES RELATING TO A POLITICAL CAMPAIGN, THE HOLDING OF PUBLIC OFFICE
OR PARTY POSITION; AND (B) PERSONAL ACTIVITIES, THE AGGREGATE AMOUNT OF
EXPENSE RELATED TO A POLITICAL CAMPAIGN AND THE HOLDING OF PUBLIC OFFICE
OR PARTY POSITION SHALL BE REPORTED TO THE STATE BOARD OF ELECTIONS IN
THE STATEMENTS OF CAMPAIGN RECEIPTS, CONTRIBUTIONS, TRANSFERS AND
EXPENDITURES REQUIRED BY THIS ARTICLE.
7. (A) NOTWITHSTANDING THIS SECTION, AN INDIVIDUAL WHO DOES NOT HOLD A
PUBLIC OFFICE OR A PARTY POSITION AND IS NOT A DECLARED CANDIDATE FOR
PUBLIC OFFICE OR PARTY POSITION MAY NOT EXPEND CAMPAIGN FUNDS FOR
PERSONAL USE INCLUDING, BUT NOT LIMITED TO, MEALS, ENTERTAINMENT, AND
A. 7488--A 22
SALARIES FOR IMMEDIATE FAMILY MEMBERS; PROVIDED, HOWEVER, NOTHING IN
THIS SUBDIVISION PROHIBITS THE USE OF CAMPAIGN FUNDS TO SUPPORT ONE OR
MORE DECLARED CANDIDATES AS AUTHORIZED BY THIS ARTICLE.
(B) FOR PURPOSES OF THIS SECTION, A "DECLARED CANDIDATE" MEANS AN
INDIVIDUAL WHO HAS FILED WITH THE STATE BOARD OF ELECTIONS BOTH AN
"AUTHORIZATION OR NON-AUTHORIZATION BY A CANDIDATE" FORM PURSUANT TO
SECTION 14-102 OF THIS ARTICLE AND A "COMMITTEE DESIGNATION OF TREASURER
AND DEPOSITORY" FORM PURSUANT TO SECTION 14-118 OF THIS ARTICLE, BOTH OF
WHICH INDICATE THE SPECIFIC OFFICE AND DISTRICT SOUGHT AND THE YEAR OF
THE ELECTION.
S 27. The election law is amended by adding a new section 14-132 to
read as follows:
S 14-132. BUSINESS DEALINGS WITH THE STATE. 1. NOTWITHSTANDING ANY
INCONSISTENT PROVISION OF THIS SECTION, A CANDIDATE OR HIS OR HER PRIN-
CIPAL COMMITTEE MAY NOT ACCEPT, EITHER DIRECTLY OR BY TRANSFER, ANY
CONTRIBUTION OR CONTRIBUTIONS FOR AN ELECTION IN WHICH HE OR SHE IS A
CANDIDATE FROM A NATURAL PERSON WHO HAS BUSINESS DEALINGS WITH THE
STATE, AS THAT TERM IS DEFINED IN SUBDIVISION FIFTEEN OF SECTION 14-100
OF THIS ARTICLE, IF THE AGGREGATE OF SUCH CONTRIBUTIONS TO SUCH CANDI-
DATE FROM SUCH PERSON FOR ALL ELECTIONS IN THE SAME CALENDAR YEAR
EXCEEDS: (A) FOR THE OFFICE OF GOVERNOR, LIEUTENANT GOVERNOR, ATTORNEY
GENERAL OR COMPTROLLER FOUR HUNDRED DOLLARS; (B) FOR SENATE FOUR HUNDRED
DOLLARS; AND (C) FOR MEMBER OF ASSEMBLY FOUR HUNDRED DOLLARS; PROVIDED
THAT A CANDIDATE OR HIS OR HER PRINCIPAL COMMITTEE MAY ACCEPT ADDITIONAL
CONTRIBUTIONS WHICH DO NOT EXCEED ONE-HALF THE AMOUNT OF THE APPLICABLE
LIMITATION FOR AN ADDITIONAL DAY FOR VOTING HELD PURSUANT TO SECTION
3-108 OF THIS CHAPTER, SPECIAL ELECTION TO FILL A VACANCY, DELAYED OR
OTHERWISE POSTPONED ELECTION, OR ELECTION HELD PURSUANT TO COURT ORDER
WHICH IS AN ELECTION AND IN WHICH THE CANDIDATE SEEKS NOMINATION FOR
ELECTION. FOR PURPOSES OF THIS SUBDIVISION, "PERSON" SHALL INCLUDE ANY
CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER AND/OR CHIEF OPERATING
OFFICER OF AN ENTITY WHICH HAS BUSINESS DEALINGS WITH THE STATE, ANY
PERSON EMPLOYED IN A SENIOR MANAGERIAL CAPACITY REGARDING SUCH AN ENTI-
TY, OR ANY PERSON WITH AN INTEREST IN SUCH AN ENTITY WHICH EXCEEDS TEN
PERCENT OF THE ENTITY. FOR PURPOSES OF THIS SUBDIVISION, "SENIOR MANAGE-
RIAL CAPACITY" SHALL HAVE THE SAME MEANING AS SET FORTH IN SUBDIVISION
SEVENTEEN OF SECTION 14-100 OF THIS ARTICLE. NOTWITHSTANDING ANY
PROVISION OF THIS SUBDIVISION, THE LIMITATIONS ON CONTRIBUTIONS
CONTAINED HEREIN SHALL NOT APPLY TO ANY CONTRIBUTION MADE BY A NATURAL
PERSON WHO HAS BUSINESS DEALINGS WITH THE STATE TO A CANDIDATE OR HIS OR
HER PRINCIPAL COMMITTEE WHERE SUCH CANDIDATE IS THE CONTRIBUTOR, OR
WHERE SUCH CANDIDATE IS THE CONTRIBUTOR'S PARENT, SPOUSE, DOMESTIC PART-
NER, SIBLING, CHILD, GRANDCHILD, AUNT, UNCLE, COUSIN, NIECE OR NEPHEW BY
BLOOD OR MARRIAGE.
2. EACH CANDIDATE AND HIS OR HER PRINCIPAL COMMITTEE SHALL INQUIRE OF
EVERY INDIVIDUAL OR ENTITY MAKING A CONTRIBUTION, LOAN, GUARANTEE OR
OTHER SECURITY FOR SUCH LOAN IN EXCESS OF THE AMOUNTS SET FORTH IN
SUBDIVISION ONE OF THIS SECTION, THROUGH A QUESTION, IN A FORM
PRESCRIBED BY THE BOARD OF ELECTIONS, AS TO WHETHER SUCH INDIVIDUAL,
CORPORATION, PARTNERSHIP, POLITICAL COMMITTEE, EMPLOYEE ORGANIZATION OR
OTHER ENTITY HAS BUSINESS DEALINGS WITH THE STATE, AS THAT TERM IS
DEFINED IN SUBDIVISION FIFTEEN OF SECTION 14-100 OF THIS ARTICLE, AND,
IF SO, THE NAME OF THE AGENCY OR ENTITY WITH WHICH SUCH BUSINESS DEAL-
INGS ARE OR WERE CARRIED ON AND THE APPROPRIATE TYPE OR CATEGORY OF SUCH
BUSINESS DEALINGS. SUCH FORM SHALL CONTAIN IN PROMINENT TYPEFACE AND IN
A PROMINENT LOCATION THE STATEMENT "IF A CONTRIBUTOR HAS BUSINESS DEAL-
A. 7488--A 23
INGS WITH THE STATE AS DEFINED IN THE CAMPAIGN FINANCE REFORM ACT OF
2009, SUCH CONTRIBUTOR MAY CONTRIBUTE ONLY UP TO FOUR HUNDRED DOLLARS."
UPON RECEIPT OF THE RESPONSE TO SUCH INQUIRY (INCLUDING ANY FAILURE TO
RESPOND), THE PRINCIPAL COMMITTEE SHALL KEEP A COPY IN ITS RECORDS AND
SHALL REPORT EACH CONTRIBUTION TO THE BOARD ON THE NEXT APPLICABLE
FILING DEADLINE IN ACCORDANCE WITH THE BOARD'S DISCLOSURE SCHEDULE. THE
BOARD SHALL CHECK EACH CONTRIBUTION AGAINST THE DOING BUSINESS DATABASE
AND SHALL NOTIFY THE PRINCIPAL COMMITTEE WITHIN TWENTY DAYS OF THE
REPORTING OF SUCH CONTRIBUTION IF A CONTRIBUTION EXCEEDING THE DOING
BUSINESS CONTRIBUTION LIMITATION SET FORTH IN SUBDIVISION ONE OF THIS
SECTION IS SUBJECT TO SUCH LIMITATIONS OF THIS CHAPTER. NOTWITHSTANDING
ANY PROVISION IN THIS SUBDIVISION, IN THE SIX WEEKS PRECEDING THE
COVERED ELECTION THE BOARD SHALL PROVIDE SUCH NOTIFICATION TO THE PRIN-
CIPAL OR AUTHORIZED COMMITTEE WITHIN THREE BUSINESS DAYS OF THE REPORT-
ING OF SUCH CONTRIBUTION TO THE BOARD IN ACCORDANCE WITH APPLICABLE
REPORTING DEADLINES. IF THE BOARD FAILS TO NOTIFY THE PRINCIPAL COMMIT-
TEE THAT A CONTRIBUTION IS IN EXCESS OF THE LIMITATIONS SET FORTH IN
SUBDIVISION ONE OF THIS SECTION IN ACCORDANCE WITH THIS SUBDIVISION, ANY
SUCH CONTRIBUTION SHALL BE DEEMED VALID FOR PURPOSES OF SUCH LIMITATION
PROVIDED. SUCH PRINCIPAL COMMITTEE SHALL HAVE TWENTY DAYS FROM THE DATE
OF ANY SUCH NOTIFICATION TO RETURN THE AMOUNT OF ANY CONTRIBUTION IN
EXCESS OF THE LIMITATIONS SET FORTH IN SUBDIVISION ONE OF THIS SECTION
TO THE CONTRIBUTOR. NO VIOLATION SHALL ISSUE AND NO PENALTY SHALL BE
IMPOSED WHERE SUCH EXCESS AMOUNT IS POSTMARKED OR DELIVERED WITHIN TWEN-
TY DAYS OF SUCH NOTIFICATION BY THE BOARD AND THE BOARD SHALL NOT DESIG-
NATE A CANDIDATE AS HAVING ACCEPTED A CONTRIBUTION IN EXCESS OF SUCH
LIMITATIONS WHERE SUCH EXCESS HAS BEEN RETURNED IN ACCORDANCE WITH THE
TIME LIMITATIONS SET FORTH HEREIN. FAILURE TO RETURN SUCH EXCESS AMOUNT
IN ACCORDANCE WITH THE PROVISIONS HEREIN SHALL NOT RESULT IN THE BOARD
WITHHOLDING PUBLIC FUNDS FOR WHICH THE PARTICIPATING CANDIDATE'S PRIN-
CIPAL COMMITTEE IS OTHERWISE ELIGIBLE; PROVIDED, HOWEVER, THAT THE BOARD
MAY DEDUCT AN AMOUNT EQUAL TO THE TOTAL UNRETURNED CONTRIBUTIONS IN
EXCESS OF THE LIMITATIONS SET FORTH IN SUBDIVISION ONE OF THIS SECTION
FROM SUCH PAYMENT OF PUBLIC FUNDS. FOR PURPOSES OF THIS SECTION, "INDI-
VIDUAL" SHALL INCLUDE ANY CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFI-
CER, AND/OR CHIEF OPERATING OFFICER OF AN ENTITY OR PERSONS SERVING IN
AN EQUIVALENT CAPACITY, ANY PERSON IN A SENIOR MANAGERIAL CAPACITY
REGARDING AN ENTITY, OR ANY PERSON WITH AN INTEREST IN AN ENTITY, WHICH
EXCEEDS TEN PERCENT OF THE ENTITY. FOR PURPOSES OF THIS SUBDIVISION, THE
PHRASE "SENIOR MANAGERIAL CAPACITY" SHALL MEAN A HIGH LEVEL SUPERVISORY
CAPACITY, EITHER BY VIRTUE OF TITLE OR DUTIES, IN WHICH SUBSTANTIAL
DISCRETION AND OVERSIGHT IS EXERCISED OVER THE SOLICITATION, LETTING OR
ADMINISTRATION OF BUSINESS TRANSACTIONS WITH THE STATE, INCLUDING
CONTRACTS, FRANCHISES, CONCESSIONS, GRANTS, ECONOMIC DEVELOPMENT AGREE-
MENTS, AND APPLICATIONS FOR LAND USE APPROVALS. NOTWITHSTANDING ANY
OTHER PROVISION OF THIS SECTION, NO PARTICIPATING CANDIDATE SHALL BE
LIABLE FOR ANY FINE OR PENALTY FOR THE FAILURE OF ANY CONTRIBUTOR TO
RESPOND TO ANY SUCH REQUEST OR FOR ANY ERRONEOUS RESPONSE.
S 28. Section 16-100 of the election law is amended to read as
follows:
S 16-100. Jurisdiction; supreme court, county court. 1. The supreme
court is vested with jurisdiction to summarily determine any question of
law or fact arising as to any subject set forth in this article, which
shall be construed liberally.
2. The county court is vested with jurisdiction to summarily determine
any question of law or fact except proceedings as to a nomination or
A. 7488--A 24
election at a primary election or a nomination at a judicial convention,
proceedings as to the casting and canvass of ballots [and], proceedings
for examination or preservation of ballots AND PROCEEDINGS TO ENFORCE
THE PROVISIONS OF ARTICLE FOURTEEN OF THIS CHAPTER AS PROVIDED IN
SECTION 16-120 OF THIS ARTICLE.
S 29. Subdivision 4 of section 16-114 of the election law, as redesig-
nated by chapter 9 of the laws of 1978, is amended to read as follows:
4. In every proceeding instituted under this section, except a
proceeding to compel the filing of a statement by a candidate for nomi-
nation to a public office at a primary election or for election thereto,
or by the treasurer of a political committee, who has failed to file any
statement, the petitioner or petitioners, upon the institution of the
proceeding shall file with the county clerk an undertaking in a sum to
be determined and with sureties to be approved by a justice of the
supreme court conditioned to pay any costs imposed against him OR HER or
them; provided, however, that no such undertaking shall be required in a
proceeding instituted by the state or other board of elections.
S 30. The election law is amended by adding a new section 16-120 to
read as follows:
S 16-120. ENFORCEMENT PROCEEDINGS. 1. THE SUPREME COURT OR A JUSTICE
THEREOF, IN A PROCEEDING INSTITUTED BY THE STATE BOARD OF ELECTIONS, MAY
IMPOSE A CIVIL PENALTY, AS PROVIDED FOR IN SUBDIVISIONS TWO AND THREE OF
SECTION 14-126 OF THIS CHAPTER, UPON ANY PERSON WHO, ACTING AS OR ON
BEHALF OF A CANDIDATE OR POLITICAL COMMITTEE UNDER CIRCUMSTANCES EVINC-
ING AN INTENT TO VIOLATE SUCH LAW, HAS UNLAWFULLY (A) ACCEPTED A MONE-
TARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION ESTABLISHED IN
ARTICLE FOURTEEN OF THIS CHAPTER, (B) EXPENDED CAMPAIGN FUNDS FOR A
PERSONAL USE IN VIOLATION OF THIS ARTICLE OR (C) IN THE CASE OF A POLI-
TICAL COMMITTEE, CONDUCTED ACTIVITIES PROHIBITED BY ARTICLE FOURTEEN OF
THIS CHAPTER.
2. UPON PROOF THAT A VIOLATION OF ARTICLE FOURTEEN, AS PROVIDED IN
SUBDIVISION ONE OF THIS SECTION, HAS OCCURRED, THE COURT MAY IMPOSE A
CIVIL PENALTY, PURSUANT TO SUBDIVISIONS TWO AND THREE OF SECTION 14-126
OF THIS CHAPTER, AFTER CONSIDERING, AMONG OTHER FACTORS, THE SEVERITY OF
THE VIOLATION OR VIOLATIONS, WHETHER THE SUBJECT OF THE VIOLATION MADE A
GOOD FAITH EFFORT TO CORRECT THE VIOLATION AND WHETHER THE SUBJECT OF
THE VIOLATION HAS A HISTORY OF SIMILAR VIOLATIONS. ALL SUCH DETERMI-
NATIONS SHALL BE MADE ON A FAIR AND EQUITABLE BASIS WITHOUT REGARD TO
THE STATUS OF THE CANDIDATE OR POLITICAL COMMITTEE.
S 31. Section 1-c of the legislative law is amended by adding two new
subdivisions (w) and (x) to read as follows:
(W) THE TERM "CONTRIBUTION COLLECTION OR DELIVERY ACTIVITIES BY LOBBY-
ISTS" SHALL MEAN DELIVERY OR COLLECTION OF CONTRIBUTIONS FOR A CANDIDATE
FOR NOMINATION FOR ELECTION, OR ELECTION, TO THE OFFICE OF GOVERNOR,
LIEUTENANT GOVERNOR, COMPTROLLER, ATTORNEY GENERAL OR MEMBER OF THE
STATE LEGISLATURE, OR FOR THE POLITICAL COMMITTEE OF ANY SUCH CANDIDATE
BY A LOBBYIST.
(X) FOR PURPOSES OF THIS ARTICLE, THE TERMS "CONTRIBUTION" AND "POLI-
TICAL COMMITTEE" SHALL HAVE THE MEANINGS AS SET FORTH IN SECTION 14-100
OF THE ELECTION LAW.
S 32. Subdivision (b) of section 1-h of the legislative law is
amended by adding a new paragraph 6 to read as follows:
(6) CONTRIBUTION COLLECTION OR DELIVERY ACTIVITIES BY LOBBYISTS FOR
ANY CANDIDATE FOR NOMINATION FOR ELECTION, OR ELECTION, TO THE OFFICE OF
GOVERNOR, LIEUTENANT GOVERNOR, COMPTROLLER, ATTORNEY GENERAL OR MEMBER
OF THE STATE LEGISLATURE INCLUDING:
A. 7488--A 25
(I) THE INDIVIDUALS EMPLOYED BY THE LOBBYIST ENGAGED IN SUCH CONTRIB-
UTION COLLECTION OR DELIVERY ACTIVITIES;
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CANDIDATE, OR
ELECTED OFFICIAL TO WHOM OR ON WHOSE BEHALF THE LOBBYIST ENGAGED IN
CONTRIBUTION COLLECTION OR DELIVERY ACTIVITIES; AND
(III) THE TOTAL DOLLAR AMOUNT COLLECTED OR DELIVERED FOR EACH CANDI-
DATE FOR WHICH SUCH ACTIVITIES WERE PERFORMED.
S 33. The legislative law is amended by adding a new article 1-B to
read as follows:
ARTICLE 1-B
PARTICIPATION IN FUNDRAISERS DURING
A LEGISLATIVE SESSION
SECTION 1-AA. DEFINITIONS.
1-BB. PARTICIPATION IN FUNDRAISERS DURING A LEGISLATIVE SESSION.
S 1-AA. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS
SHALL HAVE THE FOLLOWING MEANINGS:
1. "FUNDRAISER" SHALL MEAN AN EVENT OR FUNCTION AT WHICH OR IN
CONNECTION WITH FUNDS ARE SOLICITED FOR OR ON BEHALF OF (A) A GOVERNOR,
LIEUTENANT GOVERNOR, COMPTROLLER, ATTORNEY GENERAL, MEMBER OR MEMBERS OF
THE STATE LEGISLATURE, OR A CANDIDATE FOR ANY OF THE FOREGOING OFFICES;
(B) A POLITICAL COMMITTEE ORGANIZED TO SUPPORT OR OPPOSE THE ELECTION OF
ANY SUCH PERSON OR PERSONS; (C) A STATE COMMITTEE OR A SUBCOMMITTEE OF
SUCH STATE COMMITTEE, PROVIDED THAT THE TERM "FUNDRAISER" WHEN APPLIED
TO AN EVENT OR FUNCTION HELD BY A STATE COMMITTEE OR SUBCOMMITTEE THERE-
OF SHALL NOT INCLUDE AN EVENT OR FUNCTION AT WHICH FUNDS ARE RAISED
EXCLUSIVELY TO SUPPORT OR OPPOSE A CANDIDATE OR CANDIDATES FOR FEDERAL
ELECTIVE OFFICE, OR A POLITICAL COMMITTEE AUTHORIZED BY SUCH A CANDIDATE
OR CANDIDATES, WHERE SUCH FUNDS ARE NOT USED FOR ANY OTHER PURPOSE; OR
(D) ANY LOBBYIST OR CLIENT POLITICAL COMMITTEE, WHERE SUCH AN EVENT OR
FUNCTION IS HELD FOR THE EXPLICIT PURPOSE OF RAISING FUNDS FOR OR ON
BEHALF OF ANY OF THE FOREGOING ENTITIES.
2. "LOBBYIST OR CLIENT POLITICAL COMMITTEE" SHALL MEAN A POLITICAL
COMMITTEE ORGANIZED TO SUPPORT THE ACTIVITIES OF A LOBBYIST OR CLIENT
PROVIDED, HOWEVER, THAT THE TERM "LOBBYIST OR CLIENT POLITICAL COMMIT-
TEE" AS USED IN THIS ARTICLE, SHALL NOT INCLUDE A FUNDRAISING EVENT OR
FUNCTION HOSTED BY SUCH A COMMITTEE TO RAISE FUNDS FOR THE COMMITTEE'S
GENERAL USE WHERE SUCH AN EVENT OR FUNCTION IS NOT TARGETED TO BENEFIT
ANY OF THE SPECIFIC PERSONS OR ENTITIES DESCRIBED IN SUBDIVISION ONE OF
THIS SECTION.
3. THE TERM "LEGISLATIVE SESSION" SHALL MEAN THE PERIOD BEGINNING ON
THE WEDNESDAY SUCCEEDING THE FIRST MONDAY OF JANUARY AND ENDING ON THE
LATER OF (A) THE THIRTIETH DAY OF JUNE OR (B) TWO WEEKS AFTER THE DAY ON
WHICH THE LEGISLATURE HAS TAKEN FINAL ACTION ON ALL OF THE APPROPRIATION
BILLS SUBMITTED BY THE GOVERNOR PURSUANT TO ARTICLE SEVEN OF THE STATE
CONSTITUTION, THEREBY ENACTING A STATE BUDGET THAT PROVIDED SUFFICIENT
APPROPRIATION AUTHORITY FOR THE ONGOING OPERATION AND SUPPORT OF STATE
GOVERNMENT AND LOCAL ASSISTANCE FOR THE ENSUING FISCAL YEAR.
S 1-BB. PARTICIPATION IN FUNDRAISERS DURING A LEGISLATIVE SESSION. 1.
EXCEPT AS OTHERWISE PROVIDED IN THIS SECTION, NO PERSON OR ENTITY SHALL
HOLD, PARTICIPATE IN, CONTRIBUTE TO, PURCHASE A TICKET FOR, OR ATTEND
ANY FUNDRAISER WITHIN FORTY MILES OF THE NEW YORK STATE CAPITOL DURING
THE LEGISLATIVE SESSION.
2. THIS SECTION SHALL NOT APPLY TO FUNDRAISERS WITHIN THE DISTRICT OF
MEMBERS OF THE LEGISLATURE OR CANDIDATES THEREFOR WHOSE DISTRICTS ARE
LOCATED IN WHOLE OR IN PART WITHIN FORTY MILES OF THE NEW YORK STATE
CAPITOL, PROVIDED, HOWEVER THAT SUCH FUNDRAISERS SHALL BE SOLELY FOR THE
A. 7488--A 26
BENEFIT OF THE LEGISLATOR OR THE CANDIDATE OR THE AUTHORIZED POLITICAL
COMMITTEE OF SUCH LEGISLATOR OR CANDIDATE AND NO OTHER ELECTED OFFICIAL,
POLITICAL COMMITTEE OR CANDIDATE FOR ELECTED OFFICE; AND FURTHER
PROVIDED THAT SUCH FUNDRAISERS SHALL NOT BE HELD ON ANY DAY WHEN A
QUORUM OF EITHER HOUSE OF THE LEGISLATURE IS IN ATTENDANCE OF A SESSION
OF THEIR RESPECTIVE HOUSE.
S 34. Severability clause. If any clause, sentence, paragraph, subdi-
vision, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair or invalidate the remainder thereof, but shall be confined in its
operation to the clause, sentence, paragraph, subdivision, section or
part thereof directly involved in the controversy in which such judgment
shall have been rendered. It is hereby declared to be the intent of the
legislature that this act would have been enacted even if such invalid
provisions had not been included herein.
S 35. This act shall take effect January 1, 2011; provided, however,
that contributions legally received prior to the effective date of this
act may be retained for lawful purposes and shall not provide the basis
for a violation of article 14 of the election law; and provided, howev-
er, that the state board of elections shall notify all registered
campaign committees and political committees of the applicable
provisions of this act within thirty days after this act shall have
become a law.
Comments
Open Legislation is a forum for New York State legislation. All comments are subject to review and community moderation is encouraged.
Comments deemed off-topic, commercial, campaign-related, self-promotional; or that contain profanity, hate or toxic speech; or that link to sites outside of the nysenate.gov domain are not permitted, and will not be published. Attempts to intimidate and silence contributors or deliberately deceive the public, including excessive or extraneous posting/posts, or coordinated activity, are prohibited and may result in the temporary or permanent banning of the user. Comment moderation is generally performed Monday through Friday. By contributing or voting you agree to the Terms of Participation and verify you are over 13.
Create an account. An account allows you to sign petitions with a single click, officially support or oppose key legislation, and follow issues, committees, and bills that matter to you. When you create an account, you agree to this platform's terms of participation.