LBD12677-02-0
S. 6615--A 2 A. 9715--A
Section 1. This act enacts into law major components of legislation
relating to ethics reform and campaign finance reform. Each component
is wholly contained within a Part identified as Parts A through D. The
effective date for each particular provision contained within such Part
is set forth in the last section of such Part. Any provision in any
section contained within a Part, including the effective date of the
Part, which makes reference to a section "of this act", when used in
connection with that particular component, shall be deemed to mean and
refer to the corresponding section of the Part in which it is found.
Section three of this act sets forth the general effective date of this
act.
PART A
Section 1. This act shall be known and may be cited as the "State
Government Ethics and Campaign Finance Enforcement Reform Act of 2010".
S 2. Article 1-A of the legislative law is REPEALED.
S 3. Article 5 of the legislative law is REPEALED.
S 4. The public officers law is amended by adding a new section 73-c
to read as follows:
S 73-C. STATE GOVERNMENT ETHICS COMMISSION; FUNCTIONS, POWERS AND
DUTIES; REVIEW OF FINANCIAL DISCLOSURE STATEMENTS; ADMINISTRATION OF
CAMPAIGN FINANCE PRACTICES; ADVISORY OPINIONS; INVESTIGATION AND
ENFORCEMENT. 1. THERE IS ESTABLISHED WITHIN THE DEPARTMENT OF STATE A
STATE GOVERNMENT ETHICS COMMISSION WHICH SHALL CONSIST OF FIVE MEMBERS
AND SHALL HAVE AND EXERCISE THE POWERS AND DUTIES SET FORTH IN THIS
SECTION WITH RESPECT TO STATE ELECTED OFFICIALS AND STATE OFFICERS AND
EMPLOYEES, AS DEFINED IN SECTIONS SEVENTY-THREE AND SEVENTY-THREE-A OF
THIS ARTICLE; CANDIDATES FOR STATE ELECTED OFFICE, THE POLITICAL PARTY
CHAIRMAN AS THAT TERM IS DEFINED IN SECTION SEVENTY-THREE-A OF THIS
ARTICLE, LOBBYISTS AND THE CLIENTS OF LOBBYISTS AS SUCH TERMS ARE
DEFINED IN SECTION SEVENTY-THREE-D OF THIS ARTICLE, MEMBERS OF THE
LEGISLATURE, LEGISLATIVE EMPLOYEES AS DEFINED IN SECTION SEVENTY-THREE
OF THIS ARTICLE, CANDIDATES FOR MEMBERS OF THE LEGISLATURE AND INDIVID-
UALS WHO HAVE FORMERLY HELD SUCH POSITIONS OR WHO HAVE FORMERLY BEEN
SUCH CANDIDATES. THIS ACT SHALL NOT REVOKE OR RESCIND ANY REGULATIONS
DULY PROMULGATED OR ADVISORY OPINIONS DULY ISSUED BY THE STATE COMMIS-
SION ON PUBLIC INTEGRITY, THE STATE ETHICS COMMISSION, THE TEMPORARY
LOBBYING COMMISSION, THE LEGISLATIVE ETHICS COMMISSION, THE STATE BOARD
OF ELECTIONS AS SUCH REGULATIONS OR OPINIONS PERTAIN TO ARTICLE FOURTEEN
OF THE ELECTION LAW, AND THE COMMITTEE ON OPEN GOVERNMENT AS SUCH REGU-
LATIONS OR OPINIONS PERTAIN TO ARTICLE SEVEN OF THIS CHAPTER IN EFFECT
UPON THE EFFECTIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND TEN
WHICH ADDED THIS SECTION TO THE EXTENT THAT SUCH REGULATIONS OR OPINIONS
ARE NOT INCONSISTENT WITH ANY LAW OF THE STATE OF NEW YORK. THE STATE
GOVERNMENT ETHICS COMMISSION SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF
ALL SUCH REGULATIONS AND OPINIONS, WHICH WILL ADDRESS THE CONSISTENCY
OF SUCH REGULATIONS AND OPINIONS AMONG EACH OTHER AND WITH THE NEW STAT-
UTORY LANGUAGE. THE STATE GOVERNMENT ETHICS COMMISSION SHALL, BEFORE
JUNE FIRST, TWO THOUSAND TEN, REPORT TO THE GOVERNOR AND LEGISLATURE
REGARDING SUCH REVIEW AND SHALL PROPOSE ANY REGULATORY CHANGES AND
ISSUE ANY ADVISORY OPINIONS NECESSITATED BY SUCH REVIEW.
2. THE MEMBERS OF THE COMMISSION SHALL BE APPOINTED BY THE DESIGNATING
COMMISSION AS DEFINED IN SECTION SEVENTY-THREE-E OF THIS ARTICLE.
3. MEMBERS OF THE STATE GOVERNMENT ETHICS COMMISSION SHALL SERVE FOR
TERMS OF FIVE YEARS; PROVIDED, HOWEVER, THAT OF THE MEMBERS FIRST
S. 6615--A 3 A. 9715--A
APPOINTED BY THE DESIGNATING COMMISSION, ONE SHALL SERVE FOR ONE YEAR,
ONE SHALL SERVE FOR TWO YEARS, ONE SHALL SERVE FOR THREE YEARS, ONE
SHALL SERVE FOR FOUR YEARS AND ONE SHALL SERVE FOR FIVE YEARS, AS DESIG-
NATED BY RANDOM CHANCE. THE PROCESS FOR DETERMINING STAGGERED TERMS
SHALL BE MADE BY A DRAWING OF LOTS.
4. THE CHAIRMAN OR ANY THREE MEMBERS OF THE COMMISSION MAY CALL A
MEETING.
5. ANY VACANCY OCCURRING ON THE STATE GOVERNMENT ETHICS COMMISSION
SHALL BE FILLED WITHIN SIXTY DAYS OF ITS OCCURRENCE IN THE SAME MANNER
AS THE MEMBER WHOSE VACANCY IS BEING FILLED WAS APPOINTED. A PERSON
APPOINTED TO FILL A VACANCY OCCURRING OTHER THAN BY EXPIRATION OF A TERM
OF OFFICE SHALL BE APPOINTED FOR THE UNEXPIRED TERM OF THE MEMBER HE OR
SHE SUCCEEDS.
6. THREE MEMBERS OF THE STATE GOVERNMENT ETHICS COMMISSION SHALL
CONSTITUTE A QUORUM, AND THE COMMISSION SHALL HAVE POWER TO ACT BY
MAJORITY VOTE OF THE TOTAL NUMBER OF MEMBERS OF THE COMMISSION WITHOUT
VACANCY.
7. MEMBERS OF THE STATE GOVERNMENT ETHICS COMMISSION MAY BE REMOVED
BY APPLICATION AND MOTION OF THE ATTORNEY GENERAL IN A STATE TRIAL LEVEL
COURT FOR SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT IN OFFICE,
INABILITY TO DISCHARGE THE POWERS OR DUTIES OF OFFICE OR VIOLATION OF
THIS SECTION, AFTER WRITTEN NOTICE AND OPPORTUNITY FOR A REPLY. THE
ATTORNEY GENERAL ALSO MAY SEEK RECUSAL OF ANY MEMBER OR MEMBERS UPON THE
SHOWING OF A CONFLICT OF INTEREST AND ANY FAILURE TO RECUSE.
8. THE MEMBERS OF THE COMMISSION SHALL NOT RECEIVE COMPENSATION BUT
SHALL BE REIMBURSED FOR REASONABLE EXPENSES INCURRED IN THE PERFORMANCE
OF THEIR OFFICIAL DUTIES.
9. THE COMMISSION SHALL:
(A) APPOINT AND EMPLOY AND AT PLEASURE REMOVE COUNSEL, AN EXECUTIVE
DIRECTOR, INVESTIGATORS, ACCOUNTANTS, CLERKS AND OTHER SUCH PERSONS AS
IT MAY DEEM NECESSARY WHO SHALL ACT IN ACCORDANCE WITH THE POLICIES OF
THE COMMISSION. THE COMMISSION MAY DELEGATE AUTHORITY TO THE EXECUTIVE
DIRECTOR TO ACT IN THE NAME OF THE COMMISSION BETWEEN MEETINGS OF THE
COMMISSION PROVIDED SUCH DELEGATION IS IN WRITING AND THE SPECIFIC
POWERS TO BE DELEGATED ARE ENUMERATED.
(B) APPOINT SUCH OTHER STAFF AS ARE NECESSARY TO CARRY OUT ITS DUTIES
UNDER THIS SECTION.
(C) ADOPT, AMEND, AND RESCIND RULES AND REGULATIONS TO GOVERN PROCE-
DURES OF THE COMMISSION, WHICH SHALL INCLUDE, BUT NOT BE LIMITED TO, THE
PROCEDURE WHEREBY A PERSON WHO IS REQUIRED TO FILE AN ANNUAL FINANCIAL
DISCLOSURE STATEMENT WITH THE COMMISSION MAY REQUEST AN ADDITIONAL PERI-
OD OF TIME WITHIN WHICH TO FILE SUCH STATEMENT, DUE TO JUSTIFIABLE CAUSE
OR UNDUE HARDSHIP; SUCH RULES OR REGULATIONS SHALL PROVIDE FOR A DATE
BEYOND WHICH IN ALL CASES OF JUSTIFIABLE CAUSE OR UNDUE HARDSHIP NO
FURTHER EXTENSION OF TIME WILL BE GRANTED.
(D) ADOPT, AMEND, AND RESCIND RULES AND REGULATIONS TO ASSIST APPOINT-
ING AUTHORITIES IN DETERMINING WHICH PERSONS HOLD POLICY-MAKING POSI-
TIONS FOR PURPOSES OF SECTION SEVENTY-THREE-A OF THIS ARTICLE.
(E) MAKE AVAILABLE FORMS FOR ANNUAL STATEMENTS OF FINANCIAL DISCLOSURE
REQUIRED TO BE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THIS ARTI-
CLE.
(F) REVIEW FINANCIAL DISCLOSURE STATEMENTS IN ACCORDANCE WITH THE
PROVISIONS OF THIS SECTION, PROVIDED HOWEVER, THAT THE COMMISSION MAY
DELEGATE ALL OR PART OF THIS REVIEW FUNCTION TO THE EXECUTIVE DIRECTOR
WHO SHALL BE RESPONSIBLE FOR COMPLETING STAFF REVIEW OF SUCH STATEMENTS
IN A MANNER CONSISTENT WITH THE TERMS OF THE COMMISSION'S DELEGATION.
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(F-1) ISSUE INSTRUCTIONS AND PROMULGATE RULES AND REGULATIONS RELATING
TO THE ADMINISTRATION OF CAMPAIGN FINANCE PRACTICES CONSISTENT WITH
ARTICLE FOURTEEN OF THE ELECTION LAW IN CONSULTATION WITH THE STATE
BOARD OF ELECTIONS AND PROVIDING THE GOVERNMENT ETHICS COMMISSION WITH
THE POWER AND DUTY TO:
(I) PREPARE UNIFORM FORMS FOR THE STATEMENTS REQUIRED BY ARTICLE FOUR-
TEEN OF THE ELECTION LAW;
(II) (A) DEVELOP AN ELECTRONIC REPORTING SYSTEM TO PROCESS THE STATE-
MENTS OF RECEIPTS, CONTRIBUTIONS, TRANSFERS AND EXPENDITURES REQUIRED TO
BE FILED WITH THE GOVERNMENT ETHICS COMMISSION PURSUANT TO THE
PROVISIONS OF SECTIONS 14-102 AND 14-104 OF THE ELECTION LAW;
(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;
(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
GOVERNMENT ETHICS COMMISSION WHICH IS NOT ON SUCH ELECTRONIC REPORTING
SYSTEM TO BE ENTERED IN SUCH SYSTEM AS SOON AS PRACTICABLE BUT IN NO
EVENT LATER THAN TEN BUSINESS DAYS AFTER ITS RECEIPT BY THE GOVERNMENT
ETHICS COMMISSION; AND
(F) MAKE ALL DATA FROM THE ELECTRONIC REPORTING PROCESS AVAILABLE AT
ALL TIMES ON THE INTERNET;
(III) STUDY AND EXAMINE THE ADMINISTRATION OF CAMPAIGN FINANCING AND
CAMPAIGN FINANCE REPORTING WITHIN THE STATE;
(IV) RECOMMEND SUCH LEGISLATION OR ADMINISTRATIVE MEASURES AS IT FINDS
APPROPRIATE TO ADJUST THE CONTRIBUTION LIMITATIONS SET FORTH IN ARTICLE
FOURTEEN OF THE ELECTION LAW; AND
(V) INSTITUTE SUCH JUDICIAL PROCEEDINGS AS MAY BE NECESSARY TO ENFORCE
COMPLIANCE WITH ANY PROVISION OF ARTICLE FOURTEEN OF THE ELECTION LAW OR
ANY REGULATION PROMULGATED 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.
(G) RECEIVE COMPLAINTS ALLEGING A VIOLATION OF SECTION SEVENTY-THREE,
SEVENTY-THREE-A, SEVENTY-THREE-D, OR SEVENTY-FOUR OF THIS ARTICLE OR
SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE LAW OR RECEIVE COMPLAINTS
AS AUTHORIZED BY SUBDIVISION ONE OF SECTION ONE HUNDRED SEVEN OF THIS
CHAPTER AS IT RELATES TO STATE OPEN MEETINGS AND ARTICLE FOURTEEN OF THE
ELECTION LAW.
(H) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO REQUEST THE COMMISSION TO DELETE FROM THE COPY THEREOF MADE
AVAILABLE FOR PUBLIC INSPECTION ONE OR MORE ITEMS OF INFORMATION WHICH
MAY BE DELETED BY THE COMMISSION, AFTER DENIAL OF A REQUEST FOR DELETION
BY THE COMMITTEE ON OPEN GOVERNMENT PURSUANT TO SECTION EIGHTY-NINE OF
THIS CHAPTER, UPON A FINDING BY A MAJORITY OF THE TOTAL NUMBER OF
MEMBERS OF THE COMMISSION WITHOUT VACANCY THAT THE INFORMATION WHICH
WOULD OTHERWISE BE REQUIRED TO BE MADE AVAILABLE FOR PUBLIC INSPECTION
WILL HAVE NO MATERIAL BEARING ON THE DISCHARGE OF THE REPORTING PERSON'S
OFFICIAL DUTIES. IF SUCH REQUEST FOR DELETION IS DENIED, THE COMMISSION,
S. 6615--A 5 A. 9715--A
IN ITS NOTIFICATION OF DENIAL, SHALL INFORM THE PERSON OF HIS OR HER
RIGHT TO APPEAL THE COMMISSION'S DETERMINATION PURSUANT TO ITS RULES
GOVERNING ADJUDICATORY PROCEEDINGS AND APPEALS ADOPTED PURSUANT TO
SUBDIVISION THIRTEEN OF THIS SECTION. THE COMMISSION SHALL PROMULGATE
RULES AND REGULATIONS GOVERNING THE ISSUANCE OF WRITTEN DECISIONS IN
CONNECTION WITH APPEALS FROM THE COMMITTEE ON OPEN GOVERNMENT PURSUANT
TO SECTION EIGHTY-NINE OF THIS CHAPTER.
(I) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO REQUEST AN EXEMPTION FROM ANY REQUIREMENT TO REPORT ONE OR MORE
ITEMS OF INFORMATION WHICH PERTAIN TO SUCH PERSON'S SPOUSE OR UNEMANCI-
PATED CHILDREN WHICH ITEM OR ITEMS MAY BE EXEMPTED BY THE COMMISSION,
INCLUDING THE NAMES OF CLIENTS OF PUBLIC OFFICERS WHO ARE CONSULTANTS OR
OTHER PROFESSIONALS WHERE DISCLOSURE OF SUCH CLIENTS IDENTITY COULD
REVEAL THE NATURE OF AN ATTORNEY-CLIENT COMMUNICATION OR PURSUANT TO
SECTION EIGHTY-NINE OF THIS CHAPTER AS PROVIDED IN SUBDIVISION EIGHTEEN
OF THIS SECTION, UPON A FINDING BY A MAJORITY OF THE TOTAL NUMBER OF
MEMBERS OF THE COMMISSION WITHOUT VACANCY THAT THE REPORTING INDIVID-
UAL'S SPOUSE, ON HIS OR HER OWN BEHALF OR ON BEHALF OF AN UNEMANCIPATED
CHILD, OBJECTS TO PROVIDING THE INFORMATION NECESSARY TO MAKE SUCH
DISCLOSURE AND THAT THE INFORMATION WHICH WOULD OTHERWISE BE REQUIRED TO
BE REPORTED WILL HAVE NO MATERIAL BEARING ON THE DISCHARGE OF THE
REPORTING PERSON'S OFFICIAL DUTIES, PROVIDED THAT THE ADDRESS AND TELE-
PHONE NUMBERS OF SPOUSES AND UNEMANCIPATED CHILDREN SHALL IN NO INSTANCE
BE MADE AVAILABLE TO THE PUBLIC. IF SUCH REQUEST FOR EXEMPTION IS
DENIED, THE COMMISSION, IN ITS NOTIFICATION OF DENIAL, SHALL INFORM THE
PERSON OF HIS OR HER RIGHT TO APPEAL THE COMMISSION'S DETERMINATION
PURSUANT TO ITS RULES GOVERNING ADJUDICATORY PROCEEDINGS AND APPEALS
ADOPTED PURSUANT TO SUBDIVISION THIRTEEN OF THIS SECTION. THE COMMIS-
SION SHALL PROMULGATE RULES AND REGULATIONS GOVERNING THE ISSUANCE OF
WRITTEN DECISIONS IN CONNECTION WITH APPEALS FROM THE COMMITTEE ON OPEN
GOVERNMENT.
(J) ADVISE AND ASSIST ANY STATE OFFICER, STATE AGENCY OR THE LEGISLA-
TURE IN ESTABLISHING RULES AND REGULATIONS RELATING TO POSSIBLE
CONFLICTS BETWEEN PRIVATE INTERESTS AND OFFICIAL DUTIES OF PRESENT OR
FORMER STATE ELECTED OFFICIALS, MEMBERS OF THE LEGISLATURE AND LEGISLA-
TIVE EMPLOYEES, AND STATE OFFICERS AND EMPLOYEES.
(K) PERMIT ANY PERSON WHO HAS NOT BEEN DETERMINED BY HIS OR HER
APPOINTING AUTHORITY OR THE LEGISLATURE TO HOLD A POLICY-MAKING POSITION
BUT WHO IS OTHERWISE REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT
TO REQUEST AN EXEMPTION FROM SUCH REQUIREMENT IN ACCORDANCE WITH RULES
AND REGULATIONS GOVERNING SUCH EXEMPTIONS. SUCH RULES AND REGULATIONS
SHALL PROVIDE FOR EXEMPTIONS TO BE GRANTED EITHER ON THE APPLICATION OF
AN INDIVIDUAL OR ON BEHALF OF PERSONS WHO SHARE THE SAME JOB TITLE OR
EMPLOYMENT CLASSIFICATION WHICH THE COMMISSION DEEMS TO BE COMPARABLE
FOR PURPOSES OF THIS SECTION. SUCH RULES AND REGULATIONS MAY PERMIT THE
GRANTING OF AN EXEMPTION WHERE, IN THE DISCRETION OF THE COMMISSION, THE
PUBLIC INTEREST DOES NOT REQUIRE DISCLOSURE AND THE APPLICANT'S DUTIES
DO NOT INVOLVE THE NEGOTIATION, AUTHORIZATION OR APPROVAL OF:
(I) CONTRACTS, LEASES, FRANCHISES, REVOCABLE CONSENTS, CONCESSIONS,
VARIANCES, SPECIAL PERMITS, OR LICENSES AS DEFINED IN SECTION
SEVENTY-THREE OF THIS ARTICLE;
(II) THE PURCHASE, SALE, RENTAL OR LEASE OF REAL PROPERTY, GOODS OR
SERVICES, OR A CONTRACT THEREFOR;
(III) THE OBTAINING OF GRANTS OF MONEY OR LOANS; OR
(IV) THE ADOPTION OR REPEAL OF ANY LAW, RULE OR REGULATION HAVING THE
FORCE AND EFFECT OF LAW.
S. 6615--A 6 A. 9715--A
(L) PREPARE AN ANNUAL REPORT TO THE GOVERNOR AND LEGISLATURE SUMMARIZ-
ING THE ACTIVITIES OF THE COMMISSION DURING THE PREVIOUS YEAR AND RECOM-
MENDING ANY CHANGES IN THE LAWS GOVERNING THE CONDUCT OF PERSONS SUBJECT
TO THE JURISDICTION OF THE COMMISSION, OR THE RULES, REGULATIONS AND
PROCEDURES GOVERNING THE COMMISSION'S CONDUCT. SUCH REPORT SHALL
INCLUDE: (I) A LISTING BY ASSIGNED NUMBER OF EACH COMPLAINT AND REFERRAL
RECEIVED WHICH ALLEGED A POSSIBLE VIOLATION WITHIN ITS JURISDICTION,
INCLUDING THE CURRENT STATUS OF EACH COMPLAINT, AND (II) WHERE A MATTER
HAS BEEN RESOLVED, THE DATE AND NATURE OF THE DISPOSITION AND ANY SANC-
TION IMPOSED, SUBJECT TO THE CONFIDENTIALITY REQUIREMENTS OF THIS
SECTION, PROVIDED, HOWEVER, THAT SUCH ANNUAL REPORT SHALL NOT CONTAIN
ANY INFORMATION FOR WHICH DISCLOSURE IS NOT PERMITTED PURSUANT TO SUBDI-
VISION SEVENTEEN OF THIS SECTION.
(M) DETERMINE A QUESTION COMMON TO A CLASS OR DEFINED CATEGORY OF
PERSONS OR ITEMS OF INFORMATION REQUIRED TO BE DISCLOSED, WHERE DETERMI-
NATION OF THE QUESTION WILL PREVENT UNDUE REPETITION OF REQUESTS FOR
EXEMPTION OR DELETION OR PREVENT UNDUE COMPLICATION IN COMPLYING WITH
THE REQUIREMENTS OF SUCH SECTION.
10. THE COMMISSION, OR THE EXECUTIVE DIRECTOR AND STAFF OF THE COMMIS-
SION IF RESPONSIBILITY THEREFOR HAS BEEN DELEGATED, SHALL REGULARLY
INSPECT ALL FINANCIAL DISCLOSURE STATEMENTS FILED WITH THE COMMISSION TO
ASCERTAIN WHETHER ANY PERSON SUBJECT TO THE REPORTING REQUIREMENTS OF
SECTION SEVENTY-THREE-A OF THIS ARTICLE HAS FAILED TO FILE SUCH A STATE-
MENT, HAS FILED A DEFICIENT STATEMENT OR HAS FILED A STATEMENT WHICH
REVEALS A POSSIBLE VIOLATION OF SECTION SEVENTY-THREE, SEVENTY-THREE-A,
SEVENTY-THREE-D, OR SEVENTY-FOUR OF THIS ARTICLE OR ARTICLE SEVEN AS IT
RELATES TO STATE OPEN MEETINGS. THE COMMISSION SHALL PROMULGATE GUIDE-
LINES TO CONDUCT A PROGRAM OF REGULAR AND RANDOM REVIEWS OF ANNUAL
FINANCIAL DISCLOSURE STATEMENTS FILED WITH THE COMMISSION, SUBJECT TO
THE CONDITIONS OF THIS SECTION. SUCH PROGRAM SHALL BE CARRIED OUT IN THE
FOLLOWING MANNER:
(A) THE COMMISSION SHALL SELECT ANNUAL FINANCIAL DISCLOSURE STATEMENTS
REQUIRED TO BE FILED PURSUANT TO THIS ARTICLE FOR REVIEW. ANY SUCH
SELECTION SHALL BE DONE IN A MANNER PURSUANT TO WHICH THE IDENTITY OF
ANY PARTICULAR PERSON WHOSE STATEMENT IS SELECTED FOR REVIEW IS UNKNOWN
TO THE COMMISSION AND ITS STAFF.
(B) THE COMMISSION SHALL DEVELOP PROTOCOLS FOR THE CONDUCT OF SUCH
REGULAR AND RANDOM REVIEWS. SUCH REGULAR AND RANDOM REVIEWS MAY REQUIRE
THE PRODUCTION OF BOOKS, PAPERS, RECORDS OR MEMORANDA RELEVANT AND MATE-
RIAL TO THE PREPARATION OF THE SELECTED STATEMENTS FOR EXAMINATION. ANY
SUCH PROTOCOLS SHALL ENSURE THAT SIMILARLY SITUATED STATEMENTS ARE
AUDITED IN A UNIFORM MANNER.
(C) THE COMMISSION MAY CONTRACT WITH AN OUTSIDE ACCOUNTING ENTITY,
WHICH SHALL MONITOR THE PROCESS PURSUANT TO WHICH THE COMMISSION SELECTS
STATEMENTS FOR REVIEW, AND THE PROCESS PURSUANT TO WHICH THE COMMISSION
CARRIES OUT THE PROVISIONS OF PARAGRAPHS (A) AND (B) OF THIS SUBDIVISION
AND CERTIFIES THAT SUCH PROCESS COMPLIES WITH THE PROVISIONS OF SUCH
PARAGRAPHS.
(D) UPON COMPLETION OF A REVIEW BY THE COMMISSION CONDUCTED IN ACCORD-
ANCE WITH THE PROVISIONS OF PARAGRAPHS (A), (B) AND (C) OF THIS SUBDIVI-
SION, THE COMMISSION SHALL DETERMINE WHETHER THERE IS REASONABLE CAUSE
TO BELIEVE THAT ANY SUCH STATEMENT OR REPORT IS INACCURATE OR INCOM-
PLETE. UPON A DETERMINATION THAT SUCH REASONABLE CAUSE EXISTS, THE
COMMISSION MAY REQUIRE THE PRODUCTION OF FURTHER BOOKS, RECORDS OR MEMO-
RANDA, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE AND TESTIMONY AND
ADMINISTER OATHS OR AFFIRMATIONS, TO THE EXTENT THE COMMISSION DETER-
S. 6615--A 7 A. 9715--A
MINES SUCH ACTIONS ARE NECESSARY TO OBTAIN INFORMATION RELEVANT AND
MATERIAL TO INVESTIGATING SUCH INACCURACIES OR OMISSIONS.
11. (A) IF A PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT
WITH THE COMMISSION HAS FAILED TO FILE A DISCLOSURE STATEMENT OR HAS
FILED A DEFICIENT STATEMENT, THE COMMISSION SHALL NOTIFY THE REPORTING
PERSON IN WRITING, STATE THE FAILURE TO FILE OR DETAIL THE DEFICIENCY,
PROVIDE THE PERSON WITH A FIFTEEN DAY PERIOD TO CURE THE DEFICIENCY, AND
ADVISE THE PERSON OF THE PENALTIES FOR FAILURE TO COMPLY WITH THE
REPORTING REQUIREMENTS. SUCH NOTICE SHALL BE CONFIDENTIAL. IF THE PERSON
FAILS TO MAKE SUCH FILING OR FAILS TO CURE THE DEFICIENCY WITHIN THE
SPECIFIED TIME PERIOD, THE COMMISSION SHALL SEND A NOTICE OF DELINQUEN-
CY: (I) TO THE REPORTING PERSON; AND (II) IN THE CASE OF A STATE ELECTED
OFFICIAL, MEMBER OF THE LEGISLATURE, OR LEGISLATIVE EMPLOYEE, TO THE
TEMPORARY PRESIDENT OF THE SENATE AND THE SPEAKER OF THE ASSEMBLY; AND
(III) IN THE CASE OF A STATE OFFICER OR EMPLOYEE, TO THE APPOINTING
AUTHORITY FOR SUCH PERSON. SUCH NOTICE OF DELINQUENCY MAY BE SENT AT
ANY TIME DURING THE REPORTING PERSON'S SERVICE AS A STATE ELECTED OFFI-
CIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE, LEGISLATIVE
EMPLOYEE, POLITICAL PARTY CHAIR OR WHILE A CANDIDATE FOR STATEWIDE
OFFICE OR MEMBER OF THE LEGISLATURE, OR WITHIN ONE YEAR AFTER TERMI-
NATION OF SUCH SERVICE OR CANDIDACY. THE JURISDICTION OF THE COMMISSION,
WHEN ACTING PURSUANT TO SUBDIVISION THIRTEEN OF THIS SECTION WITH
RESPECT TO FINANCIAL DISCLOSURE, SHALL CONTINUE NOTWITHSTANDING THAT THE
REPORTING PERSON SEPARATES FROM STATE SERVICE, OR CEASES TO HOLD OFFICE
AS A STATE ELECTED OFFICIAL, MEMBER OF THE LEGISLATURE OR POLITICAL
PARTY CHAIR, OR CEASES TO BE A CANDIDATE, PROVIDED THE COMMISSION NOTI-
FIES SUCH PERSON OF THE ALLEGED FAILURE TO FILE OR DEFICIENT FILING
PURSUANT TO THIS SUBDIVISION.
(B) IF THE COMMISSION RECEIVES ANY COMPLAINT THAT A CORPORATION IS
USING ITS NOT FOR PROFIT STATUS TO CONCEAL POLITICAL CAMPAIGN FINANCE
SUPPORT WITHIN ITS ISSUE ADVOCACY REALM, THE COMMISSION SHALL HAVE THE
AUTHORITY TO DETERMINE WHETHER THERE HAVE BEEN VIOLATIONS OF THE STATE'S
CAMPAIGN FINANCE LAWS. THE COMMISSION SHALL FILE A SUMMARY PROCEEDING IN
THE SUPREME COURT REQUIRING THE CORPORATION TO STATE ANY REASONS WHY IT
SHOULD NOT BE COMPELLED TO OPEN ITS FISCAL BOOKS FOR INSPECTION BY THE
COMMISSION IN ORDER TO DETERMINE WHETHER VIOLATIONS OF THE STATE'S
CAMPAIGN FINANCE LAWS HAVE TAKEN PLACE. UPON THE FINDING OF ANY
VIOLATIONS, THE COMMISSION MAY ISSUE A FINE TO SUCH CORPORATION OR
CORPORATIONS OR MAY FINE THE PARTICIPANTS FOUND TO HAVE VIOLATED THE
STATE'S CAMPAIGN FINANCE LAWS IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND
DOLLARS. FURTHER, UPON ANY FINDING OF A VIOLATION OF THE CAMPAIGN
FINANCE LAWS THE COMMISSION SHALL ALSO NOTIFY THE FEDERAL INTERNAL
REVENUE SERVICE, THE DISTRICT ATTORNEY OF THE COUNTY WHERE THE VIOLATION
OCCURRED, AS WELL AS THE ATTORNEY GENERAL OF SUCH VIOLATION OR
VIOLATIONS.
12. (A) IF THE COMMISSION RECEIVES A SWORN COMPLAINT ALLEGING A
VIOLATION OF SECTION SEVENTY-THREE, SEVENTY-THREE-A, SEVENTY-THREE-D OR
SEVENTY-FOUR OF THIS ARTICLE OR ARTICLE SEVEN OF THIS CHAPTER AS IT
RELATES TO STATE OPEN MEETINGS, OR RECEIVES COMPLAINTS AS AUTHORIZED BY
ARTICLE FOURTEEN OF THE ELECTION LAW OR SECTION ONE HUNDRED SEVEN OF THE
CIVIL SERVICE LAW BY A PERSON OR ENTITY SUBJECT TO SUCH LAW UNDER THE
COMMISSION'S JURISDICTION, OR IF A REPORTING INDIVIDUAL HAS FILED A
STATEMENT WHICH REVEALS A POSSIBLE VIOLATION THEREOF, OR IF THE COMMIS-
SION DETERMINES ON ITS OWN INITIATIVE TO INVESTIGATE A POSSIBLE
VIOLATION, THE COMMISSION SHALL NOTIFY THE INDIVIDUAL IN WRITING,
DESCRIBE THE POSSIBLE OR ALLEGED VIOLATION OF SUCH LAW AND PROVIDE THE
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PERSON WITH A FIFTEEN DAY PERIOD IN WHICH TO SUBMIT A WRITTEN RESPONSE
SETTING FORTH INFORMATION RELATING TO THE ACTIVITIES CITED AS A POSSIBLE
OR ALLEGED VIOLATION OF LAW. IF THE COMMISSION THEREAFTER MAKES A DETER-
MINATION THAT FURTHER INQUIRY IS JUSTIFIED, IT SHALL GIVE THE INDIVIDUAL
AN OPPORTUNITY TO BE HEARD. THE COMMISSION SHALL ALSO INFORM THE INDI-
VIDUAL OF ITS RULES REGARDING THE CONDUCT OF ADJUDICATORY PROCEEDINGS
AND APPEALS AND THE DUE PROCESS PROCEDURAL MECHANISMS AVAILABLE TO SUCH
INDIVIDUAL. IF THE COMMISSION DETERMINES AT ANY STAGE OF THE PROCEEDING,
THAT THERE IS NO VIOLATION OR THAT ANY POTENTIAL CONFLICT OF INTEREST
VIOLATION HAS BEEN RECTIFIED, IT SHALL SO ADVISE THE INDIVIDUAL AND THE
COMPLAINANT, IF ANY. ALL OF THE FOREGOING PROCEEDINGS SHALL BE CONFIDEN-
TIAL, EXCEPT AS RELATING TO LOBBYISTS AND CLIENTS OF LOBBYISTS. THE
COMMISSION SHALL PROMULGATE A STATEMENT OF NON-DISCLOSURE AND ESTABLISH
RULES FOR ABIDING BY SUCH STATEMENT. EVERY COMMISSIONER AND EVERY
EMPLOYEE OF THE COMMISSION SHALL BE REQUIRED TO SIGN A NON-DISCLOSURE
STATEMENT PRIOR TO REVIEWING ANY INFORMATION.
(B) IF THE COMMISSION DETERMINES THAT THERE IS REASONABLE CAUSE TO
BELIEVE THAT A VIOLATION HAS OCCURRED, IT SHALL SEND A NOTICE OF REASON-
ABLE CAUSE: (I) TO THE REPORTING PERSON; (II) IN THE CASE OF A STATE
ELECTED OFFICIAL, TO THE TEMPORARY PRESIDENT OF THE SENATE AND THE
SPEAKER OF THE ASSEMBLY; (III) IN THE CASE OF A MEMBER OF THE SENATE OR
EMPLOYEE OF THE SENATE, TO THE TEMPORARY PRESIDENT OF THE SENATE, (IV)
IN THE CASE OF A MEMBER OF THE ASSEMBLY OR EMPLOYEE OF THE ASSEMBLY, TO
THE SPEAKER OF THE ASSEMBLY; AND (V) IN THE CASE OF A STATE OFFICER OR
EMPLOYEE, TO THE APPOINTING AUTHORITY FOR SUCH PERSON.
(C) THE JURISDICTION OF THE COMMISSION WHEN ACTING PURSUANT TO THIS
SECTION SHALL CONTINUE NOTWITHSTANDING THAT A STATE ELECTED OFFICIAL,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR A STATE OFFICER OR
EMPLOYEE SEPARATES FROM STATE SERVICE, OR A POLITICAL PARTY CHAIR CEASES
TO HOLD SUCH OFFICE, OR A CANDIDATE CEASES TO BE A CANDIDATE, OR A
LOBBYIST OR CLIENT OF A LOBBYIST CEASES TO ACT AS SUCH, PROVIDED THAT
THE COMMISSION NOTIFIES SUCH INDIVIDUAL OR ENTITY OF THE ALLEGED
VIOLATION OF LAW PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION WITHIN
ONE YEAR FROM HIS OR HER SEPARATION FROM STATE OR LEGISLATIVE SERVICE,
OR HIS OR HER TERMINATION OF PARTY SERVICE OR CANDIDACY, OR HIS OR HER
OR ITS TERMINATION OF LOBBYING ACTIVITY. NOTHING IN THIS SECTION SHALL
SERVE TO LIMIT THE JURISDICTION OF THE COMMISSION IN ENFORCEMENT OF
SUBDIVISION EIGHT OF SECTION SEVENTY-THREE OF THIS ARTICLE.
13. AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF THE COMMISSION WHO
KNOWINGLY AND INTENTIONALLY VIOLATES THE PROVISIONS OF SUBDIVISIONS TWO
THROUGH FIVE, SEVEN, EIGHT, TWELVE OR SUBDIVISIONS FOURTEEN THROUGH
SEVENTEEN OF SECTION SEVENTY-THREE OF THIS ARTICLE, SECTION ONE HUNDRED
SEVEN OF THE CIVIL SERVICE LAW, OR A REPORTING INDIVIDUAL WHO KNOWINGLY
AND WILFULLY FAILS TO FILE AN ANNUAL STATEMENT OF FINANCIAL DISCLOSURE
OR WHO KNOWINGLY AND WILFULLY WITH INTENT TO DECEIVE MAKES A FALSE
STATEMENT OR OMISSION OR GIVES INFORMATION WHICH SUCH INDIVIDUAL KNOWS
TO BE FALSE ON SUCH STATEMENT OF FINANCIAL DISCLOSURE FILED PURSUANT TO
SECTION SEVENTY-THREE-A OF THIS ARTICLE SHALL BE SUBJECT TO A CIVIL
PENALTY IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND DOLLARS PLUS THE
DISGORGEMENT OF THE AMOUNT OF THE VALUE OF ANY GIFT, COMPENSATION OR
BENEFIT RECEIVED AS A RESULT OF SUCH VIOLATION. AN INDIVIDUAL WHO KNOW-
INGLY AND INTENTIONALLY VIOLATES THE PROVISIONS OF PARAGRAPH B, C, D OR
I OF SUBDIVISION THREE OF SECTION SEVENTY-FOUR OF THIS ARTICLE SHALL BE
SUBJECT TO A CIVIL PENALTY IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND
DOLLARS AND THE VALUE OF ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A
RESULT OF SUCH VIOLATION. AN INDIVIDUAL WHO KNOWINGLY AND INTENTIONALLY
S. 6615--A 9 A. 9715--A
VIOLATES THE PROVISIONS OF PARAGRAPH A, E OR G OF SUBDIVISION THREE OF
SECTION SEVENTY-FOUR OF THIS ARTICLE SHALL BE SUBJECT TO A CIVIL PENALTY
IN AN AMOUNT NOT TO EXCEED THE VALUE OF ANY GIFT, COMPENSATION OR BENE-
FIT RECEIVED AS A RESULT OF SUCH VIOLATION. AN INDIVIDUAL WHO KNOWINGLY
VIOLATES THE PROVISIONS OF PARAGRAPH J OF SUBDIVISION THREE OF SECTION
SEVENTY-FOUR OF THIS ARTICLE SHALL BE SUBJECT TO A CIVIL PENALTY IN AN
AMOUNT NOT TO EXCEED ONE HUNDRED FIFTY DOLLARS. ASSESSMENT OF A CIVIL
PENALTY HEREUNDER SHALL BE MADE BY THE COMMISSION WITH RESPECT TO
PERSONS SUBJECT TO ITS JURISDICTION. FOR A VIOLATION OF THIS SUBDIVI-
SION, OTHER THAN FOR CONDUCT WHICH CONSTITUTES A VIOLATION OF SUBDIVI-
SION TWELVE OF SECTION SEVENTY-THREE OR SECTION SEVENTY-FOUR OF THIS
ARTICLE, THE COMMISSION MAY, IN LIEU OF A CIVIL PENALTY, REFER A
VIOLATION TO THE DISTRICT ATTORNEY OF THE COUNTY OR COUNTIES HAVING
JURISDICTION OF THE ACT OR THE STATE ATTORNEY GENERAL AND UPON
CONVICTION, SUCH VIOLATION SHALL BE PUNISHABLE AS A CLASS A MISDEMEANOR,
EXCEPT THAT A VIOLATION OF SECTION ONE HUNDRED SEVEN OF THE CIVIL
SERVICE LAW SHALL BE PUNISHABLE AS PROVIDED HEREIN. A CIVIL PENALTY FOR
FALSE FILING MAY NOT BE IMPOSED HEREUNDER IN THE EVENT A CATEGORY OF
"VALUE" OR "AMOUNT" REPORTED HEREUNDER IS INCORRECT UNLESS SUCH REPORTED
INFORMATION IS FALSELY UNDERSTATED. NOTWITHSTANDING ANY OTHER PROVISION
OF LAW TO THE CONTRARY, NO OTHER PENALTY, CIVIL OR CRIMINAL MAY BE
IMPOSED FOR A FAILURE TO FILE, OR FOR A FALSE FILING, OF SUCH STATEMENT,
OR A VIOLATION OF SECTION SEVENTY-THREE OF THIS ARTICLE, EXCEPT THAT THE
APPOINTING AUTHORITY MAY IMPOSE DISCIPLINARY ACTION AS OTHERWISE
PROVIDED BY LAW. THE STATE GOVERNMENT ETHICS COMMISSION MAY REFER
VIOLATIONS OF THIS ARTICLE TO THE APPOINTING AUTHORITY FOR DISCIPLINARY
ACTION AS OTHERWISE PROVIDED BY LAW. THE STATE GOVERNMENT ETHICS
COMMISSION SHALL BE DEEMED TO BE AN AGENCY WITHIN THE MEANING OF ARTICLE
THREE OF THE STATE ADMINISTRATIVE PROCEDURE ACT AND SHALL ADOPT RULES
GOVERNING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND APPEALS TAKEN
PURSUANT TO A PROCEEDING COMMENCED UNDER ARTICLE SEVENTY-EIGHT OF THE
CIVIL PRACTICE LAW AND RULES RELATING TO THE ASSESSMENT OF THE CIVIL
PENALTIES HEREIN AUTHORIZED AND COMMISSION DENIALS OF REQUESTS FOR
CERTAIN DELETIONS OR EXEMPTIONS TO BE MADE FROM A FINANCIAL DISCLOSURE
STATEMENT AS AUTHORIZED IN PARAGRAPH (H) OR PARAGRAPH (I) OF SUBDIVISION
NINE OF THIS SECTION. SUCH RULES, WHICH SHALL NOT BE SUBJECT TO THE
APPROVAL REQUIREMENTS OF THE STATE ADMINISTRATIVE PROCEDURE ACT, SHALL
PROVIDE FOR DUE PROCESS PROCEDURAL MECHANISMS SUBSTANTIALLY SIMILAR TO
THOSE SET FORTH IN ARTICLE THREE OF THE STATE ADMINISTRATIVE PROCEDURE
ACT BUT SUCH MECHANISMS NEED NOT BE IDENTICAL IN TERMS OR SCOPE. ASSESS-
MENT OF A CIVIL PENALTY OR COMMISSION DENIAL OF SUCH A REQUEST SHALL BE
FINAL UNLESS MODIFIED, SUSPENDED OR VACATED WITHIN THIRTY DAYS OF IMPO-
SITION, WITH RESPECT TO THE ASSESSMENT OF SUCH PENALTY, OR UNLESS SUCH
DENIAL OF REQUEST IS REVERSED WITHIN SUCH TIME PERIOD, AND UPON BECOMING
FINAL SHALL BE SUBJECT TO REVIEW AT THE INSTANCE OF THE AFFECTED REPORT-
ING INDIVIDUALS IN A PROCEEDING COMMENCED AGAINST THE STATE GOVERNMENT
ETHICS COMMISSION, PURSUANT TO ARTICLE SEVENTY-EIGHT OF THE CIVIL PRAC-
TICE LAW AND RULES.
14. A COPY OF ANY NOTICE OF DELINQUENCY OR NOTICE OF REASONABLE CAUSE
SENT PURSUANT TO SUBDIVISIONS ELEVEN AND TWELVE OF THIS SECTION SHALL BE
INCLUDED IN THE REPORTING PERSON'S FILE AND BE AVAILABLE FOR PUBLIC
INSPECTION UPON A FINDING OR FINAL DETERMINATION OF WRONGDOING OR A
NOTICE OF CIVIL ASSESSMENT IS ISSUED.
15. UPON WRITTEN REQUEST FROM ANY PERSON WHO IS SUBJECT TO THE JURIS-
DICTION OF THE COMMISSION TO THE REQUIREMENTS OF SECTIONS SEVENTY-THREE,
SEVENTY-THREE-A, SEVENTY-THREE-D, SEVENTY-FOUR OF THIS ARTICLE OR ARTI-
S. 6615--A 10 A. 9715--A
CLE FOURTEEN OF THE ELECTION LAW, THE COMMISSION SHALL RENDER ADVISORY
OPINIONS ON THE REQUIREMENTS OF SAID PROVISIONS. AN OPINION RENDERED BY
THE COMMISSION, UNTIL AND UNLESS AMENDED OR REVOKED, SHALL BE BINDING ON
THE COMMISSION IN ANY SUBSEQUENT PROCEEDING CONCERNING THE PERSON WHO
REQUESTED THE OPINION 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 INTRO-
DUCED AND SHALL BE A DEFENSE, IN ANY CRIMINAL OR CIVIL ACTION. SUCH
REQUESTS SHALL BE CONFIDENTIAL BUT THE COMMISSION MAY PUBLISH SUCH OPIN-
IONS PROVIDED THAT THE NAME OF THE REQUESTING PERSON AND OTHER IDENTIFY-
ING DETAILS SHALL NOT BE INCLUDED IN THE PUBLICATION.
16. IN ADDITION TO ANY OTHER POWERS AND DUTIES SPECIFIED BY LAW, THE
COMMISSION SHALL HAVE THE POWER AND DUTY TO:
(A) PROMULGATE RULES CONCERNING RESTRICTIONS ON OUTSIDE ACTIVITIES,
LIMITATIONS ON THE RECEIPT OF GIFTS AND HONORARIA BY PERSONS SUBJECT TO
ITS JURISDICTION, PROVIDED, HOWEVER, A VIOLATION OF SUCH RULES IN AND OF
ITSELF SHALL NOT BE PUNISHABLE PURSUANT TO SUBDIVISION THIRTEEN OF THIS
SECTION UNLESS THE CONDUCT CONSTITUTING THE VIOLATION WOULD OTHERWISE
CONSTITUTE A VIOLATION OF THIS SECTION; AND
(B) CONDUCT TRAINING PROGRAMS IN COOPERATION WITH THE GOVERNOR'S
OFFICE OF EMPLOYEE RELATIONS, THE LEGISLATURE, THE ATTORNEY GENERAL,
OFFICE OF STATE COMPTROLLER AND UNIFIED COURT SYSTEM TO PROVIDE EDUCA-
TION TO INDIVIDUALS SUBJECT TO ITS JURISDICTION; AND
(C) ADMINISTER AND ENFORCE ALL THE PROVISIONS OF THIS SECTION; AND
(D) CONDUCT ANY INVESTIGATION NECESSARY TO CARRY OUT THE PROVISIONS OF
THIS SECTION. PURSUANT TO THIS POWER AND DUTY, THE COMMISSION MAY ADMIN-
ISTER OATHS OR AFFIRMATIONS, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE
AND REQUIRE THE PRODUCTION OF ANY BOOKS OR RECORDS WHICH IT MAY DEEM
RELEVANT OR MATERIAL.
16-A. WITHIN ONE HUNDRED TWENTY DAYS OF THE EFFECTIVE DATE OF THIS
SUBDIVISION, THE COMMISSION SHALL CREATE AND THEREAFTER MAINTAIN A
PUBLICLY ACCESSIBLE WEBSITE WHICH SHALL SET FORTH THE PROCEDURE FOR
FILING A COMPLAINT WITH THE COMMISSION, AND WHICH SHALL CONTAIN THE
DOCUMENTS IDENTIFIED IN SUBDIVISION SEVENTEEN OF THIS SECTION, OTHER
THAN FINANCIAL DISCLOSURE STATEMENTS, AND ANY OTHER RECORDS OR INFORMA-
TION WHICH THE COMMISSION DETERMINES TO BE APPROPRIATE.
17. (A) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THIS CHAPTER,
THE ONLY RECORDS OF THE COMMISSION WHICH SHALL BE AVAILABLE FOR PUBLIC
INSPECTION AND COPYING ARE:
(1) THE INFORMATION SET FORTH IN AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THIS CHAPTER
EXCEPT THE CATEGORIES OF VALUE OR AMOUNT, WHICH SHALL REMAIN CONFIDEN-
TIAL, AND ANY OTHER ITEM OF INFORMATION DELETED PURSUANT TO PARAGRAPH
(H) OF SUBDIVISION NINE OF THIS SECTION;
(2) NOTICES OF DELINQUENCY SENT UNDER SUBDIVISION ELEVEN OF THIS
SECTION;
(3) NOTICES OF REASONABLE CAUSE SENT UNDER PARAGRAPH (B) OF SUBDIVI-
SION TWELVE OF THIS SECTION;
(4) NOTICES OF CIVIL ASSESSMENTS IMPOSED UNDER THIS SECTION WHICH
SHALL INCLUDE A DESCRIPTION OF THE NATURE OF THE ALLEGED WRONGDOING, THE
PROCEDURAL HISTORY OF THE COMPLAINT, THE FINDINGS AND DETERMINATIONS
MADE BY THE COMMISSION, AND ANY SANCTION IMPOSED; AND
(5) THE TERMS OF ANY SETTLEMENT OR COMPROMISE OF A COMPLAINT OR REFER-
RAL WHICH INCLUDES A FINE, PENALTY OR OTHER REMEDY.
(B) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SEVEN OF THIS CHAPTER,
NO MEETING OR PROCEEDING, INCLUDING ANY SUCH PROCEEDING CONTEMPLATED
S. 6615--A 11 A. 9715--A
UNDER PARAGRAPH (H) OR (I) OF SUBDIVISION NINE OF THIS SECTION, OF THE
COMMISSION SHALL BE OPEN TO THE PUBLIC, EXCEPT IF EXPRESSLY PROVIDED
OTHERWISE BY THE COMMISSION.
(C) PENDING ANY APPLICATION FOR DELETION OR EXEMPTION TO THE COMMIS-
SION, ALL INFORMATION WHICH IS THE SUBJECT OR A PART OF THE APPLICATION
SHALL REMAIN CONFIDENTIAL. UPON AN ADVERSE DETERMINATION BY THE COMMIS-
SION, THE REPORTING INDIVIDUAL MAY REQUEST, AND UPON SUCH REQUEST THE
COMMISSION SHALL PROVIDE, THAT ANY INFORMATION WHICH IS THE SUBJECT OR
PART OF THE APPLICATION REMAIN CONFIDENTIAL FOR A PERIOD OF THIRTY DAYS
FOLLOWING NOTICE OF SUCH DETERMINATION. IN THE EVENT THAT THE REPORTING
INDIVIDUAL RESIGNS HIS OFFICE AND HOLDS NO OTHER OFFICE SUBJECT TO THE
JURISDICTION OF THE COMMISSION, THE INFORMATION SHALL NOT BE MADE PUBLIC
AND SHALL BE EXPUNGED IN ITS ENTIRETY.
18. IF ANY PART OR PROVISION OF THIS SECTION OR THE APPLICATION THERE-
OF TO ANY PERSON OR ORGANIZATION IS ADJUDGED BY A COURT OF COMPETENT
JURISDICTION TO BE UNCONSTITUTIONAL OR OTHERWISE INVALID, SUCH JUDGMENT
SHALL NOT AFFECT OR IMPAIR ANY OTHER PART OR PROVISION OR THE APPLICA-
TION THEREOF TO ANY OTHER PERSON OR ORGANIZATION, BUT SHALL BE CONFINED
IN ITS OPERATION TO SUCH PART OR PROVISION.
S 5. Legislative declaration. The legislature hereby declares that the
operation of responsible democratic government requires that the fullest
opportunity be afforded to the people to petition their government for
the redress of grievances and to express freely to appropriate officials
their opinions on legislation and governmental operations; and that, to
preserve and maintain the integrity of the governmental decision-making
process in this state, it is necessary that the identity, expenditures
and activities of persons and organizations retained, employed or desig-
nated to influence the passage or defeat of any legislation by either
house of the legislature or the approval, or veto, of any legislation by
the governor and attempts to influence the adoption or rejection of any
rule or regulation having the force and effect of law or the outcome of
any rate making proceeding by a state agency, and the attempts to influ-
ence the passage or defeat of any local law, ordinance, or regulation be
publicly and regularly disclosed.
S 6. The public officers law is amended by adding a new section 73-d
to read as follows:
S 73-D. LOBBYING ACTIVITY. 1. SHORT TITLE. THIS SECTION SHALL BE
KNOWN AND MAY BE CITED AS THE "LOBBYING ACT".
2. DEFINITIONS. AS USED IN THIS SECTION UNLESS THE CONTEXT OTHERWISE
REQUIRES:
(A) THE TERM "LOBBYIST" SHALL MEAN EVERY PERSON OR ORGANIZATION
RETAINED, EMPLOYED OR DESIGNATED BY ANY CLIENT TO ENGAGE IN DIRECTLY OR
TO SOLICIT OTHERS TO COMMUNICATE FOR THE PURPOSES OF LOBBYING. THE TERM
"LOBBYIST" SHALL NOT INCLUDE ANY OFFICER, DIRECTOR, TRUSTEE, EMPLOYEE,
COUNSEL OR AGENT OF THE STATE, OR ANY MUNICIPALITY OR SUBDIVISION THERE-
OF OF NEW YORK WHEN DISCHARGING THEIR OFFICIAL DUTIES; EXCEPT THOSE
OFFICERS, DIRECTORS, TRUSTEES, EMPLOYEES, COUNSELS, OR AGENTS OF
COLLEGES, AS DEFINED BY SECTION TWO OF THE EDUCATION LAW.
(B) THE TERM "CLIENT" SHALL MEAN EVERY PERSON OR ORGANIZATION WHO
RETAINS, EMPLOYS OR DESIGNATES ANY PERSON OR ORGANIZATION TO CARRY ON
LOBBYING ACTIVITIES ON BEHALF OF SUCH CLIENT.
(C) THE TERM "LOBBYING" OR "LOBBYING ACTIVITIES" SHALL MEAN AND
INCLUDE ANY ATTEMPT BY A PERSON OR ENTITY TO DIRECTLY OR TO SOLICIT
OTHERS TO COMMUNICATE FOR THE PURPOSE OF INFLUENCING:
S. 6615--A 12 A. 9715--A
(I) THE PASSAGE OR DEFEAT OF ANY LEGISLATION BY EITHER HOUSE OF THE
STATE LEGISLATURE OR APPROVAL OR DISAPPROVAL OF ANY LEGISLATION BY THE
GOVERNOR;
(II) THE ADOPTION, ISSUANCE, RESCISSION, MODIFICATION OR TERMS OF A
GUBERNATORIAL EXECUTIVE ORDER;
(III) THE ADOPTION OR REJECTION OF ANY PROCEDURE, RULE OR REGULATION
HAVING THE FORCE AND EFFECT OF LAW BY A STATE AGENCY;
(IV) THE OUTCOME OF ANY RATE MAKING PROCEEDING BY A STATE AGENCY;
(V) ANY DETERMINATION: (A) BY A PUBLIC OFFICIAL, OR BY A PERSON OR
ENTITY WORKING IN COOPERATION WITH A PUBLIC OFFICIAL RELATED TO A
GOVERNMENTAL PROCUREMENT, (B) BY AN OFFICER OR EMPLOYEE OF THE UNIFIED
COURT SYSTEM, OR BY A PERSON OR ENTITY WORKING IN COOPERATION WITH AN
OFFICER OR EMPLOYEE OF THE UNIFIED COURT SYSTEM RELATED TO A GOVERN-
MENTAL PROCUREMENT, OR (C) BY THE STATE OR NEW YORK CITY COMPTROLLER
WORKING IN COOPERATION WITH A PERSON OR ENTITY FOR THE INVESTMENT OF
PUBLIC PENSION FUNDS;
(VI) THE APPROVAL, DISAPPROVAL, IMPLEMENTATION OR ADMINISTRATION OF
TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER TRIBAL-
STATE AGREEMENTS AND ANY OTHER STATE ACTIONS RELATED TO CLASS III GAMING
AS PROVIDED IN 25 U.S.C. S 2701, EXCEPT TO THE EXTENT DESIGNATION OF
SUCH ACTIVITIES AS "LOBBYING" IS BARRED BY THE FEDERAL INDIAN GAMING
REGULATORY ACT, BY A PUBLIC OFFICIAL OR BY A PERSON OR ENTITY WORKING IN
COOPERATION WITH A PUBLIC OFFICIAL IN RELATION TO SUCH APPROVAL, DISAP-
PROVAL, IMPLEMENTATION OR ADMINISTRATION;
(VII) THE PASSAGE OR DEFEAT OF ANY LOCAL LAW, ORDINANCE, RESOLUTION,
OR REGULATION BY ANY MUNICIPALITY OR SUBDIVISION THEREOF;
(VIII) THE ADOPTION, ISSUANCE, RESCISSION, MODIFICATION OR TERMS OF AN
EXECUTIVE ORDER ISSUED BY THE CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY;
(IX) THE ADOPTION OR REJECTION OF ANY RULE, REGULATION, OR RESOLUTION
HAVING THE FORCE AND EFFECT OF A LOCAL LAW, ORDINANCE, RESOLUTION, OR
REGULATION; OR
(X) THE OUTCOME OF ANY RATE MAKING PROCEEDING BY ANY MUNICIPALITY OR
SUBDIVISION THEREOF.
THE TERM "LOBBYING" SHALL NOT INCLUDE:
(A) PERSONS ENGAGED IN DRAFTING, ADVISING CLIENTS ON OR RENDERING
OPINIONS ON PROPOSED LEGISLATION, RULES, REGULATIONS OR RATES, MUNICIPAL
ORDINANCES AND RESOLUTIONS, EXECUTIVE ORDERS, PROCUREMENT CONTRACTS, OR
TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER TRIBAL-
STATE AGREEMENTS OR OTHER WRITTEN MATERIALS RELATED TO CLASS III GAMING
AS PROVIDED IN 25 U.S.C. S 2701, WHEN SUCH PROFESSIONAL SERVICES ARE NOT
OTHERWISE CONNECTED WITH STATE OR MUNICIPAL LEGISLATIVE OR EXECUTIVE
ACTION ON SUCH LEGISLATION, RULES, REGULATIONS OR RATES, MUNICIPAL ORDI-
NANCES AND RESOLUTIONS, EXECUTIVE ORDERS, PROCUREMENT CONTRACTS, OR
TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER TRIBAL-
STATE AGREEMENTS OR OTHER WRITTEN MATERIALS RELATED TO CLASS III GAMING
AS PROVIDED IN 25 U.S.C. S 2701;
(B) NEWSPAPERS AND OTHER PERIODICALS AND RADIO AND TELEVISION
STATIONS, AND OWNERS AND EMPLOYEES THEREOF, PROVIDED THAT THEIR ACTIV-
ITIES IN CONNECTION WITH PROPOSED LEGISLATION, RULES, REGULATIONS OR
RATES, MUNICIPAL ORDINANCES AND RESOLUTIONS, EXECUTIVE ORDERS,
TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING OR OTHER TRIBAL-STATE
AGREEMENTS RELATED TO CLASS III GAMING AS PROVIDED IN 25 U.S.C. S 2701,
OR PROCUREMENT CONTRACTS BY A STATE AGENCY, MUNICIPAL AGENCY, LOCAL
LEGISLATIVE BODY, THE STATE LEGISLATURE, OR THE UNIFIED COURT SYSTEM,
ARE LIMITED TO THE PUBLICATION OR BROADCAST OF NEWS ITEMS, EDITORIALS OR
OTHER COMMENTS, OR PAID ADVERTISEMENTS;
S. 6615--A 13 A. 9715--A
(C) PERSONS WHO PARTICIPATE AS WITNESSES, ATTORNEYS OR OTHER REPRESEN-
TATIVES IN PUBLIC PROCEEDINGS OF A STATE OR MUNICIPAL AGENCY WITH
RESPECT TO ALL PARTICIPATION BY SUCH PERSONS WHICH IS PART OF THE PUBLIC
RECORD THEREOF AND ALL PREPARATION BY SUCH PERSONS FOR SUCH PARTIC-
IPATION;
(D) PERSONS WHO ATTEMPT TO INFLUENCE A STATE OR MUNICIPAL AGENCY IN AN
ADJUDICATORY PROCEEDING, AS "ADJUDICATORY PROCEEDING" IS DEFINED BY
SECTION ONE HUNDRED TWO OF THE STATE ADMINISTRATIVE PROCEDURE ACT;
(E) PERSONS WHO PREPARE OR SUBMIT A RESPONSE TO A REQUEST FOR INFORMA-
TION OR COMMENTS BY THE STATE LEGISLATURE, THE GOVERNOR, OR A STATE
AGENCY OR A COMMITTEE OR OFFICER OF THE LEGISLATURE OR A STATE AGENCY,
OR BY THE UNIFIED COURT SYSTEM, OR BY A LEGISLATIVE OR EXECUTIVE BODY OR
OFFICER OF A MUNICIPALITY OR A COMMISSION, COMMITTEE OR OFFICER OF A
MUNICIPAL LEGISLATIVE OR EXECUTIVE BODY;
(F) ANY ATTEMPT BY A CHURCH, ITS INTEGRATED AUXILIARY, OR A CONVENTION
OR ASSOCIATION OF CHURCHES THAT IS EXEMPT FROM FILING A FEDERAL INCOME
TAX RETURN UNDER PARAGRAPH (A)(I) OF SECTION 6033(A) OF TITLE 26 OF THE
UNITED STATES CODE OR A RELIGIOUS ORDER THAT IS EXEMPT FROM FILING A
FEDERAL INCOME TAX RETURN UNDER PARAGRAPH (2)(A)(III) OF SUCH SECTION
6033(A) TO INFLUENCE PASSAGE OR DEFEAT OF A LOCAL LAW, ORDINANCE, RESOL-
UTION OR REGULATION OR ANY RULE OR REGULATION HAVING THE FORCE AND
EFFECT OF A LOCAL LAW, ORDINANCE OR REGULATION;
(G) ANY ACTIVITY RELATING TO GOVERNMENTAL PROCUREMENTS MADE UNDER
SECTION ONE HUNDRED SIXTY-TWO OF THE STATE FINANCE LAW UNDERTAKEN BY (I)
THE NON-PROFIT-MAKING AGENCIES APPOINTED PURSUANT TO PARAGRAPH E OF
SUBDIVISION SIX OF SECTION ONE HUNDRED SIXTY-TWO OF THE STATE FINANCE
LAW BY THE COMMISSIONER OF THE OFFICE OF CHILDREN AND FAMILY SERVICES,
THE COMMISSION FOR THE BLIND AND VISUALLY HANDICAPPED, OR THE COMMIS-
SIONER OF EDUCATION, AND (II) THE QUALIFIED CHARITABLE NON-PROFIT-MAKING
AGENCIES FOR THE BLIND, AND QUALIFIED CHARITABLE NON-PROFIT-MAKING AGEN-
CIES FOR OTHER SEVERELY DISABLED PERSONS AS IDENTIFIED IN SUBDIVISION
TWO OF SECTION ONE HUNDRED SIXTY-TWO OF THE STATE FINANCE LAW; PROVIDED,
HOWEVER, THAT ANY ATTEMPT TO INFLUENCE THE ISSUANCE OR TERMS OF THE
SPECIFICATIONS THAT SERVE AS THE BASIS FOR BID DOCUMENTS, REQUESTS FOR
PROPOSALS, INVITATIONS FOR BIDS, OR SOLICITATIONS OF PROPOSALS, OR ANY
OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS INTENDING TO RESULT
IN A PROCUREMENT CONTRACT WITH A STATE AGENCY, THE STATE LEGISLATURE,
THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY
SHALL NOT BE EXEMPT FROM THE DEFINITION OF "LOBBYING" OR "LOBBYING
ACTIVITIES" UNDER THIS CLAUSE;
(H) PARTICIPANTS, INCLUDING THOSE APPEARING ON BEHALF OF A CLIENT, IN
A CONFERENCE PROVIDED FOR IN A REQUEST FOR PROPOSALS, INVITATION FOR
BIDS, OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS
INTENDING TO RESULT IN A PROCUREMENT CONTRACT;
(I) OFFERERS WHO HAVE BEEN TENTATIVELY AWARDED A CONTRACT AND ARE
ENGAGED IN COMMUNICATIONS WITH A STATE AGENCY, EITHER HOUSE OF THE STATE
LEGISLATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL
LEGISLATIVE BODY SOLELY FOR THE PURPOSE OF NEGOTIATING THE TERMS OF THE
PROCUREMENT CONTRACT AFTER BEING NOTIFIED OF SUCH AWARD OR, WHEN A STATE
AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM,
A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY IS PURCHASING AN ARTICLE OF
PROCUREMENT PURSUANT TO AN EXISTING STATE PROCUREMENT CONTRACT, OFFERERS
WHO ARE ENGAGED IN COMMUNICATIONS WITH THE PROCURING ENTITY SOLELY FOR
THE PURPOSE OF NEGOTIATING TERMS APPLICABLE TO THAT PURCHASE; OR PERSONS
WHO CURRENTLY HOLD A FRANCHISE AND WHO ARE ENGAGED IN NEGOTIATING THE
TERMS OF A TENTATIVE FRANCHISE RENEWAL CONTRACT WITH A MUNICIPALITY, BUT
S. 6615--A 14 A. 9715--A
SUCH NEGOTIATIONS, WHICH DO NOT CONSTITUTE LOBBYING, DO NOT INCLUDE
COMMUNICATIONS TO THE LOCAL LEGISLATIVE BODY THAT MUST APPROVE THE
CONTRACT; PROVIDED, HOWEVER, THAT ANY ATTEMPT TO INFLUENCE THE FINAL
ISSUANCE OR TERMS OF THE SPECIFICATIONS THAT SERVE AS THE BASIS FOR BID
DOCUMENTS, REQUESTS FOR PROPOSALS, INVITATIONS FOR BIDS, OR SOLICITA-
TIONS OF PROPOSALS, OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM
OFFERERS INTENDING TO RESULT IN A PROCUREMENT CONTRACT WITH A STATE
AGENCY, THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL
AGENCY OR LOCAL LEGISLATIVE BODY SHALL NOT BE EXEMPT FROM THE DEFINITION
OF "LOBBYING" OR "LOBBYING ACTIVITIES" UNDER THIS SUBPARAGRAPH;
(J) (I) OFFERERS OR OTHER PERSONS WHO ARE A PARTY TO A PROTEST, APPEAL
OR OTHER REVIEW PROCEEDING (INCLUDING THE APPARENT SUCCESSFUL BIDDER OR
PROPOSER AND HIS OR HER REPRESENTATIVES) BEFORE THE GOVERNMENTAL ENTITY
CONDUCTING THE PROCUREMENT SEEKING A FINAL ADMINISTRATIVE DETERMINATION,
OR IN A SUBSEQUENT JUDICIAL PROCEEDING; OR
(II) OFFERERS OR OTHER PERSONS WHO BRING COMPLAINTS OF ALLEGED IMPROP-
ER CONDUCT IN A GOVERNMENTAL PROCUREMENT TO THE ATTORNEY GENERAL,
INSPECTOR GENERAL, DISTRICT ATTORNEY, OR COURT OF COMPETENT JURISDIC-
TION; OR
(III) OFFERERS OR OTHER PERSONS WHO SUBMIT WRITTEN PROTESTS, APPEALS
OR COMPLAINTS TO THE STATE COMPTROLLER'S OFFICE DURING THE PROCESS OF
CONTRACT APPROVAL, WHERE THE STATE COMPTROLLER'S APPROVAL IS REQUIRED BY
LAW, AND WHERE SUCH COMMUNICATIONS AND ANY RESPONSES THERETO ARE MADE IN
WRITING AND SHALL BE ENTERED IN THE PROCUREMENT RECORD PURSUANT TO
SECTION ONE HUNDRED SIXTY-THREE OF THE STATE FINANCE LAW; OR
(IV) OFFERERS OR OTHER PERSONS WHO BRING COMPLAINTS OF ALLEGED IMPROP-
ER CONDUCT IN A GOVERNMENTAL PROCUREMENT CONDUCTED BY A MUNICIPAL AGENCY
OR LOCAL LEGISLATIVE BODY TO THE STATE COMPTROLLER'S OFFICE; PROVIDED,
HOWEVER, THAT NOTHING IN THIS SUBPARAGRAPH SHALL BE CONSTRUED AS RECOG-
NIZING OR CREATING ANY NEW RIGHTS, DUTIES OR RESPONSIBILITIES OR ABRO-
GATING ANY EXISTING RIGHTS, DUTIES OR RESPONSIBILITIES OF ANY GOVERN-
MENTAL ENTITY AS IT PERTAINS TO IMPLEMENTATION AND ENFORCEMENT OF
ARTICLE ELEVEN OF THE STATE FINANCE LAW OR ANY OTHER PROVISION OF LAW
DEALING WITH THE GOVERNMENTAL PROCUREMENT PROCESS;
(K) THE SUBMISSION OF A BID OR PROPOSAL (WHETHER SUBMITTED ORALLY, IN
WRITING OR ELECTRONICALLY) IN RESPONSE TO A REQUEST FOR PROPOSALS, INVI-
TATION FOR BIDS OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM
OFFERERS INTENDING TO RESULT IN A PROCUREMENT CONTRACT;
(L) OFFERERS SUBMITTING WRITTEN QUESTIONS TO A DESIGNATED CONTACT OF A
STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT
SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY SET FORTH IN A
REQUEST FOR PROPOSALS, OR INVITATION FOR BIDS OR ANY OTHER METHOD FOR
SOLICITING A RESPONSE FROM OFFERERS INTENDING TO RESULT IN A PROCUREMENT
CONTRACT, WHEN ALL WRITTEN QUESTIONS AND RESPONSES ARE TO BE DISSEM-
INATED TO ALL OFFERERS WHO HAVE EXPRESSED AN INTEREST IN THE REQUEST FOR
PROPOSALS, OR INVITATION FOR BIDS, OR ANY OTHER METHOD FOR SOLICITING A
RESPONSE FROM OFFERERS INTENDING TO RESULT IN A PROCUREMENT CONTRACT;
(M) CONTACTS DURING GOVERNMENTAL PROCUREMENTS BETWEEN DESIGNATED STAFF
OF A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED
COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY INVOLVED IN
GOVERNMENTAL PROCUREMENTS AND OFFICERS OR EMPLOYEES OF BIDDERS OR POTEN-
TIAL BIDDERS, OR OFFICERS OR EMPLOYEES OF SUBCONTRACTORS OF BIDDERS OR
POTENTIAL BIDDERS, WHO ARE CHARGED WITH THE PERFORMANCE OF FUNCTIONS
RELATING TO CONTRACTS AND WHO ARE QUALIFIED BY EDUCATION, TRAINING OR
EXPERIENCE TO PROVIDE TECHNICAL SERVICES TO EXPLAIN, CLARIFY OR DEMON-
STRATE THE QUALITIES, CHARACTERISTICS OR ADVANTAGES OF AN ARTICLE OF
S. 6615--A 15 A. 9715--A
PROCUREMENT. SUCH AUTHORIZED CONTACTS SHALL: (I) BE LIMITED TO PROVIDING
INFORMATION TO THE STAFF OF A STATE AGENCY, EITHER HOUSE OF THE STATE
LEGISLATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY AND LOCAL
LEGISLATIVE BODY TO ASSIST THEM IN UNDERSTANDING AND ASSESSING THE QUAL-
ITIES, CHARACTERISTICS OR ANTICIPATED PERFORMANCE OF AN ARTICLE OF
PROCUREMENT; (II) NOT INCLUDE ANY RECOMMENDATIONS OR ADVOCATE ANY
CONTRACT PROVISIONS; AND (III) OCCUR ONLY AT SUCH TIMES AND IN SUCH
MANNER AS AUTHORIZED UNDER THE PROCURING ENTITY'S SOLICITATION OR GUIDE-
LINES AND PROCEDURES. FOR THE PURPOSES OF THIS SUBPARAGRAPH, THE TERM
"TECHNICAL SERVICES" SHALL BE LIMITED TO ANALYSIS DIRECTLY APPLYING ANY
ACCOUNTING, ENGINEERING, SCIENTIFIC, OR OTHER SIMILAR TECHNICAL DISCI-
PLINES;
(N) APPLICATIONS FOR LICENSES, CERTIFICATES, AND PERMITS AUTHORIZED BY
STATUTES OR LOCAL LAWS OR ORDINANCES;
(O) THE ACTIVITIES OF PERSONS WHO ARE COMMISSION SALESPERSONS WITH
RESPECT TO GOVERNMENTAL PROCUREMENTS;
(P) COMMUNICATIONS MADE BY AN OFFICER OR EMPLOYEE OF THE OFFERER AFTER
THE AWARD OF THE PROCUREMENT CONTRACT WHEN SUCH COMMUNICATIONS ARE IN
THE ORDINARY COURSE OF PROVIDING THE ARTICLE OF PROCUREMENT PROVIDED BY
THE PROCUREMENT CONTRACT AND IN THE ORDINARY COURSE OF THE ASSIGNED
DUTIES OF THE OFFICER OR EMPLOYEE; PROVIDED, HOWEVER, THAT NOTHING HERE-
IN SHALL EXEMPT: (I) AN OFFICER OR EMPLOYEE WHOSE PRIMARY PURPOSE OF
EMPLOYMENT IS TO ENGAGE IN LOBBYING ACTIVITIES WITH REGARD TO GOVERN-
MENTAL PROCUREMENTS, OR (II) AN AGENT OR INDEPENDENT CONTRACTOR HIRED BY
AN OFFERER AND WHOSE PRIMARY DUTY IS TO ENGAGE IN LOBBYING ACTIVITIES
WITH REGARD TO GOVERNMENTAL PROCUREMENTS; AND
(Q) PERSONS WHO COMMUNICATE WITH PUBLIC OFFICIALS WHERE SUCH COMMUNI-
CATIONS ARE LIMITED TO OBTAINING FACTUAL INFORMATION RELATED TO BENEFITS
OR INCENTIVES OFFERED BY A STATE OR MUNICIPAL AGENCY AND WHERE SUCH
COMMUNICATIONS DO NOT INCLUDE ANY RECOMMENDATIONS OR ADVOCATE GOVERN-
MENTAL ACTION OR CONTRACT PROVISIONS, AND FURTHER WHERE SUCH COMMUNI-
CATIONS ARE NOT OTHERWISE CONNECTED WITH PENDING LEGISLATIVE OR EXECU-
TIVE ACTION OR DETERMINATIONS; PROVIDED, HOWEVER, THAT ANY PERSON WHO IS
OTHERWISE REQUIRED TO FILE A STATEMENT OR REPORT PURSUANT TO THIS
SECTION BY VIRTUE OF ENGAGING IN LOBBYING ACTIVITIES AS DEFINED IN THIS
PARAGRAPH SHALL NOT BE DEEMED TO FALL WITHIN THE EXCEPTION PROVIDED FOR
UNDER THIS SUBPARAGRAPH.
(D) THE TERM "ORGANIZATION" SHALL MEAN ANY CORPORATION, COMPANY, FOUN-
DATION, ASSOCIATION, COLLEGE AS DEFINED BY SECTION TWO OF THE EDUCATION
LAW, LABOR ORGANIZATION, FIRM, PARTNERSHIP, SOCIETY, JOINT STOCK COMPA-
NY, STATE AGENCY OR PUBLIC CORPORATION.
(E) THE TERM "STATE AGENCY" SHALL MEAN ANY DEPARTMENT, BOARD, BUREAU,
COMMISSION, DIVISION, OFFICE, COUNCIL, COMMITTEE OR OFFICER OF THE
STATE, WHETHER PERMANENT OR TEMPORARY, OR A PUBLIC BENEFIT CORPORATION
OR PUBLIC AUTHORITY AT LEAST ONE OF WHOSE MEMBERS IS APPOINTED BY THE
GOVERNOR, AUTHORIZED BY LAW TO MAKE RULES OR TO MAKE FINAL DECISIONS IN
ADJUDICATORY PROCEEDINGS BUT SHALL NOT INCLUDE THE JUDICIAL BRANCH OR
AGENCIES CREATED BY INTERSTATE COMPACT OR INTERNATIONAL AGREEMENT.
(F) THE TERM "COMMISSION" SHALL MEAN THE STATE GOVERNMENT ETHICS
COMMISSION CREATED BY SECTION SEVENTY-THREE-C OF THIS ARTICLE.
(G) THE TERM "EXPENSE" OR "EXPENSES" SHALL MEAN ANY EXPENDITURES
INCURRED BY OR REIMBURSED TO THE LOBBYIST FOR LOBBYING BUT SHALL NOT
INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO ARTICLE FOURTEEN OF THE
ELECTION LAW.
(H) THE TERM "COMPENSATION" SHALL MEAN ANY SALARY, FEE, GIFT, PAYMENT,
BENEFIT, LOAN, ADVANCE OR ANY OTHER THING OF VALUE PAID, OWED, GIVEN OR
S. 6615--A 16 A. 9715--A
PROMISED TO THE LOBBYIST BY THE CLIENT FOR LOBBYING BUT SHALL NOT
INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO ARTICLE FOURTEEN OF THE
ELECTION LAW.
(I) THE TERM "PUBLIC CORPORATION" SHALL MEAN A MUNICIPAL CORPORATION,
A DISTRICT CORPORATION, OR A PUBLIC BENEFIT CORPORATION AS DEFINED IN
SECTION SIXTY-SIX OF THE GENERAL CONSTRUCTION LAW.
(J) THE TERM "GIFT" SHALL MEAN ANYTHING OVER TEN DOLLARS IN VALUE
GIVEN TO A PUBLIC OFFICIAL IN ANY FORM INCLUDING, BUT NOT LIMITED TO
MONEY, SERVICE, LOAN, TRAVEL, LODGING, MEALS, REFRESHMENTS, ENTER-
TAINMENT, DISCOUNT, FORBEARANCE, OR PROMISE, HAVING A MONETARY VALUE.
THE FOLLOWING ARE EXCLUDED FROM THE DEFINITION OF A GIFT:
(I) COMPLIMENTARY ATTENDANCE, INCLUDING FOOD AND BEVERAGE, AT BONA
FIDE CHARITABLE OR POLITICAL EVENTS, AND FOOD AND BEVERAGE OF A NOMINAL
VALUE GREATER THAN TEN DOLLARS OFFERED OTHER THAN AS PART OF A MEAL;
(II) COMPLIMENTARY ATTENDANCE, FOOD AND BEVERAGE OFFERED BY THE SPON-
SOR OF AN EVENT THAT IS WIDELY ATTENDED OR WAS IN GOOD FAITH INTENDED TO
BE WIDELY ATTENDED, WHEN ATTENDANCE AT THE EVENT IS RELATED TO THE
ATTENDEE'S DUTIES OR RESPONSIBILITIES AS A PUBLIC OFFICIAL OR ALLOWS THE
PUBLIC OFFICIAL TO PERFORM A CEREMONIAL FUNCTION APPROPRIATE TO HIS OR
HER POSITION. FOR THE PURPOSES OF THIS SUBPARAGRAPH, THE TERM WIDELY
ATTENDED SHALL MEAN THAT THE INTENT OF THE EVENT SPONSOR IS TO INVITE
MORE THAN TWENTY-FIVE STATE OFFICERS WHO REPRESENT DIVERSE VIEWS AND TO
ENCOURAGE DIALOGUE AMONG THE PARTICIPANTS;
(III) AWARDS, PLAQUES, AND OTHER CEREMONIAL ITEMS WHICH ARE PUBLICLY
PRESENTED, OR INTENDED TO BE PUBLICLY PRESENTED, IN RECOGNITION OF
PUBLIC SERVICE, PROVIDED THAT THE ITEM OR ITEMS ARE OF THE TYPE CUSTOM-
ARILY BESTOWED AT SUCH OR SIMILAR CEREMONIES AND ARE OTHERWISE REASON-
ABLE UNDER THE CIRCUMSTANCES, AND FURTHER PROVIDED THAT THE FUNCTIONALI-
TY OF SUCH ITEMS SHALL NOT DETERMINE WHETHER SUCH ITEMS ARE PERMITTED
UNDER THIS PARAGRAPH;
(IV) AN HONORARY DEGREE BESTOWED UPON A PUBLIC OFFICIAL BY A PUBLIC OR
PRIVATE COLLEGE OR UNIVERSITY;
(V) PROMOTIONAL ITEMS HAVING NO SUBSTANTIAL RESALE VALUE SUCH AS PENS,
MUGS, CALENDARS, HATS, AND T-SHIRTS WHICH BEAR AN ORGANIZATION'S NAME,
LOGO, OR MESSAGE IN A MANNER WHICH PROMOTES THE ORGANIZATION'S CAUSE;
(VI) GOODS AND SERVICES, OR DISCOUNTS FOR GOODS AND SERVICES, OFFERED
TO THE GENERAL PUBLIC OR A SEGMENT OF THE GENERAL PUBLIC DEFINED ON A
BASIS OTHER THAN STATUS AS A PUBLIC OFFICIAL AND OFFERED ON THE SAME
TERMS AND CONDITIONS AS THE GOODS OR SERVICES ARE OFFERED TO THE GENERAL
PUBLIC OR SEGMENT THEREOF;
(VII) GIFTS FROM A FAMILY MEMBER, MEMBER OF THE SAME HOUSEHOLD, OR
PERSON WITH A PERSONAL RELATIONSHIP WITH THE PUBLIC OFFICIAL, INCLUDING
INVITATIONS TO ATTEND PERSONAL OR FAMILY SOCIAL EVENTS, WHEN THE CIRCUM-
STANCES ESTABLISH THAT IT IS THE FAMILY, HOUSEHOLD, OR PERSONAL
RELATIONSHIP THAT IS THE PRIMARY MOTIVATING FACTOR; IN DETERMINING MOTI-
VATION, THE FOLLOWING FACTORS SHALL BE AMONG THOSE CONSIDERED: (A) THE
HISTORY AND NATURE OF THE RELATIONSHIP BETWEEN THE DONOR AND THE RECIPI-
ENT, INCLUDING WHETHER OR NOT ITEMS HAVE PREVIOUSLY BEEN EXCHANGED; (B)
WHETHER THE ITEM WAS PURCHASED BY THE DONOR; AND (C) WHETHER OR NOT THE
DONOR AT THE SAME TIME GAVE SIMILAR ITEMS TO OTHER PUBLIC OFFICIALS; THE
TRANSFER SHALL NOT BE CONSIDERED TO BE MOTIVATED BY A FAMILY, HOUSEHOLD,
OR PERSONAL RELATIONSHIP IF THE DONOR SEEKS TO CHARGE OR DEDUCT THE
VALUE OF SUCH ITEM AS A BUSINESS EXPENSE OR SEEKS REIMBURSEMENT FROM A
CLIENT;
(VIII) CONTRIBUTIONS REPORTABLE UNDER ARTICLE FOURTEEN OF THE ELECTION
LAW;
S. 6615--A 17 A. 9715--A
(IX) TRAVEL REIMBURSEMENT OR PAYMENT FOR TRANSPORTATION, MEALS AND
ACCOMMODATIONS FOR AN ATTENDEE, PANELIST OR SPEAKER AT AN INFORMATIONAL
EVENT WHEN SUCH REIMBURSEMENT OR PAYMENT IS MADE BY A GOVERNMENTAL ENTI-
TY OR BY AN IN-STATE ACCREDITED PUBLIC OR PRIVATE INSTITUTION OF HIGHER
EDUCATION THAT HOSTS THE EVENT ON ITS CAMPUS, PROVIDED, HOWEVER, THAT
THE PUBLIC OFFICIAL MAY ONLY ACCEPT LODGING FROM AN INSTITUTION OF HIGH-
ER EDUCATION: (A) AT A LOCATION ON OR WITHIN CLOSE PROXIMITY TO THE HOST
CAMPUS; AND (B) FOR THE NIGHT PRECEDING AND THE NIGHTS OF THE DAYS ON
WHICH THE ATTENDEE, PANELIST OR SPEAKER ACTUALLY ATTENDS THE EVENT;
(X) PROVISION OF LOCAL TRANSPORTATION TO INSPECT OR TOUR FACILITIES,
OPERATIONS OR PROPERTY OWNED OR OPERATED BY THE ENTITY PROVIDING SUCH
TRANSPORTATION, PROVIDED, HOWEVER, THAT PAYMENT OR REIMBURSEMENT OF
LODGING, MEALS OR TRAVEL EXPENSES TO AND FROM THE LOCALITY WHERE SUCH
FACILITIES, OPERATIONS OR PROPERTY ARE LOCATED SHALL BE CONSIDERED TO BE
GIFTS UNLESS OTHERWISE PERMITTED UNDER THIS SUBDIVISION; AND
(XI) MEALS OR REFRESHMENTS WHEN PARTICIPATING IN A PROFESSIONAL OR
EDUCATIONAL PROGRAM AND THE MEALS OR REFRESHMENTS ARE PROVIDED TO ALL
PARTICIPANTS.
(K) THE TERM "MUNICIPALITY" SHALL MEAN ANY JURISDICTIONAL SUBDIVISION
OF THE STATE, INCLUDING BUT NOT LIMITED TO COUNTIES, CITIES, TOWNS,
VILLAGES, IMPROVEMENT DISTRICTS AND SPECIAL DISTRICTS, WITH A POPULATION
OF MORE THAN FIFTY THOUSAND, AND INDUSTRIAL DEVELOPMENT AGENCIES IN
JURISDICTIONAL SUBDIVISIONS WITH A POPULATION OF MORE THAN FIFTY THOU-
SAND; AND PUBLIC AUTHORITIES, AND PUBLIC CORPORATIONS, BUT SHALL NOT
INCLUDE SCHOOL DISTRICTS.
(L) THE TERM "PUBLIC OFFICIAL" SHALL MEAN:
(I) THE GOVERNOR, LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY GENER-
AL;
(II) MEMBERS OF THE STATE LEGISLATURE;
(III) STATE OFFICERS AND EMPLOYEES INCLUDING:
(A) HEADS OF STATE DEPARTMENTS AND THEIR DEPUTIES AND ASSISTANTS OTHER
THAN MEMBERS OF THE BOARD OF REGENTS OF THE UNIVERSITY OF THE STATE OF
NEW YORK WHO RECEIVE NO COMPENSATION OR ARE COMPENSATED ON A PER DIEM
BASIS,
(B) OFFICERS AND EMPLOYEES OF STATE ELECTED OFFICIALS,
(C) OFFICERS AND EMPLOYEES OF STATE DEPARTMENTS, BOARDS, BUREAUS,
DIVISIONS, COMMISSIONS, COUNCILS OR OTHER STATE AGENCIES,
(D) MEMBERS OR DIRECTORS OF PUBLIC AUTHORITIES, OTHER THAN MULTI-STATE
AUTHORITIES, PUBLIC BENEFIT CORPORATIONS AND COMMISSIONS AT LEAST ONE OF
WHOSE MEMBERS IS APPOINTED BY THE GOVERNOR, AND EMPLOYEES OF SUCH
AUTHORITIES, CORPORATIONS AND COMMISSIONS;
(IV) OFFICERS AND EMPLOYEES OF THE LEGISLATURE; AND
(V) MUNICIPAL OFFICERS AND EMPLOYEES INCLUDING AN OFFICER OR EMPLOYEE
OF A MUNICIPAL ENTITY, WHETHER PAID OR UNPAID, INCLUDING MEMBERS OF ANY
ADMINISTRATIVE BOARD, COMMISSION OR OTHER AGENCY THEREOF AND IN THE CASE
OF A COUNTY, SHALL BE DEEMED TO ALSO INCLUDE ANY OFFICER OR EMPLOYEE
PAID FROM COUNTY FUNDS. NO PERSON SHALL BE DEEMED TO BE A MUNICIPAL
OFFICER OR EMPLOYEE SOLELY BY REASON OF BEING A VOLUNTEER FIREMAN OR
CIVIL DEFENSE VOLUNTEER, EXCEPT A FIRE CHIEF OR ASSISTANT FIRE CHIEF.
(M) THE TERM "RESTRICTED PERIOD" SHALL MEAN THE PERIOD OF TIME
COMMENCING WITH THE EARLIEST WRITTEN NOTICE, ADVERTISEMENT OR SOLICITA-
TION OF A REQUEST FOR PROPOSAL, INVITATION FOR BIDS, OR SOLICITATION OF
PROPOSALS, OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS
INTENDING TO RESULT IN A PROCUREMENT CONTRACT WITH A STATE AGENCY,
EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, OR A
MUNICIPAL AGENCY, AS THAT TERM IS DEFINED BY SUBPARAGRAPH (II) OF PARA-
S. 6615--A 18 A. 9715--A
GRAPH (S) OF THIS SUBDIVISION, AND ENDING WITH THE FINAL CONTRACT AWARD
AND APPROVAL BY THE STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE,
THE UNIFIED COURT SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED
BY SUBPARAGRAPH (II) OF PARAGRAPH (S) OF THIS SUBDIVISION, AND, WHERE
APPLICABLE, THE STATE COMPTROLLER.
(N) THE TERM "REVENUE CONTRACT" SHALL MEAN ANY WRITTEN AGREEMENT
BETWEEN A STATE OR MUNICIPAL AGENCY OR A LOCAL LEGISLATIVE BODY AND AN
OFFERER WHEREBY THE STATE OR MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY
GIVES OR GRANTS A CONCESSION OR A FRANCHISE.
(O) THE TERM "ARTICLE OF PROCUREMENT" SHALL MEAN A COMMODITY, SERVICE,
TECHNOLOGY, PUBLIC WORK, CONSTRUCTION, REVENUE CONTRACT, THE PURCHASE,
SALE OR LEASE OF PERSONAL OR REAL PROPERTY OR AN ACQUISITION OR GRANTING
OF OTHER INTEREST IN REAL PROPERTY, THAT IS THE SUBJECT OF A GOVERN-
MENTAL PROCUREMENT.
(P) THE TERM "GOVERNMENTAL PROCUREMENT" SHALL MEAN: (I) THE PREPARA-
TION OR TERMS OF THE SPECIFICATIONS, BID DOCUMENTS, REQUEST FOR
PROPOSALS, OR EVALUATION CRITERIA FOR A PROCUREMENT CONTRACT, (II)
SOLICITATION FOR A PROCUREMENT CONTRACT, (III) EVALUATION OF A PROCURE-
MENT CONTRACT, (IV) AWARD, APPROVAL, DENIAL OR DISAPPROVAL OF A PROCURE-
MENT CONTRACT, OR (V) APPROVAL OR DENIAL OF AN ASSIGNMENT, AMENDMENT
(OTHER THAN AMENDMENTS THAT ARE AUTHORIZED AND PAYABLE UNDER THE TERMS
OF THE PROCUREMENT CONTRACT AS IT WAS FINALLY AWARDED OR APPROVED BY THE
COMPTROLLER, AS APPLICABLE), RENEWAL OR EXTENSION OF A PROCUREMENT
CONTRACT, OR ANY OTHER MATERIAL CHANGE IN THE PROCUREMENT CONTRACT
RESULTING IN A FINANCIAL BENEFIT TO THE OFFERER.
(Q) THE TERM "OFFERER" SHALL MEAN THE INDIVIDUAL OR ENTITY, OR ANY
EMPLOYEE, AGENT, LOBBYIST OR CONSULTANT OF SUCH INDIVIDUAL OR ENTITY,
THAT CONTACTS A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE
UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY ABOUT
A GOVERNMENTAL PROCUREMENT.
(R) THE TERM "PROCUREMENT CONTRACT" SHALL MEAN ANY CONTRACT OR OTHER
AGREEMENT FOR AN ARTICLE OF PROCUREMENT INVOLVING AN ESTIMATED ANNUAL-
IZED EXPENDITURE IN EXCESS OF FIFTEEN THOUSAND DOLLARS. GRANTS, ARTICLE
ELEVEN-B STATE FINANCE LAW CONTRACTS, PROGRAM CONTRACTS BETWEEN
NOT-FOR-PROFIT ORGANIZATIONS, AS DEFINED IN ARTICLE ELEVEN-B OF THE
STATE FINANCE LAW, AND THE UNIFIED COURT SYSTEM, INTERGOVERNMENTAL
AGREEMENTS, RAILROAD AND UTILITY FORCE ACCOUNTS, UTILITY RELOCATION
PROJECT AGREEMENTS OR ORDERS AND EMINENT DOMAIN TRANSACTIONS SHALL NOT
BE DEEMED PROCUREMENT CONTRACTS.
(S) THE TERM "MUNICIPAL AGENCY" SHALL MEAN: (I) ANY DEPARTMENT, BOARD,
BUREAU, COMMISSION, DIVISION, OFFICE, COUNCIL, COMMITTEE OR OFFICER OF A
MUNICIPALITY, WHETHER PERMANENT OR TEMPORARY; OR (II) AN INDUSTRIAL
DEVELOPMENT AGENCY, LOCATED IN A JURISDICTIONAL SUBDIVISION OF THE STATE
WITH A POPULATION OF MORE THAN FIFTY THOUSAND, OR LOCAL PUBLIC BENEFIT
CORPORATION, AS THAT TERM IS DEFINED IN SECTION SIXTY-SIX OF THE GENERAL
CONSTRUCTION LAW.
(T) THE TERM "LOCAL LEGISLATIVE BODY" SHALL MEAN THE BOARD OF SUPERVI-
SORS, BOARD OF ALDERMEN, COMMON COUNCIL, COUNCIL, COMMISSION, TOWN
BOARD, BOARD OF TRUSTEES OR OTHER ELECTIVE GOVERNING BOARD OR BODY OF A
MUNICIPALITY NOW OR HEREAFTER VESTED BY STATE STATUTE, CHARTER OR OTHER
LAW WITH JURISDICTION TO INITIATE AND ADOPT LOCAL LAWS AND ORDINANCES,
WHETHER OR NOT SUCH LOCAL LAWS OR ORDINANCES REQUIRE APPROVAL OF THE
ELECTIVE CHIEF EXECUTIVE OFFICER OR OTHER OFFICIAL OR BODY TO BECOME
EFFECTIVE.
(U) THE TERM "COMMISSION SALESPERSON" SHALL MEAN ANY PERSON THE PRIMA-
RY PURPOSE OF WHOSE EMPLOYMENT IS TO CAUSE OR PROMOTE THE SALE OF, OR TO
S. 6615--A 19 A. 9715--A
INFLUENCE OR INDUCE ANOTHER TO MAKE A PURCHASE OF AN ARTICLE OF PROCURE-
MENT, WHETHER SUCH PERSON IS AN EMPLOYEE (AS THAT TERM IS DEFINED FOR
TAX PURPOSES) OF OR AN INDEPENDENT CONTRACTOR FOR A VENDOR, PROVIDED
THAT AN INDEPENDENT CONTRACTOR SHALL HAVE A WRITTEN CONTRACT FOR A TERM
OF NOT LESS THAN SIX MONTHS OR FOR AN INDEFINITE TERM, AND WHICH PERSON
SHALL BE COMPENSATED, IN WHOLE OR IN PART, BY THE PAYMENT OF A PERCENT-
AGE AMOUNT OF ALL OR A SUBSTANTIAL PART OF THE SALES WHICH SUCH PERSON
HAS CAUSED, PROMOTED, INFLUENCED OR INDUCED, PROVIDED, HOWEVER, THAT NO
PERSON SHALL BE CONSIDERED A COMMISSION SALESPERSON WITH RESPECT TO ANY
SALE TO OR PURCHASE BY A STATE AGENCY, EITHER HOUSE OF THE STATE LEGIS-
LATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLA-
TIVE BODY IF THE PERCENTAGE AMOUNT OF ANY COMMISSION PAYABLE WITH
RESPECT TO SUCH SALE OR PURCHASE IS SUBSTANTIALLY IN EXCESS OF ANY
COMMISSION PAYABLE WITH RESPECT TO ANY COMPARABLE SALE TO A PURCHASER
THAT IS NOT A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE
UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY;
FURTHER, PROVIDED, HOWEVER, THAT ANY PERSON THAT IS REQUIRED TO FILE A
STATEMENT OR REPORT PURSUANT TO THIS SECTION BY VIRTUE OF ENGAGING IN
LOBBYING ACTIVITIES AS DEFINED IN SUBPARAGRAPHS (I) THROUGH (IV) AND
(VI) THROUGH (X) OF PARAGRAPH (C) OF THIS SUBDIVISION SHALL NOT BE
DEEMED TO BE A "COMMISSION SALESPERSON" FOR PURPOSES OF THIS SECTION.
(V) THE TERM "UNIFIED COURT SYSTEM", FOR THE PURPOSES OF THIS CHAPTER,
SHALL MEAN THE UNIFIED COURT SYSTEM OF THE STATE OF NEW YORK, OR THE
OFFICE OF COURT ADMINISTRATION, WHERE APPROPRIATE, OTHER THAN TOWN AND
VILLAGE JUSTICE COURTS IN JURISDICTIONS WITH A POPULATION UNDER FIFTY
THOUSAND, WHEN IT ACTS SOLELY IN AN ADMINISTRATIVE CAPACITY TO ENGAGE IN
GOVERNMENTAL PROCUREMENTS AND SHALL NOT INCLUDE THE UNIFIED COURT SYSTEM
OR ANY COURT OF THE STATE JUDICIARY WHEN IT ACTS TO HEAR AND DECIDE
CASES OF ORIGINAL OR APPELLATE JURISDICTION OR OTHERWISE ACTS IN ITS
JUDICIAL, AS OPPOSED TO ADMINISTRATIVE, CAPACITY.
(W) "DOMESTIC PARTNER" MEANS A PERSON AT LEAST EIGHTEEN YEARS OF AGE
WHO:
(A) IS DEPENDENT UPON THE EMPLOYEE FOR SUPPORT AS SHOWN BY EITHER
UNILATERAL DEPENDENCE OR MUTUAL INTERDEPENDENCE, AS EVIDENCED BY A NEXUS
OF FACTORS INCLUDING, BUT NOT LIMITED TO, COMMON OWNERSHIP OF REAL OR
PERSONAL PROPERTY, COMMON HOUSEHOLDING, CHILDREN IN COMMON, SIGNS OF
INTENT TO MARRY, SHARED BUDGETING, AND THE LENGTH OF THE PERSONAL
RELATIONSHIP WITH THE EMPLOYEE; OR
(B) HAS REGISTERED AS THE DOMESTIC PARTNER OF THE EMPLOYEE WITH ANY
REGISTRY OF DOMESTIC PARTNERSHIPS MAINTAINED BY THE EMPLOYER OF EITHER
PARTY, THE STATE, OR ANY COUNTY, CITY, TOWN, OR VILLAGE.
(C) FOR THE PURPOSES OF THIS SECTION, THE DEFINITION OF DOMESTIC PART-
NER MADE BY THIS SUBDIVISION SHALL SUPPLEMENT OR SUPERSEDE ANY INCON-
SISTENT DEFINITION OF SUCH TERM BY ANY OTHER GENERAL, SPECIAL, OR LOCAL
LAW, ORDINANCE, CODE, OR CHARTER SO THAT NO PERSON QUALIFYING AS A
DOMESTIC PARTNER, AS DEFINED IN THIS SUBDIVISION, WHETHER REGISTERED OR
UNREGISTERED, SHALL, FOR THE PURPOSES OF THIS SECTION, BE DEEMED NOT TO
BE A DOMESTIC PARTNER.
(D) FOR THE PURPOSES OF THIS SECTION, THE TERM "DOMESTIC PARTNER"
SHALL NOT INCLUDE ANY PERSON WHO IS RELATED BY BLOOD TO THE EMPLOYEE IN
A MANNER THAT WOULD BAR MARRIAGE TO THE EMPLOYEE IN NEW YORK STATE.
3. LOBBY-RELATED POWERS OF THE COMMISSION. IN ADDITION TO ANY OTHER
POWERS AND DUTIES PROVIDED BY SECTION SEVENTY-THREE-C OF THIS ARTICLE,
THE COMMISSION SHALL, WITH RESPECT TO ITS LOBBYING-RELATED FUNCTIONS
ONLY, HAVE THE POWER AND DUTY TO:
(A) ADMINISTER AND ENFORCE ALL THE PROVISIONS OF THIS SECTION;
S. 6615--A 20 A. 9715--A
(B) CONDUCT ANY INVESTIGATION NECESSARY TO CARRY OUT THE PROVISIONS OF
THIS ARTICLE AT ANY PLACE WITHIN THE STATE. PURSUANT TO THIS POWER AND
DUTY, THE COMMISSION MAY ADMINISTER OATHS OR AFFIRMATIONS, SUBPOENA
WITNESSES, COMPEL THEIR ATTENDANCE AND REQUIRE THE PRODUCTION OF ANY
BOOKS OR RECORDS WHICH IT MAY DEEM RELEVANT OR MATERIAL;
(C) CONDUCT A PROGRAM OF REGULAR AS WELL AS RANDOM AUDITS SUBJECT TO
THE TERMS AND CONDITIONS OF THIS SUBDIVISION. ANY SUCH PROGRAM SHALL BE
CARRIED OUT IN THE FOLLOWING MANNER:
(I) THE COMMISSION MAY REGULARLY AND RANDOMLY SELECT REPORTS OR REGIS-
TRATION STATEMENTS REQUIRED TO BE FILED BY LOBBYISTS OR CLIENTS PURSUANT
TO THIS SECTION FOR AUDIT. ANY SUCH SELECTION SHALL BE DONE IN A MANNER
PURSUANT TO WHICH THE IDENTITY OF ANY PARTICULAR LOBBYIST OR CLIENT
WHOSE STATEMENT OR REPORT IS SELECTED FOR AUDIT IS UNKNOWN TO THE
COMMISSION, ITS STAFF OR ANY OF THEIR AGENTS PRIOR TO SELECTION.
(II) THE COMMISSION SHALL DEVELOP PROTOCOLS FOR THE CONDUCT OF SUCH
REGULAR AND RANDOM AUDITS. SUCH REGULAR AND RANDOM AUDITS MAY REQUIRE
THE PRODUCTION OF BOOKS, PAPERS, RECORDS OR MEMORANDA RELEVANT AND MATE-
RIAL TO THE PREPARATION OF THE SELECTED STATEMENTS OR REPORTS, FOR EXAM-
INATION BY THE COMMISSION. ANY SUCH PROTOCOLS SHALL ENSURE THAT SIMILAR-
LY SITUATED STATEMENTS OR REPORTS ARE AUDITED IN A UNIFORM MANNER.
(III) THE COMMISSION MAY CONTRACT WITH AN OUTSIDE ACCOUNTING ENTITY,
WHICH SHALL MONITOR THE PROCESS PURSUANT TO WHICH THE COMMISSION SELECTS
STATEMENTS OR REPORTS FOR AUDIT AND CARRIES OUT THE PROVISIONS OF
SUBPARAGRAPHS (I) AND (II) OF THIS PARAGRAPH AND CERTIFIES THAT SUCH
PROCESS COMPLIES WITH THE PROVISIONS OF SUCH SUBPARAGRAPHS.
(IV) UPON COMPLETION OF A REGULAR OR RANDOM AUDIT CONDUCTED IN ACCORD-
ANCE WITH THE PROVISIONS OF SUBPARAGRAPHS (I), (II) AND (III) OF THIS
PARAGRAPH, THE COMMISSION SHALL DETERMINE WHETHER THERE IS REASONABLE
CAUSE TO BELIEVE THAT ANY SUCH STATEMENT OR REPORT IS INACCURATE OR
INCOMPLETE. UPON A DETERMINATION THAT SUCH REASONABLE CAUSE EXISTS, THE
COMMISSION MAY REQUIRE THE PRODUCTION OF FURTHER BOOKS, RECORDS OR MEMO-
RANDA, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE AND TESTIMONY AND
ADMINISTER OATHS OR AFFIRMATIONS, TO THE EXTENT THE COMMISSION DETER-
MINES SUCH ACTIONS ARE NECESSARY TO OBTAIN INFORMATION RELEVANT AND
MATERIAL TO INVESTIGATING SUCH INACCURACIES OR OMISSIONS;
(D) CONDUCT HEARINGS PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS
LAW. ANY HEARING MAY BE CONDUCTED AS A VIDEO CONFERENCE IN ACCORDANCE
WITH THE PROVISIONS OF SUBDIVISION FOUR OF SECTION ONE HUNDRED FOUR OF
THE PUBLIC OFFICERS LAW;
(E) PREPARE UNIFORM FORMS FOR THE LOBBYING-RELATED STATEMENTS AND
REPORTS REQUIRED BY THIS SUBDIVISION;
(F) MEET AT LEAST ONCE DURING EACH BI-MONTHLY REPORTING PERIOD OF THE
YEAR AS ESTABLISHED BY PARAGRAPH (A) OF SUBDIVISION SEVEN OF THIS
SECTION AND MAY MEET AT SUCH OTHER TIMES AS THE COMMISSION, OR THE CHAIR
AND VICE-CHAIR JOINTLY, SHALL DETERMINE; AND
(G) SUBMIT BY THE FIRST DAY OF MARCH NEXT FOLLOWING THE YEAR FOR WHICH
SUCH REPORT IS MADE TO THE GOVERNOR AND THE MEMBERS OF THE LEGISLATURE
AN ANNUAL REPORT SUMMARIZING THE COMMISSION'S WORK, LISTING THE LOBBY-
ISTS AND CLIENTS REQUIRED TO REGISTER PURSUANT TO THIS SECTION AND THE
EXPENSES AND COMPENSATION REPORTED PURSUANT TO THIS SECTION AND MAKING
RECOMMENDATIONS WITH RESPECT TO THIS SECTION. THE COMMISSION SHALL MAKE
THIS REPORT AVAILABLE FREE OF CHARGE TO THE PUBLIC.
4. STATEMENT OF REGISTRATION. (A) (I) EVERY LOBBYIST SHALL ANNUALLY
FILE WITH THE COMMISSION, ON FORMS PROVIDED BY THE COMMISSION, A STATE-
MENT OF REGISTRATION FOR EACH CALENDAR YEAR; PROVIDED, HOWEVER, THAT THE
FILING OF SUCH STATEMENT OF REGISTRATION SHALL NOT BE REQUIRED OF ANY
S. 6615--A 21 A. 9715--A
LOBBYIST WHO (1) IN ANY YEAR DOES NOT EXPEND, INCUR OR RECEIVE AN AMOUNT
IN EXCESS OF FIVE THOUSAND DOLLARS OF REPORTABLE COMPENSATION AND
EXPENSES, AS PROVIDED IN SUBPARAGRAPH (V) OF PARAGRAPH (B) OF SUBDIVI-
SION SEVEN OF THIS SECTION, FOR THE PURPOSES OF LOBBYING OR (2) IS AN
OFFICER, DIRECTOR, TRUSTEE OR EMPLOYEE OF ANY PUBLIC CORPORATION, WHEN
ACTING IN SUCH OFFICIAL CAPACITY; PROVIDED HOWEVER, THAT NOTHING IN THIS
SUBDIVISION SHALL BE CONSTRUED TO RELIEVE ANY PUBLIC CORPORATION OF THE
OBLIGATION TO FILE SUCH STATEMENTS AND REPORTS AS REQUIRED BY THIS
SECTION. THE AMOUNTS EXPENDED, INCURRED, OR RECEIVED OF REPORTABLE
COMPENSATION AND EXPENSES FOR LOBBYING ACTIVITIES SHALL BE COMPUTED
CUMULATIVELY FOR ALL LOBBYING ACTIVITIES WHEN DETERMINING WHETHER THE
THRESHOLDS SET FORTH IN THIS SUBDIVISION HAVE BEEN MET.
(II) EVERY LOBBYIST SHALL BIENNIALLY FILE WITH THE COMMISSION, ON
FORMS PROVIDED BY THE COMMISSION, A STATEMENT OF REGISTRATION FOR EACH
BIENNIAL PERIOD BEGINNING WITH THE FIRST YEAR OF THE BIENNIAL CYCLE
COMMENCING CALENDAR YEAR TWO THOUSAND FIVE AND THEREAFTER; PROVIDED,
HOWEVER, THAT THE BIENNIAL FILING OF SUCH STATEMENT OF REGISTRATION
SHALL NOT BE REQUIRED OF ANY LOBBYIST WHO (1) IN ANY YEAR DOES NOT
EXPEND, INCUR OR RECEIVE AN AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS OF
REPORTABLE COMPENSATION, AS PROVIDED IN SUBPARAGRAPH (V) OF PARAGRAPH
(B) OF SUBDIVISION SEVEN OF THIS SECTION FOR THE PURPOSES OF LOBBYING OR
(2) IS AN OFFICER, DIRECTOR, TRUSTEE OR EMPLOYEE OF ANY PUBLIC CORPO-
RATION, WHEN ACTING IN SUCH OFFICIAL CAPACITY; PROVIDED HOWEVER, THAT
NOTHING IN THIS SUBDIVISION SHALL BE CONSTRUED TO RELIEVE ANY PUBLIC
CORPORATION OF THE OBLIGATION TO FILE SUCH STATEMENTS AND REPORTS AS
REQUIRED BY THIS SECTION.
(III) SUCH BIENNIAL FILINGS SHALL BE COMPLETED ON OR BEFORE JANUARY
FIRST OF THE FIRST YEAR OF A BIENNIAL CYCLE COMMENCING IN CALENDAR YEAR
TWO THOUSAND FIVE AND THEREAFTER, BY THOSE PERSONS WHO HAVE BEEN
RETAINED, EMPLOYED OR DESIGNATED AS LOBBYIST ON OR BEFORE DECEMBER
FIFTEENTH OF THE PREVIOUS CALENDAR YEAR AND WHO REASONABLY ANTICIPATE
THAT IN THE COMING YEAR THEY WILL EXPEND, INCUR OR RECEIVE COMBINED
REPORTABLE COMPENSATION AND EXPENSES IN AN AMOUNT IN EXCESS OF FIVE
THOUSAND DOLLARS COMMENCING IN TWO THOUSAND TEN; FOR THOSE LOBBYISTS
RETAINED, EMPLOYED OR DESIGNATED AFTER THE PREVIOUS DECEMBER FIFTEENTH,
AND FOR THOSE LOBBYISTS WHO SUBSEQUENT TO THEIR RETAINER, EMPLOYMENT OR
DESIGNATION REASONABLY ANTICIPATE COMBINED REPORTABLE COMPENSATION AND
EXPENSES IN EXCESS OF SUCH AMOUNT, SUCH FILING MUST BE COMPLETED WITHIN
FIFTEEN DAYS THEREAFTER, BUT IN NO EVENT LATER THAN TEN DAYS AFTER THE
ACTUAL INCURRING OR RECEIVING OF SUCH REPORTABLE COMPENSATION AND
EXPENSES.
(B) (I) SUCH STATEMENTS OF REGISTRATION SHALL BE KEPT ON FILE FOR A
PERIOD OF THREE YEARS FOR THOSE FILING PERIODS WHERE ANNUAL STATEMENTS
ARE REQUIRED, AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD;
(II) BIENNIAL STATEMENTS OF REGISTRATION SHALL BE KEPT ON FILE FOR A
PERIOD OF THREE BIENNIAL FILING PERIODS WHERE BIENNIAL STATEMENTS ARE
REQUIRED, AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD.
(C) SUCH STATEMENT OF REGISTRATION SHALL CONTAIN: (I) THE NAME,
ADDRESS AND TELEPHONE NUMBER OF THE LOBBYIST AND THE SPOUSE, DOMESTIC
PARTNER AND UNEMANCIPATED CHILDREN OF THE LOBBYIST, AND IF THE LOBBYIST
IS AN ORGANIZATION THE NAMES, ADDRESSES AND TELEPHONE NUMBERS OF ANY
OFFICER OR EMPLOYEE OF SUCH LOBBYIST WHO ENGAGES IN ANY LOBBYING ACTIV-
ITIES OR WHO IS EMPLOYED IN AN ORGANIZATION'S DIVISION THAT ENGAGES IN
LOBBYING ACTIVITIES OF THE ORGANIZATION AND THE SPOUSE AND UNEMANCIPATED
CHILDREN OF SUCH OFFICERS OR EMPLOYEES, PROVIDED THAT THE ADDRESSES AND
TELEPHONE NUMBERS OF SPOUSES AND UNEMANCIPATED CHILDREN SHALL BE NOT BE
S. 6615--A 22 A. 9715--A
MADE AVAILABLE TO THE PUBLIC; (II) THE NAME, ADDRESS AND TELEPHONE
NUMBER OF THE CLIENT BY WHOM OR ON WHOSE BEHALF THE LOBBYIST IS
RETAINED, EMPLOYED OR DESIGNATED; (III) IF SUCH LOBBYIST IS RETAINED OR
EMPLOYED PURSUANT TO A WRITTEN AGREEMENT OF RETAINER OR EMPLOYMENT, A
COPY OF SUCH SHALL ALSO BE ATTACHED AND IF SUCH RETAINER OR EMPLOYMENT
IS ORAL, A STATEMENT OF THE SUBSTANCE THEREOF; SUCH WRITTEN RETAINER, OR
IF IT IS ORAL, A STATEMENT OF THE SUBSTANCE THEREOF, AND ANY AMENDMENT
THERETO, SHALL BE RETAINED FOR A PERIOD OF THREE YEARS; (IV) A WRITTEN
AUTHORIZATION FROM THE CLIENT BY WHOM THE LOBBYIST IS AUTHORIZED TO
LOBBY, UNLESS SUCH LOBBYIST HAS FILED A WRITTEN AGREEMENT OF RETAINER OR
EMPLOYMENT PURSUANT TO SUBPARAGRAPH (III) OF THIS PARAGRAPH; (V) THE
FOLLOWING INFORMATION ON WHICH THE LOBBYIST EXPECTS TO LOBBY: (1) A
DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS, (2) THE LEGISLATIVE BILL
NUMBERS OF ANY BILLS, (3) THE NUMBERS OR SUBJECT MATTER (IF THERE ARE NO
NUMBERS) OF GUBERNATORIAL EXECUTIVE ORDERS OR EXECUTIVE ORDERS ISSUED BY
THE CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY, (4) THE SUBJECT MATTER OF
AND TRIBES INVOLVED IN TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTAND-
ING, OR ANY OTHER STATE-TRIBAL AGREEMENTS AND ANY STATE ACTIONS RELATED
TO CLASS III GAMING AS PROVIDED IN 25 U.S.C. S 2701, (5) THE RULE, REGU-
LATION, AND RATEMAKING NUMBERS OF ANY RULES, REGULATIONS, RATES, OR
MUNICIPAL ORDINANCES AND RESOLUTIONS, OR PROPOSED RULES, REGULATIONS, OR
RATES, OR MUNICIPAL ORDINANCES AND RESOLUTIONS, (6) THE TITLES AND ANY
IDENTIFYING NUMBERS OF ANY STATE LOANS, STATE GRANTS, PROCUREMENT
CONTRACTS AND OTHER DISBURSEMENTS OR DOCUMENTS DISSEMINATED BY A STATE
AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM,
MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY IN CONNECTION WITH A GOVERN-
MENTAL PROCUREMENT, AND THE IDENTITY OF ANY INVESTMENT FOR PUBLIC
PENSION FUNDS; (VI) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE
BODY BEFORE WHICH THE LOBBYIST IS LOBBYING OR EXPECTS TO LOBBY; AND
(VII) IF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED BY MORE THAN
ONE CLIENT, A SEPARATE STATEMENT OF REGISTRATION SHALL BE REQUIRED FOR
EACH SUCH CLIENT.
(D) ANY AMENDMENT TO THE INFORMATION FILED BY THE LOBBYIST IN THE
ORIGINAL STATEMENT OF REGISTRATION SHALL BE SUBMITTED TO THE COMMISSION
ON FORMS SUPPLIED BY THE COMMISSION WITHIN TEN DAYS AFTER SUCH AMEND-
MENT, HOWEVER, THIS SHALL NOT REQUIRE THE LOBBYIST TO AMEND THE ENTIRE
REGISTRATION FORM.
(E) (I) THE FIRST STATEMENT OF REGISTRATION FILED ANNUALLY BY EACH
LOBBYIST SHALL BE ACCOMPANIED BY A REGISTRATION FEE OF TWO HUNDRED
DOLLARS EXCEPT THAT NO REGISTRATION FEE SHALL BE REQUIRED FROM ANY
LOBBYIST WHO IN ANY YEAR DOES NOT EXPEND, INCUR OR RECEIVE AN AMOUNT IN
EXCESS OF FIVE THOUSAND DOLLARS OF REPORTABLE COMPENSATION AND EXPENSES,
AS PROVIDED IN SUBPARAGRAPH (V) OF PARAGRAPH (B) OF SUBDIVISION SEVEN OF
THIS SECTION, FOR THE PURPOSES OF LOBBYING OR OF A PUBLIC CORPORATION. A
FEE OF TWO HUNDRED DOLLARS SHALL BE REQUIRED FOR ANY SUBSEQUENT STATE-
MENT OF REGISTRATION FILED BY A LOBBYIST DURING THE SAME BIENNIAL PERI-
OD; (II) THE STATEMENT OF REGISTRATION FILED AFTER THE DUE DATE OF A
BIENNIAL REGISTRATION SHALL BE ACCOMPANIED BY A REGISTRATION FEE THAT IS
PRORATED TO ONE HUNDRED DOLLARS FOR ANY REGISTRATION FILED AFTER JANUARY
FIRST OF THE SECOND CALENDAR YEAR COVERED BY THE BIENNIAL REPORTING
REQUIREMENT. IN ADDITION TO THE FEES AUTHORIZED BY THIS SUBDIVISION, THE
COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A REGISTRATION STATEMENT
REQUIRED BY THIS SUBDIVISION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH
DAY THAT THE STATEMENT REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE
LOBBYIST MAKING A LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STAT-
UTE TO FILE SUCH A STATEMENT, THE FEE FOR LATE FILING SHALL NOT EXCEED
S. 6615--A 23 A. 9715--A
TEN DOLLARS FOR EACH DAY THAT THE STATEMENT REQUIRED TO BE FILED IS
LATE.
4-A. EVERY LOBBYIST SHALL PROVIDE ON THE REGISTRATION STATEMENT FORMS
PROVIDED BY THE COMMISSION A STATEMENT LISTING ANY BUSINESS RELATION-
SHIPS WITH STATE OFFICERS, MEMBERS OF THE LEGISLATURE, AND LEGISLATIVE
EMPLOYEES REGARDLESS OF WHETHER OR NOT FOR COMPENSATION. FOR THE
PURPOSES OF THIS SUBDIVISION, BUSINESS RELATIONSHIPS SHALL INCLUDE, BUT
NOT BE LIMITED TO, REFERRALS, ORAL AGREEMENTS, OR FORMAL WRITTEN
CONTRACTUAL AGREEMENTS.
4-B. BEYOND THE ITEMS REQUIRED TO BE LISTED PURSUANT TO THIS SECTION,
EVERY LOBBYIST SHALL PROVIDE ON THE REGISTRATION STATEMENT FORMS
PROVIDED BY THE COMMISSION A STATEMENT LISTING ALL LOBBYIST OR CLIENT
SOLICITATIONS OF PUBLIC OFFICERS WITHIN ANY DEPARTMENT, AGENCY, OR
EITHER HOUSE OF THE LEGISLATURE.
5. MONTHLY REGISTRATION DOCKET. IT SHALL BE THE DUTY OF THE COMMISSION
TO COMPILE A MONTHLY DOCKET OF STATEMENTS OF REGISTRATION CONTAINING ALL
INFORMATION REQUIRED BY SUBDIVISION FOUR OF THIS SECTION. EACH SUCH
MONTHLY DOCKET SHALL CONTAIN ALL STATEMENTS OF REGISTRATION FILED DURING
SUCH MONTH AND ALL AMENDMENTS TO PREVIOUSLY FILED STATEMENTS OF REGIS-
TRATION. COPIES SHALL BE MADE AVAILABLE FOR PUBLIC INSPECTION.
6. TERMINATION OF RETAINER, EMPLOYMENT OR DESIGNATION. UPON THE TERMI-
NATION OF A LOBBYIST'S RETAINER, EMPLOYMENT OR DESIGNATION, SUCH LOBBY-
IST AND THE CLIENT ON WHOSE BEHALF SUCH SERVICE HAS BEEN RENDERED SHALL
BOTH GIVE WRITTEN NOTICE TO THE COMMISSION WITHIN THIRTY DAYS AFTER THE
LOBBYIST CEASES THE ACTIVITY THAT REQUIRED SUCH LOBBYIST TO FILE A
STATEMENT OF REGISTRATION; HOWEVER, SUCH LOBBYIST SHALL NEVERTHELESS
COMPLY WITH THE BI-MONTHLY REPORTING REQUIREMENTS UP TO THE DATE SUCH
ACTIVITY HAS CEASED AS REQUIRED BY THIS SECTION AND BOTH SUCH PARTIES
SHALL EACH FILE THE SEMI-ANNUAL REPORT REQUIRED BY SUBDIVISION NINE OF
THIS SECTION. THE COMMISSION SHALL ENTER NOTICE OF SUCH TERMINATION IN
THE APPROPRIATE MONTHLY REGISTRATION DOCKET REQUIRED BY SUBDIVISION FIVE
OF THIS SECTION.
7. BI-MONTHLY REPORTS OF CERTAIN LOBBYISTS. (A) ANY LOBBYIST REQUIRED
TO FILE A STATEMENT OF REGISTRATION PURSUANT TO SUBDIVISION FOUR OF THIS
SECTION WHO IN ANY LOBBYING YEAR REASONABLY ANTICIPATES THAT DURING THE
YEAR THEY WILL EXPEND, INCUR OR RECEIVE COMBINED REPORTABLE COMPENSATION
AND EXPENSES IN AN AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS, AS
PROVIDED IN SUBPARAGRAPH (V) OF PARAGRAPH (B) OF THIS SUBDIVISION, FOR
THE PURPOSE OF LOBBYING, SHALL FILE WITH THE COMMISSION A BI-MONTHLY
WRITTEN REPORT, ON FORMS SUPPLIED BY THE COMMISSION, BY THE FIFTEENTH
DAY NEXT SUCCEEDING THE END OF THE REPORTING PERIOD IN WHICH THE LOBBY-
IST WAS FIRST REQUIRED TO FILE A STATEMENT OF REGISTRATION. SUCH REPORT-
ING PERIODS SHALL BE THE PERIOD OF JANUARY FIRST TO THE LAST DAY OF
FEBRUARY, MARCH FIRST TO APRIL THIRTIETH, MAY FIRST TO JUNE THIRTIETH,
JULY FIRST TO AUGUST THIRTY-FIRST, SEPTEMBER FIRST TO OCTOBER
THIRTY-FIRST AND NOVEMBER FIRST TO DECEMBER THIRTY-FIRST.
(B) SUCH BI-MONTHLY REPORT SHALL CONTAIN:
(I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE LOBBYIST;
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR
ON WHOSE BEHALF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED;
(III) THE FOLLOWING INFORMATION ON WHICH THE LOBBYIST HAS LOBBIED,
SOLICITED, OR ENTERED A BUSINESS RELATIONSHIP WITH: (1) A DESCRIPTION
OF THE GENERAL SUBJECT OR SUBJECTS, (2) THE LEGISLATIVE BILL NUMBERS OF
ANY BILLS, (3) THE NUMBERS OR SUBJECT MATTER (IF THERE ARE NO NUMBERS)
OF GUBERNATORIAL EXECUTIVE ORDERS OR EXECUTIVE ORDERS ISSUED BY THE
CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY, (4) THE SUBJECT MATTER OF AND
S. 6615--A 24 A. 9715--A
TRIBES INVOLVED IN TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR
ANY OTHER STATE-TRIBAL AGREEMENTS AND ANY STATE ACTIONS RELATED TO CLASS
III GAMING AS PROVIDED IN 25 U.S.C. S 2701, (5) THE RULE, REGULATION,
AND RATEMAKING OR MUNICIPAL ORDINANCE OR RESOLUTION NUMBERS OF ANY
RULES, REGULATIONS, OR RATES OR ORDINANCE OR PROPOSED RULES, REGU-
LATIONS, OR RATES OR MUNICIPAL ORDINANCES OR RESOLUTIONS, (6) TITLES AND
ANY IDENTIFYING NUMBERS OF ANY PROCUREMENT CONTRACTS AND OTHER DOCUMENTS
DISSEMINATED BY A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE,
THE UNIFIED COURT SYSTEM, MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY IN
CONNECTION WITH A GOVERNMENTAL PROCUREMENT, AND (7) THE IDENTITY OF ANY
INVESTMENT FOR PUBLIC PENSION FUNDS;
(IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE
WHICH THE LOBBYIST HAS LOBBIED;
(V) (1) THE COMPENSATION PAID OR OWED TO THE LOBBYIST, AND ANY
EXPENSES EXPENDED, RECEIVED OR INCURRED BY THE LOBBYIST FOR THE PURPOSE
OF LOBBYING.
(2) EXPENSES REQUIRED TO BE REPORTED PURSUANT TO SUBPARAGRAPH (I) OF
THIS PARAGRAPH SHALL BE LISTED IN THE AGGREGATE IF SEVENTY-FIVE DOLLARS
OR LESS AND IF MORE THAN SEVENTY-FIVE DOLLARS SUCH EXPENSES SHALL BE
DETAILED AS TO AMOUNT, TO WHOM PAID, AND FOR WHAT PURPOSE; AND WHERE
SUCH EXPENSE IS MORE THAN SEVENTY-FIVE DOLLARS ON BEHALF OF ANY ONE
PERSON, THE NAME OF SUCH PERSON SHALL BE LISTED.
(3) FOR THE PURPOSES OF THIS PARAGRAPH, EXPENSES SHALL NOT INCLUDE:
(A) PERSONAL SUSTENANCE, LODGING AND TRAVEL DISBURSEMENTS OF SUCH
LOBBYIST;
(B) EXPENSES, NOT IN EXCESS OF FIVE HUNDRED DOLLARS IN ANY ONE CALEN-
DAR YEAR, DIRECTLY INCURRED FOR THE PRINTING OR OTHER MEANS OF REPROD-
UCTION OR MAILING OF LETTERS, MEMORANDA OR OTHER WRITTEN COMMUNICATIONS.
(4) EXPENSES PAID OR INCURRED FOR SALARIES OTHER THAN THAT OF THE
LOBBYIST SHALL BE LISTED IN THE AGGREGATE.
(5) EXPENSES OF MORE THAN FIFTY DOLLARS SHALL BE PAID BY CHECK OR
SUBSTANTIATED BY RECEIPTS AND SUCH CHECKS AND RECEIPTS SHALL BE KEPT ON
FILE BY THE LOBBYIST FOR A PERIOD OF THREE YEARS.
(C) (I) ALL SUCH BI-MONTHLY REPORTS SHALL BE SUBJECT TO REVIEW BY THE
COMMISSION.
(II) SUCH BI-MONTHLY REPORTS SHALL BE KEPT ON FILE FOR THREE YEARS AND
SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH TIME.
(III) IN ADDITION TO THE FILING FEES AUTHORIZED BY THIS SECTION, THE
COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A BI-MONTHLY REPORT
REQUIRED BY THIS SUBDIVISION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH
DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE
LOBBYIST MAKING A LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STAT-
UTE TO FILE SUCH A REPORT, THE FEE FOR LATE FILING SHALL NOT EXCEED TEN
DOLLARS FOR EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE.
8. BI-MONTHLY REPORTS OF PUBLIC CORPORATIONS. (A) EVERY PUBLIC CORPO-
RATION REQUIRED TO FILE A STATEMENT OF REGISTRATION PURSUANT TO SUBDIVI-
SION FOUR OF THIS SECTION WHICH IN ANY LOBBYING YEAR REASONABLY ANTIC-
IPATES THAT DURING THE YEAR THEY WILL EXPEND OR INCUR EXPENSES IN AN
AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS, AS PROVIDED IN SUBPARAGRAPH
(VI) OF PARAGRAPH (B) OF THIS SUBDIVISION, FOR THE PURPOSE OF LOBBYING
SHALL FILE WITH THE COMMISSION A BI-MONTHLY WRITTEN REPORT, ON FORMS
SUPPLIED BY THE COMMISSION, BY THE FIFTEENTH DAY NEXT SUCCEEDING THE END
OF THE REPORTING PERIOD IN WHICH THE PUBLIC CORPORATION WAS FIRST
REQUIRED TO FILE A STATEMENT OF REGISTRATION. SUCH REPORTING PERIODS
SHALL BE THE PERIOD OF JANUARY FIRST TO THE LAST DAY OF FEBRUARY, MARCH
FIRST TO APRIL THIRTIETH, MAY FIRST TO JUNE THIRTIETH, JULY FIRST TO
S. 6615--A 25 A. 9715--A
AUGUST THIRTY-FIRST, SEPTEMBER FIRST TO OCTOBER THIRTY-FIRST AND NOVEM-
BER FIRST TO DECEMBER THIRTY-FIRST.
(B) SUCH BI-MONTHLY REPORT SHALL CONTAIN:
(I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF SUCH PUBLIC CORPORATION;
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED,
EMPLOYED OR DESIGNATED BY SUCH PUBLIC CORPORATION;
(III) COPIES OF ANY AMENDMENTS RELATING TO A RETAINER, EMPLOYMENT OR
DESIGNATION, AS FILED IN THE ORIGINAL STATEMENT OF REGISTRATION PURSUANT
TO SUBDIVISION FOUR OF THIS SECTION;
(IV) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS, THE LEGISLATIVE
BILL NUMBERS OF ANY BILLS AND THE RULE, REGULATION, AND RATEMAKING
NUMBERS OF ANY RULES, REGULATIONS, OR RATES OR PROPOSED RULES, REGU-
LATIONS, RATES, ARTICLE OF PROCUREMENT OR PROCUREMENT CONTRACTS OR
PENSION FUND INVESTMENTS ON WHICH THE LOBBYIST HAS LOBBIED, AND ON WHICH
SUCH PUBLIC CORPORATION HAS LOBBIED;
(V) THE NAME OF THE PERSON, ORGANIZATION OR LEGISLATIVE BODY BEFORE
WHICH THE PUBLIC CORPORATION, OR ITS LOBBYISTS, HAS LOBBIED;
(VI) (1) THE COMPENSATION PAID OR OWED TO THE LOBBYIST AND ANY
EXPENSES EXPENDED, RECEIVED OR INCURRED BY THE LOBBYIST FOR THE PURPOSE
OF LOBBYING; PROVIDED, HOWEVER, ANY SUCH EXPENSES PAID BY SUCH PUBLIC
CORPORATION TO A LOBBYIST FOR THE PURPOSE OF LOBBYING ON BEHALF OF SUCH
PUBLIC CORPORATION SHALL BE ITEMIZED IN THE SAME MANNER AS IF SUCH
PUBLIC CORPORATION HAD DIRECTLY PAID OR INCURRED SUCH EXPENSES.
(2) ANY EXPENSES REQUIRED TO BE REPORTED PURSUANT TO CLAUSE ONE OF
THIS SUBPARAGRAPH SHALL BE LISTED IN THE AGGREGATE IF SEVENTY-FIVE
DOLLARS OR LESS AND IF MORE THAN SEVENTY-FIVE DOLLARS SUCH EXPENSES
SHALL BE DETAILED AS TO AMOUNT, TO WHOM PAID, AND FOR WHAT PURPOSE; AND
WHERE SUCH EXPENSES ARE MORE THAN SEVENTY-FIVE DOLLARS ON BEHALF OF ANY
ONE PERSON, THE NAME OF SUCH PERSON SHALL BE LISTED.
(3) FOR THE PURPOSES OF THIS SUBPARAGRAPH, EXPENSES SHALL NOT INCLUDE:
(A) PERSONAL SUSTENANCE, LODGING AND TRAVEL DISBURSEMENTS OF EACH SUCH
LOBBYIST;
(B) EXPENSES, NOT IN EXCESS OF FIVE HUNDRED DOLLARS IN ANY ONE CALEN-
DAR YEAR, DIRECTLY INCURRED FOR THE PRINTING OR OTHER MEANS OF REPROD-
UCTION OR MAILING OF LETTERS, MEMORANDA OR OTHER WRITTEN COMMUNICATIONS.
(4) EXPENSES PAID OR INCURRED FOR COMPENSATION OTHER THAN THAT OF EACH
LOBBYIST SHALL BE LISTED IN THE AGGREGATE.
(5) EXPENSES OF MORE THAN FIFTY DOLLARS MUST BE PAID BY CHECK OR
SUBSTANTIATED BY RECEIPTS AND SUCH CHECKS AND RECEIPTS SHALL BE KEPT ON
FILE BY SUCH PUBLIC CORPORATION FOR A PERIOD OF THREE YEARS.
(C) (I) ALL SUCH BI-MONTHLY REPORTS SHALL BE SUBJECT TO REVIEW BY THE
COMMISSION.
(II) SUCH BI-MONTHLY REPORTS SHALL BE KEPT ON FILE FOR A PERIOD OF
THREE YEARS AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD.
(III) IN ADDITION TO THE FILING FEES AUTHORIZED BY THIS SECTION, THE
COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A BI-MONTHLY REPORT
REQUIRED BY THIS SUBDIVISION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH
DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE
PUBLIC CORPORATION MAKING A LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED
BY STATUTE TO FILE SUCH A REPORT, THE FEE FOR LATE FILING SHALL NOT
EXCEED TEN DOLLARS FOR EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS
LATE.
9. SEMI-ANNUAL REPORTS. (A) SEMI-ANNUAL REPORTS SHALL BE FILED BY ANY
CLIENT RETAINING, EMPLOYING OR DESIGNATING A LOBBYIST OR LOBBYISTS,
WHETHER OR NOT ANY SUCH LOBBYIST WAS REQUIRED TO FILE A BI-MONTHLY
REPORT, IF SUCH CLIENT REASONABLY ANTICIPATES THAT DURING THE YEAR THEY
S. 6615--A 26 A. 9715--A
WILL EXPEND OR INCUR AN AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS OF
COMBINED REPORTABLE COMPENSATION AND EXPENSES, AS PROVIDED IN SUBPARA-
GRAPH (V) OF PARAGRAPH (B) OF THIS SUBDIVISION, FOR THE PURPOSES OF
LOBBYING.
(B) SUCH REPORT SHALL BE FILED WITH THE COMMISSION, ON FORMS SUPPLIED
BY THE COMMISSION, BY THE FIFTEENTH DAY OF JULY OF THE YEAR AND BY THE
FIFTEENTH DAY OF JANUARY NEXT FOLLOWING THE YEAR FOR WHICH SUCH REPORT
IS MADE AND SHALL CONTAIN:
(I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT;
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED,
EMPLOYED OR DESIGNATED BY SUCH CLIENT;
(III) THE FOLLOWING INFORMATION ON WHICH EACH LOBBYIST RETAINED,
EMPLOYED OR DESIGNATED BY SUCH CLIENT HAS LOBBIED, AND ON WHICH SUCH
CLIENT HAS LOBBIED: (1) A DESCRIPTION OF THE GENERAL SUBJECT OR
SUBJECTS, (2) THE LEGISLATIVE BILL NUMBERS OF ANY BILLS, (3) THE NUMBERS
OR SUBJECT MATTER (IF THERE ARE NO NUMBERS) OF GUBERNATORIAL EXECUTIVE
ORDERS OR EXECUTIVE ORDERS ISSUED BY THE CHIEF EXECUTIVE OFFICER OF A
MUNICIPALITY, (4) THE SUBJECT MATTER OF AND TRIBES INVOLVED IN
TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER
STATE-TRIBAL AGREEMENTS AND ANY STATE ACTIONS RELATED TO CLASS III
GAMING AS PROVIDED IN 25 U.S.C. 2701, (5) THE RULE, REGULATION, AND
RATEMAKING OR MUNICIPAL RESOLUTION OR ORDINANCE NUMBERS OF ANY RULES,
REGULATIONS, OR RATES, OR MUNICIPAL RESOLUTIONS OR ORDINANCES OR
PROPOSED RULES, REGULATIONS, OR RATES, OR MUNICIPAL ORDINANCES OR RESOL-
UTIONS AND (6) THE TITLES AND ANY IDENTIFYING NUMBERS OF ANY PROCUREMENT
CONTRACTS AND OTHER DOCUMENTS DISSEMINATED BY A STATE AGENCY, EITHER
HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, MUNICIPAL
AGENCY OR LOCAL LEGISLATIVE BODY IN CONNECTION WITH A GOVERNMENTAL
PROCUREMENT;
(IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE
WHICH SUCH CLIENT HAS LOBBIED;
(V) (1) THE COMPENSATION PAID OR OWED TO EACH SUCH LOBBYIST, AND ANY
OTHER EXPENSES PAID OR INCURRED BY SUCH CLIENT FOR THE PURPOSE OF LOBBY-
ING.
(2) ANY EXPENSES REQUIRED TO BE REPORTED PURSUANT TO CLAUSE ONE OF
THIS SUBPARAGRAPH SHALL BE LISTED IN THE AGGREGATE IF SEVENTY-FIVE
DOLLARS OR LESS AND IF MORE THAN SEVENTY-FIVE DOLLARS SUCH EXPENSES
SHALL BE DETAILED AS TO AMOUNT, TO WHOM PAID, AND FOR WHAT PURPOSE; AND
WHERE SUCH EXPENSES ARE MORE THAN SEVENTY-FIVE DOLLARS ON BEHALF OF ANY
ONE PERSON, THE NAME OF SUCH PERSON SHALL BE LISTED.
(3) FOR THE PURPOSES OF THIS SUBPARAGRAPH, EXPENSES SHALL NOT INCLUDE:
(A) PERSONAL SUSTENANCE, LODGING AND TRAVEL DISBURSEMENTS OF SUCH
LOBBYIST AND CLIENT;
(B) EXPENSES, NOT IN EXCESS OF FIVE HUNDRED DOLLARS, DIRECTLY INCURRED
FOR THE PRINTING OR OTHER MEANS OF REPRODUCTION OR MAILING OF LETTERS,
MEMORANDA OR OTHER WRITTEN COMMUNICATIONS.
(4) EXPENSES PAID OR INCURRED FOR SALARIES OTHER THAN THAT OF THE
LOBBYIST SHALL BE LISTED IN THE AGGREGATE.
(5) EXPENSES OF MORE THAN FIFTY DOLLARS MUST BE PAID BY CHECK OR
SUBSTANTIATED BY RECEIPTS AND SUCH CHECKS AND RECEIPTS SHALL BE KEPT ON
FILE BY SUCH CLIENT FOR A PERIOD OF THREE YEARS.
(C) (I) ALL SUCH SEMI-ANNUAL REPORTS SHALL BE SUBJECT TO REVIEW BY THE
COMMISSION.
(II) SUCH SEMI-ANNUAL REPORTS SHALL BE KEPT ON FILE FOR A PERIOD OF
THREE YEARS AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD.
S. 6615--A 27 A. 9715--A
(III) EACH SEMI-ANNUAL REPORT FILED BY A CLIENT PURSUANT TO THIS
SUBDIVISION SHALL BE ACCOMPANIED BY A FILING FEE OF FIFTY DOLLARS. IN
ADDITION TO THE FILING FEES AUTHORIZED BY THIS SECTION, THE COMMISSION
MAY IMPOSE A FEE FOR LATE FILING OF A SEMI-ANNUAL REPORT REQUIRED BY
THIS SUBDIVISION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH DAY THAT THE
REPORT REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE CLIENT MAKING A
LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STATUTE TO FILE AN ANNU-
AL OR SEMI-ANNUAL REPORT, THE FEE FOR LATE FILING SHALL NOT EXCEED TEN
DOLLARS FOR EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE.
10. CONTINGENT RETAINER. (A) NO CLIENT SHALL RETAIN OR EMPLOY ANY
LOBBYIST FOR COMPENSATION, INCLUDING, BUT NOT LIMITED TO, ANY BONUS,
SUCCESS FEE, OR OTHER INDUCEMENT TO AN INDIVIDUAL THAT INCREASES HIS OR
HER PERSONAL INCOME OR WEALTH, THE RATE OR AMOUNT OF WHICH COMPENSATION
IN WHOLE OR PART IS CONTINGENT OR DEPENDENT UPON:
(I) (1) THE PASSAGE OR DEFEAT OF ANY LEGISLATIVE BILL OR THE APPROVAL
OR VETO OF ANY LEGISLATION BY THE GOVERNOR, (2) THE TERMS, ISSUANCE,
MODIFICATION OR RESCISSION OF A GUBERNATORIAL EXECUTIVE ORDER, (3) THE
TERMS, APPROVAL OR DISAPPROVAL, OR THE IMPLEMENTATION AND ADMINISTRATION
OF TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER
TRIBAL-STATE AGREEMENTS AND ANY STATE ACTIONS RELATED TO CLASS III
GAMING AS PROVIDED IN 25 U.S.C. 2701, OR (4) THE ADOPTION OR REJECTION
OF ANY CODE, RULE OR REGULATION HAVING THE FORCE AND EFFECT OF LAW OR
THE OUTCOME OF ANY RATE MAKING PROCEEDING BY A STATE AGENCY; (II)(1) THE
PASSAGE OR DEFEAT OF ANY LOCAL LAW, ORDINANCE, REGULATION OR RESOLUTION
BY ANY MUNICIPALITY OR SUBDIVISION THEREOF, (2) THE TERMS, ISSUANCE,
MODIFICATION OR RESCISSION OF AN EXECUTIVE ORDER ISSUED BY THE CHIEF
EXECUTIVE OFFICER OF A MUNICIPALITY, OR (3) THE ADOPTION, REJECTION OR
IMPLEMENTATION OF ANY RULE, RESOLUTION OR REGULATION HAVING THE FORCE
AND EFFECT OF A LOCAL LAW, ORDINANCE OR REGULATION OR ANY RATE MAKING
PROCEEDING BY ANY MUNICIPALITY OR SUBDIVISION THEREOF; (4) ANY DETERMI-
NATION BY THE OFFICE OF THE STATE OR CITY OF NEW YORK COMPTROLLER, A
STATE AGENCY, INCLUDING, BUT NOT LIMITED TO, PUBLIC AUTHORITIES AND
PUBLIC BENEFIT CORPORATIONS, EITHER HOUSE OF THE STATE LEGISLATURE, THE
UNIFIED COURT SYSTEM, MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY WITH
RESPECT TO A GOVERNMENTAL PROCUREMENT, ARTICLE OF PROCUREMENT OR A
GRANT, LOAN, PURCHASE OR LEASE OF REAL OR PERSONAL PROPERTY, AGREEMENT
OR INVESTMENT INVOLVING THE DISBURSEMENT OF PUBLIC MONIES.
(B) NO PERSON SHALL ACCEPT SUCH A RETAINER OR EMPLOYMENT. A VIOLATION
OF THIS SUBDIVISION SHALL BE A CLASS A MISDEMEANOR.
11. REPORTS OF LOBBYING INVOLVING DISBURSEMENT OF PUBLIC MONIES. (A)
ANY LOBBYIST REQUIRED TO FILE A STATEMENT OF REGISTRATION PURSUANT TO
SUBDIVISION FOUR OF THIS SECTION WHO IN ANY LOBBYING YEAR REASONABLY
ANTICIPATES THAT DURING THE YEAR THEY WILL EXPEND, INCUR OR RECEIVE
COMBINED REPORTABLE COMPENSATION AND EXPENSES IN AN AMOUNT IN EXCESS OF
FIVE THOUSAND DOLLARS SHALL FILE WITH THE COMMISSION, ON FORMS SUPPLIED
BY THE COMMISSION, A REPORT OF ANY ATTEMPTS TO INFLUENCE A DETERMINATION
BY A PUBLIC OFFICIAL, OR BY A PERSON OR ENTITY WORKING IN COOPERATION
WITH A PUBLIC OFFICIAL, WITH RESPECT TO THE SOLICITATION, AWARD OR
ADMINISTRATION OF A GRANT, LOAN, OR AGREEMENT INVOLVING THE DISBURSEMENT
OF PUBLIC MONIES IN EXCESS OF FIFTEEN THOUSAND DOLLARS OTHER THAN A
GOVERNMENTAL PROCUREMENT AS DEFINED IN SUBDIVISION TWO OF THIS SECTION.
(B) SUCH PUBLIC MONIES LOBBYING REPORTS SHALL CONTAIN:
(I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE LOBBYIST AND THE
INDIVIDUALS EMPLOYED BY THE LOBBYIST ENGAGED IN SUCH PUBLIC MONIES
LOBBYING ACTIVITIES;
S. 6615--A 28 A. 9715--A
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR
ON WHOSE BEHALF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED ON
WHOSE BEHALF THE LOBBYIST ENGAGED IN LOBBYING REPORTABLE UNDER THIS
PARAGRAPH;
(III) A DESCRIPTION OF THE GRANT, LOAN, OR AGREEMENT INVOLVING THE
DISBURSEMENT OF PUBLIC MONIES ON WHICH THE LOBBYIST HAS LOBBIED;
(IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE
WHICH THE LOBBYIST HAS ENGAGED IN LOBBYING REPORTABLE UNDER THIS PARA-
GRAPH; AND
(V) THE COMPENSATION PAID OR OWED TO THE LOBBYIST, AND ANY EXPENSES
EXPENDED, RECEIVED OR INCURRED BY THE LOBBYIST FOR THE PURPOSE OF LOBBY-
ING REPORTABLE UNDER THIS PARAGRAPH.
(C) PUBLIC MONIES LOBBYING REPORTS REQUIRED PURSUANT TO THIS PARAGRAPH
SHALL BE FILED IN ACCORDANCE WITH THE SCHEDULE APPLICABLE TO THE FILING
OF BI-MONTHLY REPORTS PURSUANT TO SUBDIVISION SEVEN OF THIS SECTION AND
SHALL BE FILED NOT LATER THAN THE FIFTEENTH DAY NEXT SUCCEEDING THE END
OF SUCH REPORTING PERIOD.
(D) IN ADDITION TO ANY OTHER FEES AUTHORIZED BY THIS SECTION, THE
COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A REPORT REQUIRED BY THIS
SUBDIVISION NOT TO EXCEED FIFTY DOLLARS FOR EACH DAY THAT THE REPORT
REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE LOBBYIST MAKING A LATE
FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STATUTE TO FILE SUCH A
REPORT, THE FEE FOR LATE FILING SHALL NOT EXCEED TWENTY-FIVE DOLLARS FOR
EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE.
(E) ALL REPORTS FILED PURSUANT TO THIS SUBDIVISION SHALL BE SUBJECT TO
REVIEW BY THE COMMISSION. SUCH REPORTS SHALL BE KEPT IN ELECTRONIC FORM
BY THE COMMISSION AND SHALL BE AVAILABLE FOR PUBLIC INSPECTION.
12. PROHIBITION OF GIFTS. NO INDIVIDUAL OR ENTITY REQUIRED TO BE
LISTED ON A STATEMENT OF REGISTRATION PURSUANT TO THIS SECTION SHALL
OFFER OR GIVE A GIFT TO ANY PUBLIC OFFICIAL AS DEFINED WITHIN THIS
SECTION, UNLESS UNDER THE CIRCUMSTANCES IT IS NOT REASONABLE TO INFER
THAT THE GIFT WAS INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. NO INDI-
VIDUAL OR ENTITY REQUIRED TO BE LISTED ON A STATEMENT OF REGISTRATION
PURSUANT TO THIS SECTION SHALL OFFER OR GIVE A GIFT TO THE SPOUSE OR
UNEMANCIPATED CHILD OF ANY PUBLIC OFFICIAL AS DEFINED WITHIN THIS
SECTION UNDER CIRCUMSTANCES WHERE IT IS REASONABLE TO INFER THAT THE
GIFT WAS INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. NO SPOUSE OR
UNEMANCIPATED CHILD OF AN INDIVIDUAL REQUIRED TO BE LISTED ON A STATE-
MENT OF REGISTRATION PURSUANT TO THIS SECTION SHALL OFFER OR GIVE A GIFT
TO A PUBLIC OFFICIAL UNDER CIRCUMSTANCES WHERE IT IS REASONABLE TO INFER
THAT THE GIFT WAS INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. THIS
SECTION SHALL NOT APPLY TO GIFTS TO OFFICERS, MEMBERS OR DIRECTORS OF
BOARDS, COMMISSIONS, COUNCILS, PUBLIC AUTHORITIES OR PUBLIC BENEFIT
CORPORATIONS WHO RECEIVE NO COMPENSATION OR ARE COMPENSATED ON A PER
DIEM BASIS, UNLESS THE PERSON LISTED ON THE STATEMENT OF REGISTRATION
APPEARS OR HAS MATTERS PENDING BEFORE THE BOARD, COMMISSION OR COUNCIL
ON WHICH THE RECIPIENT SITS.
13. RESTRICTED CONTACTS. (A) DURING THE RESTRICTED PERIOD, NO PERSON
OR ORGANIZATION REQUIRED TO FILE A STATEMENT OR REPORT PURSUANT TO THIS
SECTION SHALL ENGAGE IN LOBBYING ACTIVITIES CONCERNING A GOVERNMENTAL
PROCUREMENT BY A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE,
THE UNIFIED COURT SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED
BY SUBPARAGRAPH (II) OF PARAGRAPH (S) OF SUBDIVISION TWO OF THIS
SECTION, BY CONTACTING A PERSON WITHIN THE PROCURING ENTITY WHO HAS NOT
BEEN DESIGNATED PURSUANT TO SECTION ONE HUNDRED THIRTY-NINE-J OF THE
STATE FINANCE LAW TO RECEIVE COMMUNICATIONS RELATIVE TO THE GOVERNMENTAL
S. 6615--A 29 A. 9715--A
PROCUREMENT. FURTHER, DURING THE RESTRICTED PERIOD, NO PERSON OR ORGAN-
IZATION REQUIRED TO FILE A LOBBYING REGISTRATION STATEMENT OR REPORT
PURSUANT TO THIS SECTION SHALL ENGAGE IN LOBBYING ACTIVITIES CONCERNING
A GOVERNMENTAL PROCUREMENT BY CONTACTING ANY PERSON IN A STATE AGENCY
OTHER THAN THE STATE AGENCY CONDUCTING THE GOVERNMENTAL PROCUREMENT
ABOUT THAT GOVERNMENTAL PROCUREMENT. THE PROHIBITIONS SET FORTH IN THIS
PARAGRAPH SHALL NOT APPLY TO ANY CONTACTS DESCRIBED IN PARAGRAPH (B) OR
(C) OF THIS SUBDIVISION.
(B) A COMPLAINT BY AN OFFERER REGARDING THE FAILURE OF THE PERSON OR
PERSONS DESIGNATED BY THE PROCURING ENTITY PURSUANT TO SECTION ONE
HUNDRED THIRTY-NINE-J OF THE STATE FINANCE LAW TO RESPOND IN A TIMELY
MANNER TO AUTHORIZED OFFERER CONTACTS SHALL NOT BE DEEMED TO BE "LOBBY-
ING" OR "LOBBYING ACTIVITIES" AND SHALL BE EXEMPT FROM THE PROVISIONS OF
PARAGRAPH ONE OF THIS SUBDIVISION AND SHALL BE MADE IN WRITING TO THE
OFFICE OF GENERAL COUNSEL OF THE STATE AGENCY, EITHER HOUSE OF THE STATE
LEGISLATURE OR THE UNIFIED COURT SYSTEM THAT IS CONDUCTING THE PROCURE-
MENT. FURTHER, THE FOLLOWING CONTACTS SHALL NOT BE DEEMED TO BE "LOBBY-
ING" OR "LOBBYING ACTIVITIES" AND SHALL BE EXEMPT FROM THE PROVISIONS OF
PARAGRAPH (A) OF THIS SUBDIVISION:
(I) CONTACTS BY OFFERERS IN PROTESTS, APPEALS OR OTHER REVIEW
PROCEEDINGS (INCLUDING THE APPARENT SUCCESSFUL BIDDER OR PROPOSER AND
HIS OR HER REPRESENTATIVES) BEFORE THE GOVERNMENTAL ENTITY CONDUCTING
THE PROCUREMENT SEEKING A FINAL ADMINISTRATIVE DETERMINATION, OR IN A
SUBSEQUENT JUDICIAL PROCEEDING; OR
(II) COMPLAINTS OF ALLEGED IMPROPER CONDUCT IN A GOVERNMENTAL PROCURE-
MENT TO THE ATTORNEY GENERAL, INSPECTOR GENERAL, DISTRICT ATTORNEY, OR
COURT OF COMPETENT JURISDICTION; OR
(III) WRITTEN PROTESTS, APPEALS OR COMPLAINTS TO THE STATE COMP-
TROLLER'S OFFICE DURING THE PROCESS OF CONTRACT APPROVAL, WHERE THE
STATE COMPTROLLER'S APPROVAL IS REQUIRED BY LAW, AND WHERE SUCH COMMUNI-
CATIONS AND ANY RESPONSES THERETO ARE MADE IN WRITING AND SHALL BE
ENTERED IN THE PROCUREMENT RECORD PURSUANT TO SECTION ONE HUNDRED
SIXTY-THREE OF THE STATE FINANCE LAW; OR
(IV) COMPLAINTS OF ALLEGED IMPROPER CONDUCT IN A GOVERNMENTAL PROCURE-
MENT CONDUCTED BY A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY TO THE
STATE COMPTROLLER'S OFFICE; PROVIDED, HOWEVER, THAT NOTHING IN THIS
PARAGRAPH SHALL BE CONSTRUED AS RECOGNIZING OR CREATING ANY NEW RIGHTS,
DUTIES OR RESPONSIBILITIES OR ABROGATING ANY EXISTING RIGHTS, DUTIES OR
RESPONSIBILITIES OF ANY GOVERNMENTAL ENTITY AS IT PERTAINS TO IMPLEMEN-
TATION AND ENFORCEMENT OF ARTICLE ELEVEN OF THE STATE FINANCE LAW OR ANY
OTHER PROVISION OF LAW DEALING WITH THE GOVERNMENTAL PROCUREMENT PROC-
ESS.
(C) NOTHING IN THIS SUBDIVISION SHALL BE DEEMED TO PROHIBIT A PERSON
OR ORGANIZATION REQUIRED TO FILE A STATEMENT OR REPORT PURSUANT TO THIS
SECTION FROM CONTACTING A MEMBER OF THE STATE LEGISLATURE CONCERNING A
GOVERNMENTAL PROCUREMENT IN A STATE AGENCY, THE UNIFIED COURT SYSTEM, OR
A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED BY SUBPARAGRAPH (II) OF
PARAGRAPH (S) OF SUBDIVISION TWO OF THIS SECTION.
14. PENALTIES. (A) (I) ANY LOBBYIST, PUBLIC CORPORATION, OR CLIENT
WHO KNOWINGLY AND WILFULLY FAILS TO FILE TIMELY A REPORT OR STATEMENT
REQUIRED BY THIS SECTION OR KNOWINGLY AND WILFULLY FILES FALSE INFORMA-
TION OR KNOWINGLY AND WILFULLY VIOLATES SUBDIVISION TWELVE OF THIS
SECTION SHALL BE GUILTY OF A CLASS A MISDEMEANOR; AND (II) ANY LOBBYIST,
PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND WILFULLY FAILS TO FILE
TIMELY A REPORT OR STATEMENT REQUIRED BY THIS SECTION OR KNOWINGLY AND
WILFULLY FILES FALSE INFORMATION OR KNOWINGLY AND WILFULLY VIOLATES
S. 6615--A 30 A. 9715--A
SUBDIVISION TWELVE OF THIS SECTION, AFTER HAVING PREVIOUSLY BEEN
CONVICTED IN THE PRECEDING FIVE YEARS OF THE CRIME DESCRIBED IN SUBPARA-
GRAPH (I) OF THIS PARAGRAPH, SHALL BE GUILTY OF A CLASS E FELONY. ANY
LOBBYIST CONVICTED OF OR PLEADING GUILTY TO A MISDEMEANOR UNDER THE
PROVISIONS OF THIS SECTION SHALL BE BARRED FROM ACTING AS A LOBBYIST FOR
A PERIOD OF ONE YEAR FROM THE DATE OF THE CONVICTION. ANY LOBBYIST
CONVICTED OF OR PLEADING GUILTY TO A FELONY UNDER THE PROVISIONS OF THIS
SECTION SHALL BE BARRED FROM ACTING AS A LOBBYIST FOR A PERIOD OF FOUR
YEARS FROM THE DATE OF THE CONVICTION. FOR THE PURPOSES OF THIS PARA-
GRAPH, THE CHIEF ADMINISTRATIVE OFFICER OF ANY ORGANIZATION REQUIRED TO
FILE A STATEMENT OR REPORT SHALL BE THE PERSON RESPONSIBLE FOR MAKING
AND FILING SUCH STATEMENT OR REPORT UNLESS SOME OTHER PERSON PRIOR TO
THE DUE DATE THEREOF HAS BEEN DULY DESIGNATED TO MAKE AND FILE SUCH
STATEMENT OR REPORT.
(B) (I) A LOBBYIST, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND
WILFULLY FAILS TO FILE A STATEMENT OR REPORT WITHIN THE TIME REQUIRED
FOR THE FILING OF SUCH REPORT OR KNOWINGLY AND WILFULLY VIOLATES SUBDI-
VISION TWELVE OF THIS SECTION SHALL BE SUBJECT TO A CIVIL PENALTY FOR
EACH SUCH FAILURE OR VIOLATION, IN AN AMOUNT NOT TO EXCEED THE GREATER
OF TWENTY-FIVE THOUSAND DOLLARS OR THREE TIMES THE AMOUNT THE PERSON
FAILED TO REPORT PROPERLY OR UNLAWFULLY CONTRIBUTED, EXPENDED, GAVE OR
RECEIVED, TO BE ASSESSED BY THE COMMISSION.
(II) A LOBBYIST, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND
WILFULLY FILES A FALSE STATEMENT OR REPORT SHALL BE SUBJECT TO A CIVIL
PENALTY, IN AN AMOUNT NOT TO EXCEED THE GREATER OF FIFTY THOUSAND
DOLLARS OR FIVE TIMES THE AMOUNT THE PERSON FAILED TO REPORT PROPERLY,
TO BE ASSESSED BY THE COMMISSION.
(III) (1) A LOBBYIST OR CLIENT WHO KNOWINGLY AND WILFULLY VIOLATES THE
PROVISIONS OF PARAGRAPH (A) OF SUBDIVISION THIRTEEN OF THIS SECTION
SHALL BE SUBJECT TO A CIVIL PENALTY NOT TO EXCEED TEN THOUSAND DOLLARS
FOR AN INITIAL VIOLATION.
(2) IF, AFTER A LOBBYIST OR CLIENT HAS BEEN FOUND TO HAVE VIOLATED
PARAGRAPH (A) OF SUBDIVISION THIRTEEN OF THIS SECTION, A LOBBYIST OR
CLIENT KNOWINGLY AND WILFULLY VIOLATES THE PROVISIONS OF PARAGRAPH (A)
OF SUBDIVISION THIRTEEN OF THIS SECTION WITHIN FOUR YEARS OF SUCH FIND-
ING, THE LOBBYIST OR CLIENT SHALL BE SUBJECT TO A CIVIL PENALTY NOT TO
EXCEED TWENTY-FIVE THOUSAND DOLLARS.
(IV) ANY LOBBYIST OR CLIENT THAT KNOWINGLY AND WILFULLY FAILS TO FILE
A STATEMENT OR REPORT WITHIN THE TIME REQUIRED FOR THE FILING OF SUCH
REPORT, KNOWINGLY AND WILFULLY FILES A FALSE STATEMENT OR REPORT, OR
KNOWINGLY AND WILFULLY VIOLATES SUBDIVISION TWELVE OR SUBDIVISION THIR-
TEEN OF THIS SECTION SHALL BE SUBJECT TO A DETERMINATION THAT THE LOBBY-
IST OR CLIENT IS PROHIBITED FROM ENGAGING IN LOBBYING ACTIVITIES, AS
THAT TERM IS DEFINED IN SUBPARAGRAPH (V) OF PARAGRAPH (C) OF SUBDIVISION
TWO OF THIS SECTION, FOR A PERIOD OF UP TO ONE YEAR.
(V) ANY LOBBYIST OR CLIENT THAT KNOWINGLY AND WILFULLY ENGAGES IN
LOBBYING ACTIVITIES, AS THAT TERM IS DEFINED IN SUBPARAGRAPH (V) OF
PARAGRAPH (C) OF SUBDIVISION TWO OF THIS SECTION, DURING THE PERIOD IN
WHICH THEY ARE PROHIBITED FROM ENGAGING IN LOBBYING ACTIVITIES, AS THAT
TERM IS DEFINED IN SUBPARAGRAPH (V) OF PARAGRAPH (C) OF SUBDIVISION TWO
OF THIS SECTION PURSUANT TO THIS PARAGRAPH, MAY BE SUBJECT TO A DETERMI-
NATION THAT THE LOBBYIST OR CLIENT IS PROHIBITED FROM ENGAGING IN LOBBY-
ING ACTIVITIES, AS THAT TERM IS DEFINED IN SUBPARAGRAPH (V) OF PARAGRAPH
(C) OF SUBDIVISION TWO OF THIS SECTION, FOR A PERIOD OF UP TO FOUR
YEARS, AND SHALL BE SUBJECT TO A CIVIL PENALTY NOT TO EXCEED FIFTY THOU-
S. 6615--A 31 A. 9715--A
SAND DOLLARS, PLUS A CIVIL PENALTY IN AN AMOUNT EQUAL TO THE VALUE OF
ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A RESULT OF THE VIOLATION.
(VI) A LOBBYIST, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND
WILFULLY FAILS TO RETAIN THEIR RECORDS PURSUANT TO SUBPARAGRAPH (III) OF
PARAGRAPH (C) OF SUBDIVISION FOUR OF THIS SECTION, CLAUSE FIVE OF
SUBPARAGRAPH (V) OF PARAGRAPH (B) OF SUBDIVISION SEVEN OF THIS SECTION,
OR SUBPARAGRAPH (V) OF PARAGRAPH (B) OF SUBDIVISION NINE OF THIS SECTION
SHALL BE SUBJECT TO A CIVIL PENALTY IN AN AMOUNT OF TWO THOUSAND DOLLARS
PER VIOLATION TO BE ASSESSED BY THE COMMISSION.
(C)(I) ANY ASSESSMENT OR ORDER TO DEBAR SHALL BE DETERMINED ONLY AFTER
A HEARING AT WHICH THE PARTY SHALL BE ENTITLED TO APPEAR, PRESENT
EVIDENCE AND BE HEARD. ANY ASSESSMENT OR ORDER TO DEBAR PURSUANT TO THIS
PARAGRAPH MAY ONLY BE IMPOSED AFTER THE COMMISSION SENDS BY CERTIFIED
AND FIRST-CLASS MAIL WRITTEN NOTICE OF INTENT TO ASSESS A PENALTY OR
ORDER TO DEBAR AND THE BASIS FOR THE PENALTY OR ORDER TO DEBAR. ANY
ASSESSMENT MAY BE RECOVERED IN AN ACTION BROUGHT BY THE ATTORNEY GENER-
AL.
(II) IN ASSESSING ANY FINE OR PENALTY PURSUANT TO THIS SUBDIVISION,
THE COMMISSION SHALL CONSIDER: (1) AS A MITIGATING FACTOR THAT THE
LOBBYIST, PUBLIC CORPORATION OR CLIENT HAS NOT PREVIOUSLY BEEN REQUIRED
TO REGISTER, AND (2) AS AN AGGRAVATING FACTOR THAT THE LOBBYIST, PUBLIC
CORPORATION OR CLIENT HAS HAD FINES OR PENALTIES ASSESSED AGAINST IT IN
THE PAST. THE AMOUNT OF COMPENSATION EXPENDED, INCURRED OR RECEIVED
SHALL BE A FACTOR TO CONSIDER IN DETERMINING A PROPORTIONATE PENALTY.
(III) ANY LOBBYIST, PUBLIC CORPORATION OR CLIENT WHO RECEIVES A NOTICE
OF INTENT TO ASSESS A PENALTY FOR KNOWINGLY AND WILLFULLY FAILING TO
FILE A REPORT OR STATEMENT PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION
AND WHO HAS NEVER PREVIOUSLY REGISTERED WITH OR REPORTED TO THE COMMIS-
SION SHALL BE GRANTED FIFTEEN DAYS WITHIN WHICH TO FILE THE STATEMENT OF
REGISTRATION OR REPORT WITHOUT BEING SUBJECT TO THE FINE OR PENALTY SET
FORTH IN PARAGRAPH (B) OF THIS SUBDIVISION. UPON THE FAILURE OF SUCH
LOBBYIST, PUBLIC CORPORATION OR CLIENT, TO FILE WITHIN SUCH FIFTEEN DAY
PERIOD, SUCH LOBBYIST, PUBLIC CORPORATION OR CLIENT, SHALL BE SUBJECT TO
THE FINE OR PENALTY PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION.
(D) ALL MONEYS RECOVERED BY THE ATTORNEY GENERAL OR RECEIVED BY THE
COMMISSION FROM THE ASSESSMENT OF CIVIL PENALTIES AUTHORIZED BY THIS
SECTION SHALL BE DEPOSITED TO THE GENERAL FUND.
15. ENFORCEMENT. (A) ALL STATEMENTS AND REPORTS REQUIRED UNDER THIS
SECTION SHALL BE SUBJECT TO A DECLARATION BY THE PERSON MAKING AND
FILING SUCH STATEMENT AND REPORT THAT THE INFORMATION IS TRUE, CORRECT
AND COMPLETE TO THE BEST KNOWLEDGE AND BELIEF OF THE SIGNER UNDER THE
PENALTIES OF PERJURY.
(B) THE COMMISSION SHALL BE CHARGED WITH THE DUTY OF REVIEWING ALL
STATEMENTS AND REPORTS REQUIRED UNDER THIS SECTION FOR VIOLATIONS, AND
IT SHALL BE ITS DUTY, IF IT DEEMS SUCH TO BE WILFUL, TO REPORT SUCH
DETERMINATION TO THE ATTORNEY GENERAL OR OTHER APPROPRIATE AUTHORITY.
(C) UPON RECEIPT OF NOTICE OF SUCH FAILURE FROM THE COMMISSION, THE
ATTORNEY GENERAL OR OTHER APPROPRIATE AUTHORITY SHALL TAKE SUCH ACTION
AS HE OR SHE DEEMS APPROPRIATE TO SECURE COMPLIANCE WITH THE PROVISIONS
OF THIS SECTION.
16. RECORD OF APPEARANCES. THE COMMISSION SHALL PROMULGATE ALL RULES
OR REGULATIONS AND ANY PROCEDURES, FORMS, OR INSTRUCTIONS NECESSARY TO
IMPLEMENT THE PROVISIONS OF SECTION ONE HUNDRED SIXTY-SIX OF THE EXECU-
TIVE LAW RELATING TO THE QUARTERLY FILING OF THE RECORD OF APPEARANCES
BEFORE REGULATORY AGENCIES.
S. 6615--A 32 A. 9715--A
17. PUBLICATION OF STATEMENT ON LOBBYING REGULATIONS. THE COMMISSION
SHALL PUBLISH A STATEMENT ON LOBBYING REGULATIONS SETTING FORTH THE
REQUIREMENTS OF THIS SECTION IN A CLEAR AND BRIEF MANNER. SUCH STATE-
MENT SHALL CONTAIN AN EXPLANATION OF THE REGISTRATION AND FILING
REQUIREMENTS AND THE PENALTIES FOR VIOLATION THEREOF, TOGETHER WITH SUCH
OTHER INFORMATION AS THE COMMISSION SHALL DETERMINE, AND COPIES THEREOF
SHALL BE MADE AVAILABLE TO THE PUBLIC AT CONVENIENT LOCATIONS THROUGHOUT
THE STATE.
18. PUBLIC ACCESS TO RECORDS; FORMAT OF RECORDS AND REPORTS. THE
COMMISSION SHALL MAKE INFORMATION FURNISHED BY LOBBYISTS AND CLIENTS
AVAILABLE TO THE PUBLIC FOR INSPECTION AND COPYING IN ELECTRONIC AND
PAPER FORMATS. ACCESS TO SUCH INFORMATION SHALL ALSO BE MADE AVAILABLE
FOR REMOTE COMPUTER USERS THROUGH THE INTERNET NETWORK.
19. ANNUAL REPORT. THE COMMISSION SHALL ANNUALLY REPORT TO THE GOVER-
NOR, THE OFFICE OF COURT ADMINISTRATION, THE COMPTROLLER AND THE LEGIS-
LATURE ANY PROBLEMS IN THE IMPLEMENTATION OF SUCH PROVISIONS THAT
PERTAIN TO PROCUREMENT LOBBYING. THE COMMISSION SHALL INCLUDE IN THE
REPORT ANY RECOMMENDED CHANGES TO INCREASE THE EFFECTIVENESS OF THAT
IMPLEMENTATION.
19-A. REVIEW OF COMPLAINTS. THE COMMISSION SHALL REVIEW ANY
COMPLAINTS MADE PURSUANT TO SECTION ONE HUNDRED THIRTY-NINE-J OF THE
STATE FINANCE LAW, INCLUDING:
(A) CONTACTS DURING THE RESTRICTED PERIOD BETWEEN DESIGNATED STAFF OF
A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT
SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED IN SUBPARAGRAPH
(II) OF PARAGRAPH (S) OF SUBDIVISION TWO OF THIS SECTION, INVOLVED IN
GOVERNMENTAL PROCUREMENTS AND OFFICERS OR EMPLOYEES OF OFFERERS, OR
OFFICERS OR EMPLOYEES OF SUBCONTRACTORS OF OFFERERS, WHO ARE CHARGED
WITH THE PERFORMANCE OF FUNCTIONS RELATING TO CONTRACTS AND WHO ARE
QUALIFIED BY EDUCATION, TRAINING OR EXPERIENCE TO PROVIDE TECHNICAL
SERVICES TO EXPLAIN, CLARIFY OR DEMONSTRATE THE QUALITIES, CHARACTER-
ISTICS OR ADVANTAGES OF AN ARTICLE OF PROCUREMENT. SUCH AUTHORIZED
CONTACTS SHALL: (I) BE LIMITED TO PROVIDING INFORMATION TO STAFF OF A
STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT
SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED IN SUBPARAGRAPH
(II) OF PARAGRAPH (S) OF SUBDIVISION TWO OF THIS SECTION, TO ASSIST THEM
IN UNDERSTANDING AND ASSESSING THE QUALITIES, CHARACTERISTICS OR ANTIC-
IPATED PERFORMANCE OF AN ARTICLE OF PROCUREMENT, (II) NOT INCLUDE ANY
RECOMMENDATIONS OR ADVOCATE ANY CONTRACT PROVISIONS, AND (III) OCCUR
ONLY AT SUCH TIMES AND IN SUCH MANNER AS AUTHORIZED UNDER THE PROCURING
ENTITY'S SOLICITATION OR GUIDELINES AND PROCEDURES. FOR THE PURPOSES OF
THIS SUBPARAGRAPH, THE TERM "TECHNICAL SERVICES" SHALL BE LIMITED TO
ANALYSIS DIRECTLY APPLYING ANY ACCOUNTING, ENGINEERING, SCIENTIFIC, OR
OTHER SIMILAR TECHNICAL DISCIPLINES;
(B) CONTACTS BETWEEN OFFERERS AND PUBLIC OFFICIALS AND OFFICERS OR
EMPLOYEES OF THE UNIFIED COURT SYSTEM DURING THE PREPARATION OF SPECIFI-
CATIONS, BID DOCUMENTS OR REQUEST FOR PROPOSALS, INVITATION FOR BIDS, OR
ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS FOR A PROCURE-
MENT CONTRACT PRIOR TO THE RESTRICTED PERIOD.
20. RESTRICTIONS ON POLITICAL CONTRIBUTIONS BY LOBBYISTS. A LOBBYIST
SHALL NOT SOLICIT, MAKE OR TRANSMIT A CONTRIBUTION OR A REQUEST FOR A
CONTRIBUTION FROM OR TO ANY PERSON, INCLUDING A POLITICAL COMMITTEE FOR
THE BENEFIT OF A PUBLIC OFFICIAL OR PARTY COMMITTEE, FOR ELECTION OR
NOMINATION TO ANY STATE OR MUNICIPAL CORPORATION OFFICE; EXCEPT THAT A
LOBBYIST MAY MAKE A POLITICAL CONTRIBUTION UP TO TWO HUNDRED FIFTY
DOLLARS PER CANDIDATE PER ELECTION OR NOMINATION. SUCH CONTRIBUTIONS
S. 6615--A 33 A. 9715--A
SHALL NOT BE SUBJECT TO MATCHABLE CONTRIBUTIONS UNDER TITLE TWO OF ARTI-
CLE FOURTEEN OF THE ELECTION LAW.
21. RESTRICTIONS ON ACCEPTANCE OF POLITICAL CONTRIBUTIONS BY PUBLIC
OFFICIALS. A PUBLIC OFFICIAL SHALL NOT KNOWINGLY ACCEPT, SOLICIT, OR
TRANSMIT A CONTRIBUTION OR A REQUEST FOR A CONTRIBUTION FOR HIMSELF OR
HERSELF OR ANY PUBLIC OFFICIAL, POLITICAL COMMITTEE, OR CANDIDATE FROM
OR ON BEHALF OF ANY LOBBYIST REGULATED BY THIS ARTICLE, EXCEPT THAT A
PUBLIC OFFICIAL MAY ACCEPT POLITICAL CONTRIBUTIONS FROM A LOBBYIST, UP
TO TWO HUNDRED FIFTY DOLLARS PER ELECTION.
22. APPLICABILITY OF CERTAIN LAWS. THE PROVISIONS OF THIS SECTION
INCLUDING, BUT NOT LIMITED TO, ANY PROCEEDING OR HEARING CONDUCTED
PURSUANT HERETO, SHALL BE SUBJECT TO THE APPLICABLE PROVISIONS OF THE
STATE ADMINISTRATIVE PROCEDURE ACT AND SECTION SEVENTY-THREE OF THE
CIVIL RIGHTS LAW.
S 6-a. Subdivision 3 of section 74 of the public officers law is
amended by adding a new paragraph j to read as follows:
J. AN OFFICER OR EMPLOYEE OF A STATE AGENCY OR MEMBER OF THE LEGISLA-
TURE SHALL ABIDE BY THE TERMS OF ARTICLE SEVEN OF THIS CHAPTER.
S 7. Section 94 of the executive law is REPEALED.
S 7-a. Paragraphs (c) and (d) of subdivision 1 of section 73-a of the
public officers law, paragraph (c) as added by chapter 813 of the laws
of 1987, and subparagraphs (ii) and (iii) of paragraph (c) and paragraph
(d) as amended by chapter 242 of the laws of 1989, are amended to read
as follows:
(c) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies and assistants;
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions, commis-
sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-
vision or who hold policy-making positions, as annually determined by
the appointing authority and set forth in a written instrument which
shall be filed with the state GOVERNMENT ethics commission established
by section [ninety-four of the executive law] SEVENTY-THREE-C OF THIS
ARTICLE during the month of February, provided, however, that the
appointing authority shall amend such written instrument after such date
within thirty days after the undertaking of policy-making responsibil-
ities by a new employee or any other employee whose name did not appear
on the most recent written instrument; and
(iii) members or directors of public authorities, other than multi-
state authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, and employees of such
authorities, corporations and commissions who receive annual compen-
sation in excess of the filing rate established by paragraph (l) of this
subdivision or who hold policy-making positions, as determined annually
by the appointing authority and set forth in a written instrument which
shall be filed with the state GOVERNMENT ethics commission established
by section [ninety-four of the executive law] SEVENTY-THREE-C OF THIS
ARTICLE during the month of February, provided, however, that the
appointing authority shall amend such written instrument after such date
within thirty days after the undertaking of policy-making responsibil-
ities by a new employee or any other employee whose name did not appear
on the most recent written instrument.
(d) The term "legislative employee" shall mean any officer or employee
of the legislature who receives annual compensation in excess of the
filing rate established by paragraph (l) [below] OF THIS SUBDIVISION or
S. 6615--A 34 A. 9715--A
who is determined to hold a policy-making position by the appointing
authority as set forth in a written instrument which shall be filed with
the [legislative] STATE GOVERNMENT ethics [committee established by
section eighty of the legislative law] COMMISSION.
S 7-b. Subdivision 2 of section 73-a of the public officers law, as
added by chapter 813 of the laws of 1987, subparagraphs (v), (vi) and
(vii) of paragraph (a) and paragraphs (e) and (g) as amended, and
subparagraph (viii) of paragraph (a) and paragraph (j) as added by chap-
ter 242 of the laws of 1989, is amended to read as follows:
2. (a) Every statewide elected official, state officer or employee,
member of the legislature, legislative employee and political party
chairman and every candidate for statewide elected office or for member
of the legislature shall file an annual statement of financial disclo-
sure containing the information and in the form set forth in subdivision
three hereof. Such statement shall be filed on or before the fifteenth
day of May with respect to the preceding calendar year, except that:
(i) a person who is subject to the reporting requirements of this
subdivision and who timely filed with the internal revenue service an
application for automatic extension of time in which to file his or her
individual income tax return for the immediately preceding calendar or
fiscal year shall be required to file such financial disclosure state-
ment on or before May fifteenth but may, without being subjected to any
civil penalty on account of a deficient statement, indicate with respect
to any item of the disclosure statement that information with respect
thereto is lacking but will be supplied in a supplementary statement of
financial disclosure, which shall be filed on or before the seventh day
after the expiration of the period of such automatic extension of time
within which to file such individual income tax return, provided that
failure to file or to timely file such supplementary statement of finan-
cial disclosure or the filing of an incomplete or deficient supplementa-
ry statement of financial disclosure shall be subject to the notice and
penalty provisions of this section respecting annual statements of
financial disclosure as if such supplementary statement were an annual
statement;
(ii) a person who is required to file an annual financial disclosure
statement with the state GOVERNMENT ethics commission [or with the
legislative ethics committee], and who is granted an additional period
of time within which to file such statement due to justifiable cause or
undue hardship, in accordance with required rules and regulations on the
subject adopted pursuant to paragraph c of subdivision nine of section
ninety-four of the executive law or pursuant to [paragraph c of subdivi-
sion eight of section eighty of the legislative law] SECTION
SEVENTY-THREE-C OF THIS ARTICLE, shall file such statement within the
additional period of time granted;
(iii) candidates for statewide office who receive a party designation
for nomination by a state committee pursuant to section 6-104 of the
election law shall file such statement within seven days after the date
of the meeting at which they are so designated;
(iv) candidates for statewide office who receive twenty-five percent
or more of the vote cast at the meeting of the state committee held
pursuant to section 6-104 of the election law and who demand to have
their names placed on the primary ballot and who do not withdraw within
fourteen days after such meeting shall file such statement within seven
days after the last day to withdraw their names in accordance with the
provisions of such section of the election law;
S. 6615--A 35 A. 9715--A
(v) candidates for statewide office and candidates for member of the
legislature who file party designating petitions for nomination at a
primary election shall file such statement within seven days after the
last day allowed by law for the filing of party designating petitions
naming them as candidates for the next succeeding primary election;
(vi) candidates for independent nomination who have not been desig-
nated by a party to receive a nomination shall file such statement with-
in seven days after the last day allowed by law for the filing of inde-
pendent nominating petitions naming them as candidates in the next
succeeding general or special election;
(vii) candidates who receive the nomination of a party for a special
election shall file such statement within seven days after the date of
the meeting of the party committee at which they are nominated; and
(viii) a candidate substituted for another candidate, who fills a
vacancy in a party designation or in an independent nomination, caused
by declination, shall file such statement within seven days after the
last day allowed by law to file a certificate to fill a vacancy in such
party designation or independent nomination.
(b) As used in this subdivision, the terms "party", "committee" (when
used in conjunction with the term "party"), "designation", "primary",
"primary election", "nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in section 1-104 of the
election law.
(c) [If the reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative employ-
ee, such statement shall be filed with the legislative ethics committee
established by section eighty of the legislative law.] If the reporting
individual is a statewide elected official, SENATOR OR MEMBER OF THE
ASSEMBLY, candidate for statewide elected office, a state officer or
employee or a political party chairman, such statement shall be filed
with the state GOVERNMENT ethics commission [established by section
ninety-four of the executive law].
(d) The [legislative ethics committee and the] state GOVERNMENT ethics
commission shall obtain from the state board of elections a list of all
candidates for statewide office and for member of the legislature, and
from such list, shall determine and publish a list of those candidates
who have not, within ten days after the required date for filing such
statement, filed the statement required by this subdivision.
(e) Any person required to file such statement who commences employ-
ment after May fifteenth of any year and political party chairman shall
file such statement within thirty days after commencing employment or of
taking the position of political party chairman, as the case may be.
[(f) A person who may otherwise be required to file more than one
annual financial disclosure statement with both the state ethics commis-
sion and the legislative ethics committee in any one calendar year may
satisfy such requirement by filing one such statement with either body
and by notifying the other body of such compliance.]
(g) A person who is employed in more than one employment capacity for
one or more employers certain of whose officers and employees are
subject to filing a financial disclosure statement with the [same] STATE
GOVERNMENT ethics commission [or ethics committee, as the case may be],
and who receives distinctly separate payments of compensation for such
employment shall be subject to the filing requirements of this section
if the aggregate annual compensation for all such employment capacities
is in excess of the filing rate notwithstanding that such person would
not otherwise be required to file with respect to any one particular
S. 6615--A 36 A. 9715--A
employment capacity. [A person not otherwise required to file a finan-
cial disclosure statement hereunder who is employed by an employer
certain of whose officers or employees are subject to filing a financial
disclosure statement with the state ethics commission and who is also
employed by an employer certain of whose officers or employees are
subject to filing a financial disclosure statement with the legislative
ethics committee shall not be subject to filing such statement with
either such commission or such committee on the basis that his aggregate
annual compensation from all such employers is in excess of the filing
rate.]
(h) A statewide elected official or member of the legislature, who is
simultaneously a candidate for statewide elected office or member of the
legislature, shall satisfy the filing deadline requirements of this
subdivision by complying only with the deadline applicable to one who
holds a statewide elected office or who holds the office of member of
the legislature.
(i) A candidate whose name will appear on both a party designating
petition and on an independent nominating petition for the same office
or who will be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this subdi-
vision by complying with the earliest applicable deadline only.
(j) A member of the legislature who is elected to such office at a
special election prior to May fifteenth in any year shall satisfy the
filing requirements of this subdivision in such year by complying with
the earliest applicable deadline only.
S 7-c. Subdivision 4 of section 73-a of the public officers law, as
amended by chapter 242 of the laws of 1989, is amended to read as
follows:
4. A reporting individual who knowingly and wilfully fails to file an
annual statement of financial disclosure or who knowingly and wilfully
with intent to deceive makes a false statement or gives information
which such individual knows to be false on such statement of financial
disclosure filed pursuant to this section shall be subject to a civil
penalty in an amount not to exceed [ten] TWENTY-FIVE thousand dollars OR
THREE TIMES THE AMOUNT THAT WAS IMPROPERLY REPORTED, CONTRIBUTED OR
EXPENDED. Assessment of a civil penalty hereunder shall be made by the
state GOVERNMENT ethics commission [or by the legislative ethics commit-
tee, as the case may be, with respect to persons subject to their
respective jurisdictions]. The state GOVERNMENT ethics commission
[acting pursuant to subdivision thirteen of section ninety-four of the
executive law or the legislative ethics committee acting pursuant to
subdivision twelve of section eighty of the legislative law, as the case
may be,] may, in lieu of a civil penalty, refer a violation to the
appropriate prosecutor OR TO THE STATE ATTORNEY GENERAL and upon such
conviction, but only after such referral, such violation shall be
punishable as a class A misdemeanor AND EACH SUBSEQUENT OFFENSE WITHIN
FIVE YEARS SHALL BE PUNISHABLE AS A CLASS E FELONY. A civil penalty for
false filing may not be imposed hereunder in the event a category of
"value" or "amount" reported hereunder is incorrect unless such reported
information is falsely understated. Notwithstanding any other provision
of law to the contrary, no other penalty, civil or criminal may be
imposed for a failure to file, or for a false filing, of such statement,
except that the appointing authority may impose disciplinary action as
otherwise provided by law. The state ethics commission and the legisla-
tive ethics committee shall each be deemed to be an agency within the
meaning of article three of the state administrative procedure act and
S. 6615--A 37 A. 9715--A
shall adopt rules governing the conduct of adjudicatory proceedings and
appeals relating to the assessment of the civil penalties herein author-
ized. Such rules, which shall not be subject to the approval require-
ments of the state administrative procedure act, shall provide for due
process procedural mechanisms substantially similar to those set forth
in such article three but such mechanisms need not be identical in terms
or scope. Assessment of a civil penalty shall be final unless modified,
suspended or vacated within thirty days of imposition and upon becoming
final shall be subject to review at the instance of the affected report-
ing individual in a proceeding commenced against the state GOVERNMENT
ethics commission [or legislative ethics committee,] pursuant to article
seventy-eight of the civil practice law and rules.
S 8. The public officers law is amended by adding a new section 73-e
to read as follows:
S 73-E. DESIGNATING COMMISSION FOR THE STATE GOVERNMENT ETHICS COMMIS-
SION. 1. DEFINITIONS. FOR THE PURPOSE OF THIS ARTICLE, THE FOLLOWING
TERMS SHALL HAVE THE FOLLOWING MEANINGS:
A. "DESIGNATING COMMISSION" MEANS THE DESIGNATING COMMISSION FOR THE
STATE GOVERNMENT ETHICS COMMISSION.
B. "DESIGNATING MEMBERS" MEANS THE MEMBERS OF THE DESIGNATING COMMIS-
SION FOR THE STATE GOVERNMENT ETHICS COMMISSION.
C. "COMMISSIONER" MEANS A MEMBER OF THE STATE GOVERNMENT ETHICS
COMMISSION.
D. "CANDIDATE" MEANS ANY INDIVIDUAL UNDER CONSIDERATION FOR COMMIS-
SIONER BY THE DESIGNATING COMMISSION.
E. "APPOINTING OFFICER" MEANS THE STATE ELECTED OFFICIAL RESPONSIBLE
FOR APPOINTING THE DESIGNATING MEMBERS.
2. ORGANIZATION OF THE DESIGNATING COMMISSION. A. A DESIGNATING
COMMISSION FOR THE STATE GOVERNMENT ETHICS COMMISSION IS HEREBY ESTAB-
LISHED. THE DESIGNATING COMMISSION SHALL CONSIST OF TEN MEMBERS OF WHOM
FOUR SHALL BE APPOINTED BY THE GOVERNOR, AND ONE EACH BY THE ATTORNEY
GENERAL, THE STATE COMPTROLLER, THE SPEAKER OF THE ASSEMBLY, THE TEMPO-
RARY PRESIDENT OF THE SENATE, THE MINORITY LEADER OF THE SENATE, AND THE
MINORITY LEADER OF THE ASSEMBLY. OF THE FOUR MEMBERS APPOINTED BY THE
GOVERNOR, NO MORE THAN TWO SHALL BE ENROLLED IN THE SAME POLITICAL
PARTY. THE GOVERNOR SHALL APPOINT AT LEAST ONE FORMER JUDGE OR JUSTICE
OF THE UNIFIED COURT SYSTEM TO SUCH DESIGNATING COMMISSION. NO MEMBER OF
THE DESIGNATING COMMISSION SHALL BE A MEMBER OF THE LEGISLATURE, AN
EMPLOYEE OF STATE GOVERNMENT, HOLD ANY OFFICE IN ANY POLITICAL PARTY OR
BE A REGISTERED LOBBYIST IN THIS STATE OR IN ANY OTHER STATE. NO MEMBER
OF THE DESIGNATING COMMISSION SHALL BE A PARTNER, OF COUNSEL OR OTHER-
WISE EMPLOYED BY A LOBBYING FIRM OR ANY ENTITY RECEIVING A STATE
CONTRACT THAT SHARES IN ANY PART OF THE PROFIT DERIVED FROM LOBBYING. TO
THE EXTENT POSSIBLE, THE MEMBERS OF THE DESIGNATING COMMISSION SHALL BE
INDIVIDUALS WITH KNOWLEDGE OR EXPERIENCE IN THE FIELD OF GOVERNMENT
ETHICS.
B. THE MEMBERS FIRST APPOINTED BY THE GOVERNOR SHALL HAVE RESPECTIVELY
ONE, TWO, THREE AND FOUR-YEAR TERMS AS HE SHALL DESIGNATE. THE MEMBER
FIRST APPOINTED BY THE ATTORNEY GENERAL SHALL HAVE A TWO-YEAR TERM. THE
MEMBER FIRST APPOINTED BY THE STATE COMPTROLLER SHALL HAVE A TWO-YEAR
TERM. THE MEMBER FIRST APPOINTED BY THE TEMPORARY PRESIDENT OF THE
SENATE SHALL HAVE A ONE-YEAR TERM. THE MEMBER FIRST APPOINTED BY THE
MINORITY LEADER OF THE SENATE SHALL HAVE A TWO-YEAR TERM. THE MEMBER
FIRST APPOINTED BY THE SPEAKER OF THE ASSEMBLY SHALL HAVE A FOUR-YEAR
TERM. THE MEMBER FIRST APPOINTED BY THE MINORITY LEADER OF THE ASSEMBLY
S. 6615--A 38 A. 9715--A
SHALL HAVE A THREE-YEAR TERM. EACH SUBSEQUENT APPOINTMENT SHALL BE FOR
A TERM OF FOUR YEARS.
C. A VACANCY SHALL BE DEEMED TO OCCUR IMMEDIATELY UPON THE APPOINTMENT
OR ELECTION OF ANY MEMBER TO AN OFFICE THAT WOULD DISQUALIFY HIM FOR
APPOINTMENT TO, OR MEMBERSHIP ON, THE DESIGNATING COMMISSION. A VACANCY
OCCURRING FOR ANY REASON OTHER THAN BY EXPIRATION OF TERM SHALL BE
FILLED BY THE APPOINTING OFFICER FOR THE REMAINDER OF THE UNEXPIRED
TERM. NO MEMBER OF THE DESIGNATING COMMISSION SHALL HOLD OFFICE FOR
MORE THAN NINETY DAYS AFTER THE EXPIRATION OF HIS OR HER TERM. IF THE
APPOINTING OFFICER FAILS TO APPOINT A PERSON TO A VACANT OFFICE, BY A
MAJORITY VOTE WITHOUT VACANCY, THE DESIGNATING COMMISSION SHALL SELECT A
PERSON TO FILL THE VACANT OFFICE.
D. THE MEMBERS SHALL DESIGNATE ONE OF THEIR NUMBER TO SERVE AS CHAIR-
MAN FOR A PERIOD OF TWO YEARS OR UNTIL HIS OR HER TERM OF OFFICE
EXPIRES, WHICHEVER PERIOD IS SHORTER.
E. EACH MEMBER OF THE DESIGNATING COMMISSION SHALL NOT RECEIVE COMPEN-
SATION BUT BE ENTITLED TO RECEIVE HIS OR HER ACTUAL AND NECESSARY
EXPENSES INCURRED IN THE DISCHARGE OF HIS OR HER DUTIES.
F. EIGHT MEMBERS OF THE DESIGNATING COMMISSION SHALL CONSTITUTE A
QUORUM.
3. FUNCTIONS OF THE DESIGNATING COMMISSION. A. THE DESIGNATING COMMIS-
SION SHALL CONSIDER AND EVALUATE THE QUALIFICATIONS OF CANDIDATES FOR
APPOINTMENT TO THE OFFICE OF COMMISSIONER OF STATE GOVERNMENT ETHICS
AND, AS A VACANCY OCCURS IN ANY SUCH OFFICE, SHALL APPOINT PERSONS WHO
BY THEIR CHARACTER, TEMPERAMENT, PROFESSIONAL APTITUDE AND EXPERIENCE
ARE WELL QUALIFIED TO HOLD SUCH OFFICE. THE DESIGNATING COMMISSION
SHALL SELECT ONE SUCH PERSON TO SERVE AS CHAIR OF THE STATE GOVERNMENT
ETHICS COMMISSION.
B. AN APPOINTMENT TO COMMISSIONER OF THE STATE GOVERNMENT ETHICS
COMMISSION BY THE DESIGNATING COMMISSION SHALL REQUIRE THE CONCURRENCE
OF SEVEN MEMBERS OF THE DESIGNATING COMMISSION. THE APPOINTMENT SHALL BE
TRANSMITTED TO THE GOVERNOR, THE ATTORNEY GENERAL, THE STATE COMP-
TROLLER, THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAKER OF THE
ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE MINORITY LEADER OF
THE ASSEMBLY IN A SINGLE WRITTEN REPORT, WHICH SHALL BE RELEASED TO THE
PUBLIC BY THE DESIGNATING COMMISSION AT THE TIME IT IS SUBMITTED. THE
REPORT SHALL BE IN WRITING, SIGNED ONLY BY THE CHAIRMAN, AND SHALL
INCLUDE THE DESIGNATING COMMISSION'S FINDINGS RELATING TO THE CHARACTER,
TEMPERAMENT, PROFESSIONAL APTITUDE, EXPERIENCE, QUALIFICATIONS AND
FITNESS FOR OFFICE OF EACH CANDIDATE WHO IS APPOINTED COMMISSIONER.
C. NO PERSON SHALL BE APPOINTED COMMISSIONER BY THE DESIGNATING
COMMISSION WHO HAS NOT CONSENTED TO BE A CANDIDATE, WHO HAS NOT BEEN
PERSONALLY INTERVIEWED BY A QUORUM OF THE MEMBERSHIP OF THE DESIGNATING
COMMISSION, AND WHO HAS NOT FILED A FINANCIAL STATEMENT WITH THE DESIG-
NATING COMMISSION, ON A FORM TO BE PRESCRIBED BY THE DESIGNATING COMMIS-
SION. THE FINANCIAL STATEMENT SHALL CONSIST OF A SWORN STATEMENT OF THE
PERSON'S ASSETS, LIABILITIES AND SOURCES OF INCOME, AND ANY OTHER RELE-
VANT FINANCIAL INFORMATION WHICH THE DESIGNATING COMMISSION MAY REQUIRE.
THE DESIGNATING COMMISSION SHALL TRANSMIT THE FINANCIAL STATEMENT FILED
BY EACH PERSON WHO IS APPOINTED TO THE GOVERNOR, THE ATTORNEY GENERAL,
THE STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAK-
ER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE MINORITY
LEADER OF THE ASSEMBLY. THE DESIGNATING COMMISSION SHALL MAKE AVAILABLE
TO THE PUBLIC THE FINANCIAL STATEMENT FILED BY THE PERSON WHO IS
APPOINTED TO FILL A VACANCY. THE FINANCIAL STATEMENTS FILED BY ALL OTHER
S. 6615--A 39 A. 9715--A
PERSONS NOT APPOINTED BY THE DESIGNATING COMMISSION SHALL BE CONFIDEN-
TIAL.
4. ADDITIONAL FUNCTIONS OF THE DESIGNATING COMMISSION. THE DESIGNATING
COMMISSION SHALL HAVE THE FOLLOWING FUNCTIONS, POWERS AND DUTIES:
A. ESTABLISH DETAILED COMMUNICATION PROCEDURES TO ASSURE THAT PERSONS
WHO MAY BE QUALIFIED FOR APPOINTMENT TO COMMISSIONER, OTHER THAN THOSE
WHO HAVE REQUESTED CONSIDERATION OR WHO HAVE BEEN RECOMMENDED FOR
CONSIDERATION BY OTHERS, ARE ENCOURAGED TO AGREE TO BE CONSIDERED BY THE
DESIGNATING COMMISSION. THE TOTAL NUMBER OF REQUESTS FOR CONSIDERATION
SHALL BE DOCUMENTED FOR THE PUBLIC RECORD.
B. CONDUCT INVESTIGATIONS, ADMINISTER OATHS OR AFFIRMATIONS, INTERVIEW
WITNESSES AND COMPEL THEIR ATTENDANCE, EXAMINE THEM UNDER OATH OR AFFIR-
MATION AND REQUIRE THE PRODUCTION OF ANY BOOKS, RECORDS, DOCUMENTS OR
OTHER EVIDENCE THAT IT MAY DEEM RELEVANT OR MATERIAL TO ITS EVALUATION
OF CANDIDATES FOR COMMISSIONER.
C. REQUIRE FROM ANY COURT, DEPARTMENT, DIVISION, BOARD, BUREAU,
COMMISSION, OR OTHER AGENCY OF THE STATE OR POLITICAL SUBDIVISION THERE-
OF OR ANY PUBLIC AUTHORITY SUCH ASSISTANCE, INFORMATION AND DATA, AS
WILL ENABLE IT PROPERLY TO EVALUATE THE QUALIFICATIONS OF CANDIDATES,
SUBJECT TO ANY ABSOLUTE JUDICIAL OR EXECUTIVE PRIVILEGE, WHERE ONE
EXISTS.
NOTWITHSTANDING ANY OTHER PROVISION OF LAW, THE DESIGNATING COMMIS-
SION, WITH THE CONSENT OF THE APPLICANT, SHALL BE ENTITLED TO REQUIRE
FROM ANY FORMAL DELIBERATIVE BODY ANY FORMAL WRITTEN COMPLAINT AGAINST A
CANDIDATE, IN WHICH THE APPLICANT'S MISCONDUCT WAS ESTABLISHED, ANY
PENDING COMPLAINT AGAINST A CANDIDATE, AND THE RECORD TO DATE OF ANY
PENDING PROCEEDING PURSUANT TO A FORMAL WRITTEN COMPLAINT AGAINST SUCH
CANDIDATE. THE DELIBERATIVE BODY THAT HAS JURISDICTION OVER SUCH
COMPLAINT SHALL HAVE FIFTEEN DAYS WITHIN WHICH TO RESPOND TO A REQUEST
MADE PURSUANT TO THIS SUBDIVISION.
D. REQUIRE THE APPEARANCE OF ANY CANDIDATE BEFORE IT AND INTERVIEW ANY
PERSON CONCERNING THE QUALIFICATIONS OF ANY CANDIDATE.
E. ESTABLISH PROCEDURES TO COMMUNICATE WITH THE GOVERNOR, THE ATTORNEY
GENERAL, THE STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE,
THE SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE
MINORITY LEADER OF THE ASSEMBLY CONCERNING THE QUALIFICATIONS OF ANY
PERSON WHO IT HAS APPOINTED AS COMMISSIONER.
F. APPOINT, AND AT PLEASURE REMOVE, A COUNSEL AND SUCH OTHER STAFF AS
IT MAY REQUIRE FROM TIME TO TIME, AND PRESCRIBE THEIR POWERS AND DUTIES.
THE DESIGNATING COMMISSION SHALL FIX THE COMPENSATION OF ITS STAFF AND
PROVIDE FOR REIMBURSEMENT OF THEIR EXPENSES WITHIN THE AMOUNTS APPROPRI-
ATED BY LAW.
G. DO ALL OTHER THINGS NECESSARY AND CONVENIENT TO CARRY OUT ITS FUNC-
TIONS PURSUANT TO THIS ARTICLE.
5. RULES OF THE DESIGNATING COMMISSION. A. THE DESIGNATING COMMISSION
SHALL ADOPT, AND MAY AMEND, WRITTEN RULES OF PROCEDURE NOT INCONSISTENT
WITH LAW.
B. RULES OF THE DESIGNATING COMMISSION SHALL BE FILED WITH THE SECRE-
TARY OF STATE AND SHALL BE PUBLISHED IN THE OFFICIAL COMPILATION OF
CODES, RULES AND REGULATIONS OF THE STATE. UPON REQUEST OF ANY PERSON,
THE SECRETARY OF STATE SHALL FURNISH A COPY OF THE DESIGNATING COMMIS-
SION'S RULES WITHOUT CHARGE.
C. RULES OF THE DESIGNATING COMMISSION MAY PRESCRIBE FORMS AND QUES-
TIONNAIRES TO BE COMPLETED AND, IF REQUIRED BY THE DESIGNATING COMMIS-
SION, VERIFIED BY CANDIDATES.
S. 6615--A 40 A. 9715--A
D. RULES OF THE DESIGNATING COMMISSION SHALL PROVIDE THAT UPON THE
COMPLETION BY THE DESIGNATING COMMISSION OF ITS CONSIDERATION AND EVALU-
ATION OF THE QUALIFICATIONS OF A CANDIDATE, THERE SHALL BE NO RECONSID-
ERATION OF SUCH CANDIDATE FOR THE VACANCY FOR WHICH HE WAS CONSIDERED,
EXCEPT WITH THE CONCURRENCE OF EIGHT MEMBERS OF THE DESIGNATING COMMIS-
SION.
6. CONFIDENTIALITY OF PROCEEDINGS AND RECORDS. A. ALL COMMUNICATIONS
TO THE DESIGNATING COMMISSION, AND ITS PROCEEDINGS, AND ALL APPLICA-
TIONS, CORRESPONDENCE, INTERVIEWS, TRANSCRIPTS, REPORTS AND ALL OTHER
PAPERS, FILES AND RECORDS OF THE DESIGNATING COMMISSION SHALL BE CONFI-
DENTIAL AND PRIVILEGED AND, EXCEPT FOR THE PURPOSES OF ARTICLE TWO
HUNDRED TEN OF THE PENAL LAW, SHALL NOT BE MADE AVAILABLE TO ANY PERSON
EXCEPT AS OTHERWISE PROVIDED IN THIS ARTICLE.
B. NEITHER THE COMMISSIONERS OF THE STATE GOVERNMENT ETHICS COMMIS-
SION, MEMBERS OF THE DESIGNATING COMMISSION NOR ITS STAFF SHALL PUBLICLY
DIVULGE THE NAMES OF, OR ANY INFORMATION CONCERNING, ANY CANDIDATE
EXCEPT AS OTHERWISE PROVIDED IN THIS ARTICLE. ANY VIOLATION OF THIS
SUBDIVISION SHALL BE A CLASS A MISDEMEANOR.
7. PROCEDURES WHEN VACANCIES OCCUR. A. WHENEVER A VACANCY WILL OCCUR
IN THE OFFICE OF COMMISSIONER OF STATE GOVERNMENT ETHICS BY EXPIRATION
OF A TERM, THE COMMISSIONERS OF STATE GOVERNMENT ETHICS SHALL NOTIFY THE
DESIGNATING COMMISSION OF THE ANTICIPATED VACANCY NO LATER THAN SEVEN
MONTHS PRECEDING THE VACANCY. THE DESIGNATING COMMISSION SHALL MAKE ITS
APPOINTMENT TO THE STATE GOVERNMENT ETHICS COMMISSION ON OR BEFORE THE
DATE OF EXPIRATION, TO TAKE EFFECT ON THE DAY FOLLOWING SUCH EXPIRATION.
B. WHENEVER A VACANCY OCCURS OTHER THAN BY EXPIRATION OF TERM, THE
COMMISSIONERS OF STATE GOVERNMENT ETHICS SHALL IMMEDIATELY NOTIFY THE
DESIGNATING COMMISSION OF SUCH VACANCY. THE DESIGNATING COMMISSION SHALL
MAKE ITS APPOINTMENT NO LATER THAN ONE HUNDRED TWENTY DAYS AFTER RECEIPT
OF SUCH NOTICE.
S 9. Paragraph (a) of subdivision 1 of section 73 of the public offi-
cers law, as amended by chapter 813 of the laws of 1987, is amended to
read as follows:
(a) The term "compensation" shall mean any money, thing of value or
financial benefit conferred in return for services rendered or to be
rendered. With regard to matters undertaken by a firm, corporation or
association, compensation shall mean net revenues, as defined in accord-
ance with generally accepted accounting principles as defined by the
state GOVERNMENT ethics commission [or legislative ethics committee in
relation to persons subject to their respective jurisdictions].
S 10. Paragraphs (b) and (c) of subdivision 5 of section 73 of the
public officers law, as added by chapter 14 of the laws of 2007, are
amended to read as follows:
(b) solicit, accept or receive any gift[, as defined in section one-c
of the legislative law,] from any person who is prohibited from deliver-
ing such gift pursuant to SUBDIVISION FIVE-A OF THIS section [one-m of
the legislative law] unless under the circumstances it is not reasonable
to infer that the gift was intended to influence him OR HER; or
(c) permit the solicitation, acceptance, or receipt of any gift[, as
defined in section one-c of the legislative law,] from any person who is
prohibited from delivering such gift pursuant to SUBDIVISION FIVE-A OF
THIS section [one-m of the legislative law] to a third party including a
charitable organization, on such official's designation or recommenda-
tion or on his or her behalf, under circumstances where it is reasonable
to infer that the gift was intended to influence him OR HER.
S. 6615--A 41 A. 9715--A
S 11. Subdivision 5-a of section 73 of the public officers law is
renumbered subdivision 5-b and a new subdivision 5-a is added to read as
follows:
5-A. PROHIBITION OF GIFTS. NO INDIVIDUAL OR ENTITY REQUIRED TO BE
LISTED ON A STATEMENT OF REGISTRATION PURSUANT TO SECTION
SEVENTY-THREE-C OF THIS ARTICLE SHALL OFFER OR GIVE A GIFT TO ANY STATE-
WIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE, INDIVIDUAL WHOSE NAME
HAS BEEN SUBMITTED TO THE SENATE FOR CONFIRMATION TO BECOME A STATE
OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE,
UNLESS UNDER THE CIRCUMSTANCES IT IS NOT REASONABLE TO INFER THAT THE
GIFT WAS INTENDED TO INFLUENCE HIM OR HER. NO INDIVIDUAL OR ENTITY
REQUIRED TO BE LISTED ON A STATEMENT OF REGISTRATION PURSUANT TO SECTION
SEVENTY-THREE-C OF THIS ARTICLE SHALL OFFER OR GIVE A GIFT TO THE SPOUSE
OR UNEMANCIPATED CHILD OF ANY STATEWIDE ELECTED OFFICIAL, STATE OFFICER
OR EMPLOYEE, INDIVIDUAL WHOSE NAME HAS BEEN SUBMITTED TO THE SENATE FOR
CONFIRMATION TO BECOME A STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGIS-
LATURE OR LEGISLATIVE EMPLOYEE UNDER CIRCUMSTANCES WHERE IT IS REASON-
ABLE TO INFER THAT THE GIFT WAS INTENDED TO INFLUENCE HIM OR HER. NO
SPOUSE OR UNEMANCIPATED CHILD OF AN INDIVIDUAL REQUIRED TO BE LISTED ON
A STATEMENT OF REGISTRATION PURSUANT TO SECTION SEVENTY-THREE-C OF THIS
ARTICLE SHALL OFFER OR GIVE A GIFT TO A STATEWIDE ELECTED OFFICIAL,
STATE OFFICER OR EMPLOYEE, INDIVIDUAL WHOSE NAME HAS BEEN SUBMITTED TO
THE SENATE FOR CONFIRMATION TO BECOME A STATE OFFICER OR EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE UNDER CIRCUMSTANCES
WHERE IT IS REASONABLE TO INFER THAT THE GIFT WAS INTENDED TO INFLUENCE
HIM OR HER. THIS SUBDIVISION SHALL NOT APPLY TO GIFTS TO OFFICERS,
MEMBERS OR DIRECTORS OF BOARDS, COMMISSIONS, COUNCILS, PUBLIC AUTHORI-
TIES OR PUBLIC BENEFIT CORPORATIONS WHO RECEIVE NO COMPENSATION OR ARE
COMPENSATED ON A PER DIEM BASIS, UNLESS THE PERSON LISTED ON THE STATE-
MENT OF REGISTRATION APPEARS OR HAS MATTERS PENDING BEFORE THE BOARD,
COMMISSION OR COUNCIL ON WHICH THE RECIPIENT SITS.
S 12. Paragraph (a) of subdivision 6 of section 73 of the public offi-
cers law, as amended by chapter 813 of the laws of 1987, is amended to
read as follows:
(a) Every legislative employee not subject to the provisions of
section seventy-three-a of this chapter shall, on and after December
fifteenth and before the following January fifteenth, in each year, file
[with the legislative ethics committee established by section eighty of
the legislative law] a financial disclosure statement of
(1) each financial interest, direct or indirect of himself, his
spouse, DOMESTIC PARTNER, and his unemancipated children under the age
of eighteen years in any activity which is subject to the jurisdiction
of a regulatory agency or name of the entity in which the interest is
had and whether such interest is over or under five thousand dollars in
value.
(2) every office and directorship held by him in any corporation, firm
or enterprise which is subject to the jurisdiction of a regulatory agen-
cy, including the name of such corporation, firm or enterprise.
(3) any other interest or relationship which he determines in his
discretion might reasonably be expected to be particularly affected by
legislative action or in the public interest should be disclosed.
S 13. Paragraph (c) of subdivision 6 of section 73 of the public offi-
cers law, as amended by chapter 813 of the laws of 1987, is amended to
read as follows:
(c) Any such legislative employee who knowingly and wilfully with
intent to deceive makes a false statement or gives information which he
S. 6615--A 42 A. 9715--A
knows to be false in any written statement required to be filed pursuant
to this subdivision, shall be assessed a civil penalty in an amount not
to exceed [ten] TWENTY-FIVE thousand dollars. Assessment of a civil
penalty shall be made by the [legislative ethics committee in accordance
with the provisions of subdivision twelve of section eighty of the
legislative law] STATE GOVERNMENT ETHICS COMMISSION. For a violation of
this subdivision, the [committee] COMMISSION may, in lieu of a civil
penalty, refer a violation to the ATTORNEY GENERAL OR appropriate prose-
cutor and upon conviction, but only after such referral, such violation
shall be punishable as a class A misdemeanor.
S 14. Paragraph (h) of subdivision 8 of section 73 of the public offi-
cers law, as added by chapter 514 of the laws of 2002, is amended to
read as follows:
(h) Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of this subdivision, a former state officer or employee
may contract individually, or as a member or employee of a firm, corpo-
ration or association, to render services to any state agency when the
agency head certifies in writing to the state GOVERNMENT ethics commis-
sion that the services of such former officer or employee are required
in connection with the agency's response to a disaster emergency
declared by the governor pursuant to section twenty-eight of the execu-
tive law.
S 15. The opening paragraph of subdivision 8-a of section 73 of the
public officers law, as amended by chapter 357 of the laws of 2001, is
amended to read as follows:
The provisions of subparagraphs (i) and (ii) of paragraph (a) of
subdivision eight of this section shall not apply to any such former
state officer or employee engaged in any of the specific permitted
activities defined in this subdivision that are related to any civil
action or proceeding in any state or federal court, provided that the
attorney general has certified in writing to the state GOVERNMENT ethics
commission, with a copy to such former state officer or employee, that
the services are rendered on behalf of the state, a state agency, state
officer or employee, or other person or entity represented by the attor-
ney general, and that such former state officer or employee has exper-
tise, knowledge or experience which is unique or outstanding in a field
or in a particular matter or which would otherwise be generally unavail-
able at a comparable cost to the state, a state agency, state officer or
employee, or other person or entity represented by the attorney general
in such civil action or proceeding. In those instances where a state
agency is not represented by the attorney general in a civil action or
proceeding in state or federal court, a former state officer or employee
may engage in permitted activities provided that the general counsel of
the state agency, after consultation with the state GOVERNMENT ethics
commission, provides to the state GOVERNMENT ethics commission a written
certification which meets the requirements of this subdivision. For
purposes of this subdivision the term "permitted activities" shall mean
generally any activity performed at the request of the attorney general
or the attorney general's designee, or in cases where the state agency
is not represented by the attorney general, the general counsel of such
state agency, including without limitation:
S 16. Subdivision 8-b of section 73 of the public officers law, as
added by chapter 523 of the laws of 2004, is amended to read as follows:
8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of subdivision eight of this section, a former state offi-
cer or employee may contract individually, or as a member or employee of
S. 6615--A 43 A. 9715--A
a firm, corporation or association, to render services to any state
agency if, prior to engaging in such service, the agency head certifies
in writing to the state GOVERNMENT ethics commission that such former
officer or employee has expertise, knowledge or experience with respect
to a particular matter which meets the needs of the agency and is other-
wise unavailable at a comparable cost. Where approval of the contract is
required under section one hundred twelve of the state finance law, the
comptroller shall review and consider the reasons for such certif-
ication. The state GOVERNMENT ethics commission must review and approve
all certifications made pursuant to this subdivision.
S 17. Subdivision 10 of section 73 of the public officers law, as
amended by chapter 813 of the laws of 1987, is amended to read as
follows:
10. Nothing contained in this section, the judiciary law, the educa-
tion law or any other law or disciplinary rule shall be construed or
applied to prohibit any firm, association or corporation, in which any
present or former statewide elected official, state officer or employee,
or political party chairman, member of the legislature or legislative
employee is a member, associate, retired member, of counsel or share-
holder, from appearing, practicing, communicating or otherwise rendering
services in relation to any matter before, or transacting business with
a state agency, or a city agency with respect to a political party
chairman in a county wholly included in a city with a population of more
than one million, otherwise proscribed by this section, the judiciary
law, the education law or any other law or disciplinary rule with
respect to such official, member of the legislature or officer or
employee, or political party chairman, where such statewide elected
official, state officer or employee, member of the legislature or legis-
lative employee, or political party chairman does not share in the net
revenues, as defined in accordance with generally accepted accounting
principles by the state GOVERNMENT ethics commission [or by the legisla-
tive ethics committee in relation to persons subject to their respective
jurisdictions], resulting therefrom, or, acting in good faith, reason-
ably believed that he or she would not share in the net revenues as so
defined; nor shall anything contained in this section, the judiciary
law, the education law or any other law or disciplinary rule be
construed to prohibit any firm, association or corporation in which any
present or former statewide elected official, member of the legislature,
legislative employee, full-time salaried state officer or employee or
state officer or employee who is subject to the provisions of section
seventy-three-a of this [chapter] ARTICLE is a member, associate,
retired member, of counsel or shareholder, from appearing, practicing,
communicating or otherwise rendering services in relation to any matter
before, or transacting business with, the court of claims, where such
statewide elected official, member of the legislature, legislative
employee, full-time salaried state officer or employee or state officer
or employee who is subject to the provisions of section seventy-three-a
of this [chapter] ARTICLE does not share in the net revenues, as defined
in accordance with generally accepted accounting principles by the state
GOVERNMENT ethics commission [or by the legislative ethics committee in
relation to persons subject to their respective jurisdictions], result-
ing therefrom, or, acting in good faith, reasonably believed that he or
she would not share in the net revenues as so defined.
S 18. The opening paragraph and the closing paragraph of subdivision 1
of section 107 of the public officers law, are designated paragraphs a
and b and a new paragraph c is added to read as follows:
S. 6615--A 44 A. 9715--A
C. THE STATE GOVERNMENT ETHICS COMMISSION SHALL ALSO HAVE JURISDICTION
TO RECEIVE COMPLAINTS BY ANY AGGRIEVED PERSON AGAINST A STATE PUBLIC
BODY AS DEFINED IN SECTION ONE HUNDRED TWO OF THIS ARTICLE.
S 19. Subparagraphs (iii) and (iv) of paragraph (i) of subdivision 1
of section 73 of the public officers law, as amended by chapter 242 of
the laws of 1989, are amended and a new subparagraph (v) is added to
read as follows:
(iii) officers and employees of state departments, boards, bureaus,
divisions, commissions, councils or other state agencies other than
officers of such boards, commissions or councils who receive no compen-
sation or are compensated on a per diem basis; [and]
(iv) members or directors of public authorities, other than multi-
state authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, who receive compen-
sation other than on a per diem basis, and employees of such authori-
ties, corporations and commissions[.]; AND
(V) MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF THE LEGISLATURE.
S 20. Subdivision 2 of section 73 of the public officers law, as
amended by chapter 813 of the laws of 1987, is amended to read as
follows:
2. (A) NO STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE,
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR STATE
PUBLIC OFFICE SHALL RECEIVE, OR ENTER INTO ANY AGREEMENT EXPRESS OR
IMPLIED FOR, COMPENSATION FOR SERVICES TO BE RENDERED IN RELATION TO ANY
CASE, PROCEEDING, APPLICATION, STATE GOVERNMENTAL PROCUREMENT ARTICLE OR
PROCUREMENT OR OTHER MATTER BEFORE ANY STATE AGENCY.
(B) In addition to the prohibitions contained in subdivision seven
hereof, no statewide elected official, state officer or employee, member
of the legislature or legislative employee shall receive, or enter into
any agreement express or implied for, compensation for services to be
rendered in relation to any case, proceeding, application, ARTICLE OF
PROCUREMENT or other matter before any state agency, whereby his compen-
sation is to be dependent or contingent upon any action by such agency
with respect to any license, contract, certificate, ruling, decision,
opinion, rate schedule, franchise, or other benefit; provided, however,
that nothing in this subdivision shall be deemed to prohibit the fixing
at any time of fees based upon the reasonable value of the services
rendered.
S 21. Paragraph (a) of subdivision 5 of section 73 of the public offi-
cers law, as amended by chapter 14 of the laws of 2007, is amended to
read as follows:
(a) solicit, accept or receive any gift having [more than a nominal
value] A VALUE OF GREATER THAN TEN DOLLARS, whether in the form of
money, service, loan, travel, lodging, meals, refreshments, enter-
tainment, discount, forbearance or promise, or in any other form, under
circumstances in which it could reasonably be inferred that the gift was
intended to influence him, or could reasonably be expected to influence
him, in the performance of his official duties or was intended as a
reward for any official action on his part. No person shall, directly or
indirectly, offer or make any such gift to a statewide elected official,
or any state officer or employee, member of the legislature or legisla-
tive employee under such circumstances.
S 22. Subparagraphs (v) and (vi) of paragraph (a) of subdivision 7 of
section 73 of the public officers law, as amended by chapter 530 of the
laws of 2004, are amended and a new subparagraph (vii) is added to read
as follows:
S. 6615--A 45 A. 9715--A
(v) licensing; [or]
(vi) any proceeding relating to a franchise provided for in the public
service law[.]; OR
(VII) A REFERRAL BY A REGISTERED LOBBYIST TO SUCH STATE OFFICER FOR
THE REPRESENTATION OF AN INDIVIDUAL, BUSINESS, OR ENTITY FOR ANY COMPEN-
SATION.
S 23. Section 73 of the public officers law is amended by adding two
new subdivisions 8-c and 9-a to read as follows:
8-C. NO STATEWIDE ELECTED OFFICIAL, OR STATE OFFICER OR EMPLOYEE, OR
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR POLITICAL PARTY
CHAIRMAN THAT IS LICENSED TO PRACTICE LAW SHALL RECEIVE, DIRECTLY OR
INDIRECTLY, OR ENTER INTO ANY AGREEMENT EXPRESS OR IMPLIED FOR, ANY
COMPENSATION WITH A CLIENT, IN WHATEVER FORM, THAT IS ORIGINALLY A
REFERRAL BY A LOBBYIST REGISTERED IN THE STATE, UNLESS SUCH REFERRAL IS
PUBLICLY DISCLOSED ON A FINANCIAL DISCLOSURE FORM.
9-A. NO STATEWIDE ELECTED OFFICIAL, STATE OFFICER, MEMBER OF THE
LEGISLATURE OR LEGISLATIVE EMPLOYEE, SHALL BE ELIGIBLE TO SERVE AS A
TREASURER OF ANY CAMPAIGN COMMITTEE SUPPORTING A CANDIDATE FOR ANY STATE
OFFICE.
S 24. Section 73 of the public officers law is amended by adding two
new subdivisions 14-a and 14-b to read as follows:
14-A. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION FOURTEEN OF THIS
SECTION, NO MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, AS
DEFINED BY PARAGRAPH (D) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE-A
OF THIS ARTICLE, SHALL PARTICIPATE IN ANY DECISION TO HIRE, PROMOTE,
PROCESS EMPLOYMENT PAPERWORK FOR OR HAVE KNOWLEDGE OF THE PROSPECTIVE
EMPLOYMENT OR CHANGE OF EMPLOYMENT STATUS OF ANY RELATIVE FOR ANY
COMPENSATED POSITION AT, FOR OR WITHIN THE SAME LEGISLATIVE CHAMBER
WHICH EMPLOYS SUCH MEMBER OR LEGISLATIVE EMPLOYEE. THE PROVISIONS OF
THIS SUBDIVISION SHALL NOT APPLY TO PERSONS TO WHICH PARAGRAPH (B) OF
SUBDIVISION FOURTEEN OF THIS SECTION APPLIES.
14-B. IN ADDITION TO THE INFORMATION INCLUDED IN THE ANNUAL FINANCIAL
STATEMENT OF FINANCIAL DISCLOSURE PROVIDED FOR IN SECTION
SEVENTY-THREE-A OF THIS ARTICLE, EVERY MEMBER OF THE LEGISLATURE AND
LEGISLATIVE EMPLOYEE SHALL DISCLOSE THE NAMES OF ALL RELATIVES WHO ARE
EMPLOYED BY THE LEGISLATURE AND THE DEGREE OF THEIR RELATIONSHIP.
S 25. Subdivision 18 of section 73 of the public officers law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
18. In addition to any penalty contained in any other provision of
law, any person who knowingly and intentionally violates the provisions
of subdivisions two through five, seven, eight, twelve or fourteen
through seventeen of this section shall be subject to a civil penalty in
an amount not to exceed forty thousand dollars and the value of any
gift, compensation or benefit received in connection with such
violation. Assessment of a civil penalty hereunder shall be made by the
state oversight body with jurisdiction over such person. A state over-
sight body acting pursuant to its jurisdiction, may, in lieu of a civil
penalty, with respect to a violation of subdivisions two through five,
seven or eight of this section, refer a violation of any such subdivi-
sion to the appropriate prosecutor OR TO THE STATE ATTORNEY GENERAL and
upon such conviction such violation shall be punishable as a class A
misdemeanor.
S 26. Subdivision 1 of section 73-a of the public officers law is
amended by adding a new paragraph (e-1) to read as follows:
S. 6615--A 46 A. 9715--A
(E-1) THE TERM "DOMESTIC PARTNER" SHALL MEAN AN INDIVIDUAL LIVING IN
THE SAME HOUSEHOLD AND SHARING FINANCIAL INTERDEPENDENCE WITH THE
REPORTING INDIVIDUAL.
S 27. Paragraph (f) of subdivision 1 of section 73-a of the public
officers law, as added by chapter 813 of the laws of 1987, is amended to
read as follows:
(f) The term "relative" shall mean such individual's spouse, DOMESTIC
PARTNER, child, stepchild, stepparent, or any person who is a direct
descendant of the grandparents of the reporting individual or of the
reporting individual's spouse.
S 28. Subdivision 3 of section 73-a of the public officers law, as
added by chapter 813 of the laws of 1987, paragraphs 4, 6, 9, 11, 13,
14, 15, 16, 17, 18, and 19, subparagraph (a) of paragraph 5, and subpar-
agraph (b) of paragraph 12 as amended and the fourth and fifth undesig-
nated paragraphs of paragraph 3 as added by chapter 242 of the laws of
1989, is amended to read as follows:
3. The annual statement of financial disclosure shall contain the
information and shall be in the form set forth hereinbelow:
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)
1. Name ______________________________________________________________
2. (a) Title of Position _____________________________________________
(b) Department, Agency or other Governmental Entity _______________
(c) Address of Present Office _____________________________________
(d) Office Telephone Number _______________________________________
3. (a) Marital Status ______________. If married OR IN A DOMESTIC
PARTNERSHIP, please give spouse's OR DOMESTIC PARTNER'S full
name including maiden name where applicable.
_____________________________________________________________ .
(b) List the names of all unemancipated children.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Answer each of the following questions completely, with respect to
calendar year _________, unless another period or date is otherwise
specified. If additional space is needed, attach additional pages.
Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported as being within one of the following
Categories: Category A - under $5,000; Category B - $5,000 to under
$20,000; Category C - $20,000 to under $60,000; Category D - $60,000 to
under $100,000; Category E - $100,000 to under $250,000; [and] Category
F - $250,000 TO UNDER $1,000,000; AND CATEGORY G - $1,000,000 or over. A
reporting individual shall indicate the Category by letter only.
Whenever "income" is required to be reported herein, the term "income"
shall mean the aggregate net income before taxes from the source identi-
fied.
The term "calendar year" shall mean the year ending the December 31st
preceding the date of filing of the annual statement.
S. 6615--A 47 A. 9715--A
4. (a) List any office, trusteeship, directorship, partnership, or
position of any nature, whether compensated or not, held by the
reporting individual with any firm, corporation, association, part-
nership, or other organization other than the State of New York.
Include compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity was licensed
by any state or local agency, was regulated by any state regulatory
agency or local agency, or, as a regular and significant part of the
business or activity of said entity, did business with, or had
matters other than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) List any office, trusteeship, directorship, partnership, or position
of any nature, whether compensated or not, held by the spouse,
DOMESTIC PARTNER, or unemancipated child of the reporting individ-
ual, with any firm, corporation, association, partnership, or other
organization other than the State of New York. Include compensated
honorary positions; do NOT list membership or uncompensated honorary
positions. If the listed entity was licensed by any state or local
agency, was regulated by any state regulatory agency or local agen-
cy, or, as a regular and significant part of the business or activ-
ity of said entity, did business with, or had matters other than
ministerial matters before, any state or local agency, list the name
of any such agency.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
5. (a) List the name, address and description of any [occupation,]
employment (other than the employment listed under Item 2 above),
trade, business [or], profession OR OCCUPATION engaged in by the
reporting individual. If such activity was licensed by any state or
local agency[,] OR was regulated by any state regulatory agency or
local agency, [or, as a regular and significant part of the business
or activity of said entity, did business with, or had matters other
than ministerial matters before, any state or local agency,] list
the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
S. 6615--A 48 A. 9715--A
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) IF THE REPORTING INDIVIDUAL DID BUSINESS WITH OR HAD MATTERS OTHER
THAN MINISTERIAL MATTERS BEFORE ANY STATE OR LOCAL AGENCY IN THE
COURSE OF ANY EMPLOYMENT, TRADE, BUSINESS, PROFESSION OR OCCUPATION
ENGAGED IN BY THE REPORTING INDIVIDUAL, LIST THE NAME AND ADDRESS OF
THE ENTITY, A BRIEF DESCRIPTION OF THE ACTIVITY AND THE NAME OF ANY
SUCH AGENCY.
STATE OR
NAME & ADDRESS LOCAL
OF ORGANIZATION DESCRIPTION AGENCY
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(C) If the spouse, DOMESTIC PARTNER or unemancipated child of the
reporting individual was engaged in any occupation, employment,
trade, business or profession which activity was licensed by any
state or local agency, was regulated by any state regulatory agency
or local agency, or, as a regular and significant part of the busi-
ness or activity of said entity, did business with, or had matters
other than ministerial matters before, any state or local agency,
list the name, address and description of such occupation, employ-
ment, trade, business or profession and the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
6. List any interest, in EXCESS of $1,000, held by the reporting indi-
vidual, such individual's spouse, DOMESTIC PARTNER or unemancipated
child, or partnership of which any such person is a member, or
corporation, 10% or more of the stock of which is owned or
controlled by any such person, whether vested or contingent, in any
contract made or executed by a state or local agency and include the
name of the entity which holds such interest and the relationship of
the reporting individual or such individual's spouse or such child
to such entity and the interest in such contract. Do NOT include
bonds and notes. Do NOT list any interest in any such contract on
which final payment has been made and all obligations under the
contract except for guarantees and warranties have been performed,
provided, however, that such an interest must be listed if there has
S. 6615--A 49 A. 9715--A
been an ongoing dispute during the calendar year for which this
statement is filed with respect to any such guarantees or warran-
ties. Do NOT list any interest in a contract made or executed by a
local agency after public notice and pursuant to a process for
competitive bidding or a process for competitive requests for
proposals.
Entity Relationship Contracting Category
Self, Which Held to Entity State or of
Spouse or Interest in and Interest Local Value of
Child Contract in Contract Agency Contract
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
7. List any position the reporting individual held as an officer of any
political party or political organization, as a member of any poli-
tical party committee, or as a political party district leader. The
term "party" shall have the same meaning as "party" in the election
law. The term "political organization" means any party or independ-
ent body as defined in the election law or any organization that is
affiliated with or a subsidiary of a party or independent body.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
8. (a) If the reporting individual practices law, is licensed by the
department of state as a real estate broker or agent or practices a
profession licensed by the department of education, give a LIST OF
ALL CLIENTS AND A general description of the principal subject areas
of matters undertaken by such individual. IF THE NATURE OF THE
REPORTING INDIVIDUAL'S PRACTICE OR ACTIVITIES WERE SUCH THAT NO
PRINCIPAL SUBJECT AREAS OR MATTERS WERE UNDERTAKEN, GIVE A GENERAL
DESCRIPTION OF THE PRACTICE OR ACTIVITIES UNDERTAKEN. Additionally,
if such an individual practices with a firm or corporation and is a
partner or shareholder of the firm or corporation, give a LIST OF
ALL CLIENTS AND A general description of THE principal subject areas
of matters undertaken by such firm or corporation. [Do not list the
name of the individual clients, customers or patients.] IF THE
MATTERS UNDERTAKEN BY SUCH FIRM OR CORPORATION WERE SUCH THAT NO
PRINCIPAL SUBJECT AREAS OR MATTERS WERE UNDERTAKEN, GIVE A GENERAL
DESCRIPTION OF THE PRACTICE OR ACTIVITIES UNDERTAKEN.
NATURE CLIENT STATE AGENCY OR COURT CATEGORY OF VALUE
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 6615--A 50 A. 9715--A
(b) IF THE REPORTING INDIVIDUAL RECEIVED COMPENSATION IN EXCESS OF
$1,000 FOR APPEARANCES BEFORE A STATE AGENCY OR WITH THE UNIFIED
COURT SYSTEM WITH RESPECT TO MATTERS OTHER THAN MINISTERIAL MATTERS,
INDICATE THE NATURE OF THE APPEARANCES, CLIENT NAME AND THE NAME OF
ANY SUCH AGENCY.
NATURE CLIENT STATE AGENCY OR COURT CATEGORY OF VALUE
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(C) List the name, principal address and general description or the
nature of the business activity of any entity in which the reporting
individual or such individual's spouse OR DOMESTIC PARTNER had an
investment in excess of $1,000 excluding investments in securities and
interests in real property.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(D) IF THE REPORTING INDIVIDUAL RECEIVED INCOME IN EXCESS OF $1,000 FROM
CONSULTING SERVICES, NOT INCLUDING ANY SERVICES PERFORMED BY A
LICENSED PROFESSIONAL LISTED IN SUBPARAGRAPH (A) OF THIS PARAGRAPH,
PROVIDE THE NAME AND ADDRESS OF THE INDIVIDUAL, BUSINESS OR ENTITY,
THE COMPENSATION RECEIVED FROM SUCH ENTITY, AND PROVIDE A GENERAL
DESCRIPTION OF THE SERVICES RENDERED OR CONSIDERATION GIVEN.
ENTITY ADDRESS SERVICES/CONSIDERATION CATEGORY OF VALUE
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(E) LIST EACH SOURCE OF REFERRAL FOR BUSINESS OR FOR CLIENTS BY THOSE
WHO ARE REGISTERED TO LOBBY OR THEIR CLIENTS AND PROVIDE THE NAME,
ADDRESS OF THE BUSINESS OR ENTITY, THE COMPENSATION RECEIVED FROM
SUCH REFERRED ENTITY, AND PROVIDE A GENERAL DESCRIPTION OF THE
SERVICES RENDERED OR CONSIDERATION GIVEN.
SOURCE NAME ADDRESS SERVICES/ CATEGORY OF VALUE
CONSIDERATION
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
9. List each source of gifts, EXCLUDING campaign contributions, in
EXCESS of $1,000, received during the reporting period for which
S. 6615--A 51 A. 9715--A
this statement is filed by the reporting individual or such individ-
ual's spouse, DOMESTIC PARTNER or unemancipated child from the same
donor, EXCLUDING gifts from a relative. INCLUDE the name and address
of the donor. The term "gifts" does not include reimbursements,
which term is defined in item 10. Indicate the value and nature of
each such gift.
Category
Self, of
Spouse or Name of Nature Value of
Child Donor Address of Gift Gift
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
10. Identify and briefly describe the source of any reimbursements for
expenditures, EXCLUDING campaign expenditures and expenditures in
connection with official duties reimbursed by the state, in EXCESS
of $1,000 from each such source. For purposes of this item, the term
"reimbursements" shall mean any travel-related expenses provided by
nongovernmental sources and for activities related to the reporting
individual's official duties such as, speaking engagements, confer-
ences, or factfinding events. The term "reimbursements" does NOT
include gifts reported under item 9.
Source Description
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
11. List the identity and value, if reasonably ascertainable, of each
interest in a trust, estate or other beneficial interest, including
retirement plans (other than retirement plans of the state of New
York or the city of New York[,]) and deferred compensation plans
(e.g., 401, 403(b), 457, etc.) established in accordance with the
internal revenue code, in which the REPORTING INDIVIDUAL held a
beneficial interest in EXCESS of $1,000 at any time during the
preceding year. Do NOT report interests in a trust, estate or other
beneficial interest established by or for, or the estate of, a rela-
tive.
Category
Identity of Value*
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 6615--A 52 A. 9715--A
* The value of such interest shall be reported only if reasonably
ascertainable.
12. (a) Describe the terms of, and the parties to, any contract, prom-
ise, or other agreement between the reporting individual and any
person, firm, or corporation with respect to the employment of such
individual after leaving office or position (other than a leave of
absence).
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) Describe the parties to and the terms of any agreement providing
for continuation of payments or benefits to the REPORTING INDIVIDUAL
in EXCESS of $1,000 from a prior employer OTHER THAN the State.
(This includes interests in or contributions to a pension fund,
profit-sharing plan, or life or health insurance; buy-out agree-
ments; severance payments; etc.)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
13. List below the nature and amount of any income in EXCESS of $1,000
from EACH SOURCE for the reporting individual and such individual's
spouse OR DOMESTIC PARTNER for the taxable year last occurring prior
to the date of filing. Nature of income includes, but is not limit-
ed to, all income (other than that received from the employment
listed under Item 2 above) from compensated employment whether
public or private, directorships and other fiduciary positions,
contractual arrangements, teaching income, partnerships, honorari-
ums, lecture fees, consultant fees, bank and bond interest, divi-
dends, income derived from a trust, real estate rents, and recog-
nized gains from the sale or exchange of real or other property.
Income from a business or profession and real estate rents shall be
reported with the source identified by the building address in the
case of real estate rents and otherwise by the name of the entity
and not by the name of the individual customers, clients or tenants,
with the aggregate net income before taxes for each building address
or entity. The receipt of maintenance received in connection with a
matrimonial action, alimony and child support payments shall not be
listed.
Self/ Category
Spouse Source Nature of Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 6615--A 53 A. 9715--A
14. List the sources of any deferred income (not retirement income) in
EXCESS of $1,000 from each source to be paid to the reporting indi-
vidual following the close of the calendar year for which this
disclosure statement is filed, other than deferred compensation
reported in item 11 hereinabove. Deferred income derived from the
practice of a profession shall be listed in the aggregate and shall
identify as the source, the name of the firm, corporation, partner-
ship or association through which the income was derived, but shall
not identify individual clients.
Category
Source of Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
15. List each assignment of income in EXCESS of $1,000, and each trans-
fer other than to a relative during the reporting period for which
this statement is filed for less than fair consideration of an
interest in a trust, estate or other beneficial interest, securities
or real property, by the reporting individual, in excess of $1,000,
which would otherwise be required to be reported herein and is not
or has not been so reported.
Item Assigned Assigned or Category
or Transferred Transferred to of Value
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16. List below the type and market value of securities held by the
reporting individual or such individual's spouse from each issuing
entity in EXCESS of $1,000 at the close of the taxable year last
occurring prior to the date of filing, including the name of the
issuing entity exclusive of securities held by the reporting indi-
vidual issued by a professional corporation. Whenever an interest in
securities exists through a beneficial interest in a trust, the
securities held in such trust shall be listed ONLY IF the reporting
individual has knowledge thereof except where the reporting individ-
ual or the reporting individual's spouse has transferred assets to
such trust for his or her benefit in which event such securities
shall be listed unless they are not ascertainable by the reporting
individual because the trustee is under an obligation or has been
instructed in writing not to disclose the contents of the trust to
the reporting individual. Securities of which the reporting individ-
ual or the reporting individual's spouse is the owner of record but
in which such individual or the reporting individual's spouse has no
beneficial interest shall not be listed. Indicate percentage of
ownership ONLY if the reporting person or the reporting person's
spouse holds more than five percent (5%) of the stock of a corpo-
S. 6615--A 54 A. 9715--A
ration in which the stock is publicly traded or more than ten
percent (10%) of the stock of a corporation in which the stock is
NOT publicly traded. Also list securities owned for investment
purposes by a corporation more than fifty percent (50%) of the stock
of which is owned or controlled by the reporting individual or such
individual's spouse. For the purpose of this item the term "securi-
ties" shall mean mutual funds, bonds, mortgages, notes, obligations,
warrants and stocks of any class, investment interests in limited or
general partnerships and certificates of deposits (CDs) and such
other evidences of indebtedness and certificates of interest as are
usually referred to as securities. The market value for such secu-
rities shall be reported only if reasonably ascertainable and shall
not be reported if the security is an interest in a general partner-
ship that was listed in item 8 (a) or if the security is corporate
stock, NOT publicly traded, in a trade or business of a reporting
individual or a reporting individual's spouse.
Percentage
of corporate
stock owned
or controlled Category of
(if more than Market Value
5% of pub- as of the close
licly traded of the
stock, or taxable year
more than last occurring
10% if stock prior to
Self/ Issuing Type of not publicly the filing of
Spouse Entity Security traded, is held) this statement
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
17. List below the location, size, general nature, acquisition date,
market value and percentage of ownership of any real property in
which any vested or contingent interest in EXCESS of $1,000 is held
by the reporting individual or the reporting individual's spouse.
Also list real property owned for investment purposes by a corpo-
ration more than fifty percent (50%) of the stock of which is owned
or controlled by the reporting individual or such individual's
spouse. Do NOT list any real property which is the primary or
secondary personal residence of the reporting individual or the
reporting individual's spouse, except where there is a co-owner who
is other than a relative.
Category
Self/ Percentage of
Spouse/ General Acquisition of Market
Corporation Location Size Nature Date Ownership Value
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 6615--A 55 A. 9715--A
____________________________________________________________________
____________________________________________________________________
18. List below all notes and accounts receivable, other than from goods
or services sold, held by the reporting individual at the close of
the taxable year last occurring prior to the date of filing and
other debts owed to such individual at the close of the taxable year
last occurring prior to the date of filing, in EXCESS of $1,000,
including the name of the debtor, type of obligation, date due and
the nature of the collateral securing payment of each, if any,
excluding securities reported in item 16 hereinabove. Debts, notes
and accounts receivable owed to the individual by a relative shall
not be reported.
Type of Obligation, Category
Date Due, and Nature of
Name of Debtor of Collateral, if any Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and such
individual's spouse[,] OR DOMESTIC PARTNER in EXCESS of $5,000 as of
the date of filing of this statement, other than liabilities to a
relative. Do NOT list liabilities incurred by, or guarantees made
by, the reporting individual or such individual's spouse OR DOMESTIC
PARTNER or by any proprietorship, partnership or corporation in
which the reporting individual or such individual's spouse OR DOMES-
TIC PARTNER has an interest, when incurred or made in the ordinary
course of the trade, business or professional practice of the
reporting individual or such individual's spouse OR DOMESTIC
PARTNER. Include the name of the creditor and any collateral
pledged by such individual to secure payment of any such liability.
A reporting individual shall not list any obligation to pay mainte-
nance in connection with a matrimonial action, alimony or child
support payments. Any loan issued in the ordinary course of business
by a financial institution to finance educational costs, the cost of
home purchase or improvements for a primary or secondary residence,
or purchase of a personally owned motor vehicle, household furniture
or appliances shall be excluded. If any such reportable liability
has been guaranteed by any third person, list the liability and name
the guarantor.
Category
Name of Creditor Type of Liability of
or Guarantor and Collateral, if any Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 6615--A 56 A. 9715--A
The requirements of law relating to the reporting of financial
interests are in the public interest and no adverse inference of
unethical or illegal conduct or behavior will be drawn merely from
compliance with these requirements.
___________________________________ _________________________
(Signature of Reporting Individual) Date (month/day/year)
S 29. Paragraph d of subdivision 3 of section 74 of the public offi-
cers law, as amended by chapter 1012 of the laws of 1965, is amended to
read as follows:
d. No officer or employee of a state agency, member of the legislature
or legislative employee should use or attempt to use his OR HER official
position to secure unwarranted privileges or exemptions for himself,
HERSELF, HIS OR HER RELATIVE, AS DEFINED IN PARAGRAPH (M) OF SUBDIVISION
ONE OF SECTION SEVENTY-THREE OF THIS ARTICLE, or others.
S 30. Subdivision 4 of section 74 of the public officers law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
4. Violations. In addition to any penalty contained in any other
provision of law any such officer, member or employee who shall knowing-
ly and intentionally violate any of the provisions of this section may
be fined, suspended or removed from office or employment in the manner
provided by law. Any such individual who knowingly and intentionally
violates the provisions of paragraph b, c, d or i of subdivision three
of this section shall be subject to a civil penalty in an amount not to
exceed [ten] TWENTY-FIVE thousand dollars and TRIPLE the value of any
gift, compensation or benefit received as a result of such violation.
Any such individual who knowingly and intentionally violates the
provisions of paragraph a, e or g of subdivision three of this section
shall be subject to a civil penalty in an amount not to exceed TRIPLE
the value of any gift, compensation or benefit received as a result of
such violation.
S 31. Subdivision 2 of section 63 of the executive law is amended to
read as follows:
2. [Whenever] NOTWITHSTANDING ANY OTHER PROVISION OF LAW, WHENEVER
required by the governor, attend in person, or by one of his deputies,
any term of the supreme court or appear before the grand jury thereof
for the purpose of managing and conducting in such court or before such
jury criminal actions or proceedings as shall be specified in such
requirement; in which case the attorney-general or his deputy so attend-
ing shall exercise all the powers and perform all the duties in respect
of such actions or proceedings, which the district attorney would other-
wise be authorized or required to exercise or perform; and in any of
such actions or proceedings the district attorney shall only exercise
such powers and perform such duties as are required of him by the attor-
ney-general or the deputy attorney-general so attending. In all such
cases, EXCEPT THOSE CASES ARISING OUT OF REFERRALS FROM THE STATE
GOVERNMENT ETHICS COMMISSION, all expenses incurred by the attorney-gen-
eral, including the salary or other compensation of all deputies
employed, shall be a county charge.
S 32. All powers, duties and functions conferred upon the state
commission on public integrity, the legislative ethics commission, the
state board of elections as such powers, duties and functions pertain to
article 14 of the election law, and their commissioners and executive
directors, shall be transferred to and assumed by the state government
S. 6615--A 57 A. 9715--A
ethics commission and the commissioners and executive director to be
appointed thereof.
S 33. Transfer of employees. Upon the transfer of the functions, as
provided for in this act, any affected employees shall be transferred to
the state government ethics commission in accordance with section 70 of
the civil service law.
S 34. Transfer of records. The state commission on public integrity,
the legislative ethics commission and the state board of elections as it
pertains to article 14 of the election law shall deliver to the state
government ethics commission all books, papers, records, and property as
requested by the state government ethics commission.
S 35. Continuity of authority. For the purpose of succession to all
functions, powers, duties and obligations transferred and assigned to,
devolved upon and assumed by it pursuant to this act, the state govern-
ment ethics commission shall be deemed and held to constitute the
continuation of the state commission on public integrity, the legisla-
tive ethics commission and the state board of elections as it pertains
to article 14 of the election law.
S 36. Completion of unfinished business. Any business or other matter
undertaken or commenced by the state commission on public integrity, the
legislative ethics commission and the state board of elections as it
pertains to article 14 of the election law pertaining to or connected
with the functions, powers, obligations and duties hereby transferred
and assigned to the state government ethics commission, and pending on
the effective date of this act may be conducted and completed by the
state government ethics commission in the same manner and under the same
terms and conditions and with the same effect as if conducted and
completed by the former state commission on public integrity, the legis-
lative ethics commission and the state board of elections as it pertains
to article 14 of the election law.
S 37. Terms occurring in laws, contracts and other documents. Whenever
the state commission on public integrity, the legislative ethics commis-
sion and the state board of elections as it pertains to article 14 of
the election law, and the committee on open government as it pertains to
article 7 of the public officers law are referred to or designated in
any law, contract or documents pertaining to the functions, powers,
obligations and duties hereby transferred and assigned to the state
government ethics commission, such reference or designation shall be
deemed to refer to the state government ethics commission as created by
this act.
S 38. Existing rights and remedies preserved. No existing right or
remedy of any character shall be lost, impaired or affected by reason of
this act.
S 39. Pending actions and proceedings. No action or proceeding pending
at the time when this act shall take effect, brought by or against the
state commission on public integrity, the legislative ethics commission
and the state board of elections as it pertains to article 14 of the
election law shall be affected by this act, but the same may be prose-
cuted or defended in the name of the state government ethics commission
and upon application to the court, the state government ethics commis-
sion shall be substituted as a party.
S 40. Notwithstanding any contrary provision of the state finance law,
transfer of appropriations heretofore made to the state commission on
public integrity, the legislative ethics commission and the state board
of elections as it pertains to article 14 of the election law all appro-
priations or reappropriations for the functions herein transferred here-
S. 6615--A 58 A. 9715--A
tofore made to the state commission on public integrity, the legislative
ethics commission, the state board of elections as it pertains to arti-
cle 14 of the election law or segregated pursuant to law, to the extent
of remaining unexpended or unencumbered balances thereof, whether allo-
cated or unallocated and whether obligated or unobligated, are hereby
transferred to the state government ethics commission to the extent
necessary to carry out the state government ethics commission's func-
tions, powers and duties subject to the approval of the director of the
budget for the same purposes for which originally appropriated or reap-
propriated and shall be payable on vouchers certified or approved by the
state government ethics commission on audit and warrant of the comp-
troller.
S 41. Separability clause. If any clause, sentence, paragraph, section
or part of this act shall be adjudged by any court of competent juris-
diction to be invalid, such judgment shall not affect, impair or invali-
date the remainder thereof, but shall be confined in its operation to
the clause, sentence, paragraph, section or part thereof directly
involved in the controversy in which such judgment shall have been
rendered.
S 42. This act shall take effect on the two hundred seventieth day
after it shall have become a law, except that appointments to the state
government ethics commission, as added by section four of this act, and
the designating commission, as added by section eight of this act, may
be made before such date.
PART B
Section 1. Section 2 of the retirement and social security law is
amended by adding a new subdivision 8-a to read as follows:
8-A. "EMPLOYEE RETIREMENT SYSTEM BOARD" OR "BOARD." THE ENTITY ESTAB-
LISHED PURSUANT TO SECTION TEN-B OF THIS ARTICLE.
S 2. The retirement and social security law is amended by adding a new
section 10-b to read as follows:
S 10-B. THE EMPLOYEE RETIREMENT SYSTEM BOARD. 1. THERE IS HEREBY
ESTABLISHED THE EMPLOYEE RETIREMENT SYSTEM BOARD, WHICH SHALL CONSIST OF
FIVE MEMBERS TO BE APPOINTED BY A DESIGNATING COMMISSION PURSUANT TO
SECTION SEVENTY-THREE-F OF THE PUBLIC OFFICERS LAW.
2. EACH MEMBER OF THE BOARD SHALL HAVE EXPERIENCE IN THE FIELD OF
SECURITIES INVESTMENT, PENSION ADMINISTRATION, PENSION LAW OR GOVERN-
MENTAL FINANCE, SHALL SERVE FIVE YEAR TERMS AND MAY BE REAPPOINTED TO
THE BOARD; PROVIDED, HOWEVER, THAT OF THE MEMBERS INITIALLY APPOINTED TO
THE BOARD, ONE SHALL SERVE FOR ONE YEAR, ONE SHALL SERVE FOR TWO YEARS,
ONE SHALL SERVE FOR THREE YEARS, ONE SHALL SERVE FOR FOUR YEARS AND ONE
SHALL SERVE FOR FIVE YEARS, AS DESIGNATED BY THE COMMISSION. MEMBERS OF
THE BOARD SHALL RECEIVE NO COMPENSATION FOR THEIR SERVICES AS BOARD
MEMBERS, BUT SHALL BE ENTITLED TO REIMBURSEMENT FOR THEIR ACTUAL AND
NECESSARY EXPENSES INCURRED IN THE PERFORMANCE OF THEIR FUNCTIONS.
VACANCIES TO THE BOARD SHALL BE FILLED WITHIN SIXTY DAYS OF THEIR OCCUR-
RENCE IN THE SAME MANNER AS ORIGINAL APPOINTMENTS.
3. THE MEMBERS OF THE BOARD SHALL BE SUBJECT TO SECTIONS SEVENTY-THREE
AND SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW.
4. BOARD MEMBERS SHALL PARTICIPATE IN TRAINING, DEVELOPED AND ADMINIS-
TERED BY THE DEPARTMENT OF AUDIT AND CONTROL, IN CONSULTATION WITH THE
SUPERINTENDENT OF INSURANCE AND THE ATTORNEY GENERAL, REGARDING LEGAL,
FIDUCIARY, FINANCIAL AND ETHICAL RESPONSIBILITIES WITHIN ONE YEAR OF
APPOINTMENT TO THE BOARD.
S. 6615--A 59 A. 9715--A
5. A MAJORITY OF THE MEMBERS OF THE BOARD SHALL CONSTITUTE A QUORUM,
AND ALL ACTIONS OF THE BOARD SHALL REQUIRE APPROVAL OF A MAJORITY OF THE
TOTAL MEMBERS OF THE BOARD.
6. THE BOARD MAY EMPLOY AN EXECUTIVE DIRECTOR, A CHIEF ACTUARY, A
CHIEF INVESTMENT OFFICER, AS WELL AS INVESTMENT OFFICERS, PORTFOLIO
MANAGERS AND SUCH NECESSARY TECHNICAL AND ADMINISTRATIVE PERSONNEL AS IT
MAY REQUIRE. THE BOARD SHALL ESTABLISH COMPENSATION THAT IS REASONABLE
AND CUSTOMARY FOR SUCH POSITIONS.
7. THE BOARD MAY, IN CONSULTATION WITH THE SUPERINTENDENT OF INSUR-
ANCE, PROMULGATE RULES AND REGULATIONS ON THE GOVERNANCE OF THE RETIRE-
MENT SYSTEM, AND SUCH OTHER RULES AND REGULATIONS AS IT MAY DEEM APPRO-
PRIATE.
S 3. Section 13 of the retirement and social security law, subdivision
b as amended by chapter 369 of the laws of 1964, subdivision d as
amended by chapter 460 of the laws of 1971, subdivision f as amended by
chapter 376 of the laws of 1965, paragraph 2 of subdivision f as amended
by chapter 908 of the laws of 1971, subdivision h as amended by chapter
496 of the laws of 1967, subdivision i as amended by chapter 1046 of the
laws of 1973, subdivision j as added by chapter 510 of the laws of 1965
and subdivision k as added by chapter 841 of the laws of 1968, is
amended to read as follows:
S 13. Management of funds. a. The funds of the retirement system shall
be managed in accordance with this section.
b. The [comptroller] MEMBERS OF THE EMPLOYEE RETIREMENT SYSTEM BOARD
shall be trustee of the several funds of the retirement system AND THE
COMPTROLLER SHALL BE CUSTODIAN OF SUCH FUNDS. Such funds shall be
invested by the comptroller AS AUTHORIZED BY THE EMPLOYEE RETIREMENT
SYSTEM BOARD, in securities in which he OR SHE is authorized by law to
invest the funds of the state, except that he OR SHE may invest in obli-
gations consisting of notes, bonds, debentures, or equipment trust
certificates issued under an indenture, which are the direct obligations
of, or in the case of equipment trust certificates are secured by direct
obligations of, a railroad or industrial corporation, or a corporation
engaged directly and primarily in the production, transportation,
distribution, or sale of electricity or gas, or the operation of tele-
phone or telegraph systems or waterworks, or in some combination of
them; provided the obligor corporation is one which is incorporated
under the laws of the United States, or any state thereof, or of the
District of Columbia, and said obligations shall be rated at the time of
purchase within the three highest classifications established by at
least two standard rating services. The maximum amount that the comp-
troller AS AUTHORIZED BY THE BOARD may invest in such obligations shall
not exceed thirty per centum of the assets of the New York state employ-
ees' retirement system's funds; and provided further that not more than
two and one half per centum of the assets of the New York state employ-
ees' retirement system's funds shall be invested in the obligations of
any one corporation of the highest classification and subsidiary or
subsidiaries thereof, that not more than two per centum of the assets of
the New York state employees' retirement system's funds shall be
invested in the obligations of any one corporation of the second highest
classification and subsidiary or subsidiaries thereof, that not more
than one and one half per centum of the assets of the New York state
employees' retirement system's funds shall be invested in the obli-
gations of any one corporation of the third highest classification and
subsidiary or subsidiaries thereof. He OR SHE shall, however, be
subject to all terms, conditions, limitations and restrictions imposed
S. 6615--A 60 A. 9715--A
by this article and by law upon the making of such investments. The
comptroller AS AUTHORIZED BY THE BOARD shall have full power:
1. To hold, purchase, sell, assign, transfer or dispose of any of the
securities or investments, in which any of the funds of the retirement
system shall be invested, including the proceeds of such investments and
any monies belonging to such funds, and
2. In his OR HER name as [trustee] CUSTODIAN, to foreclose mortgages
upon default or to take title to real property in such proceedings in
lieu thereof and to lease and sell real property so acquired.
c. The comptroller annually shall credit to each of the funds of the
retirement system regular interest on the mean amount therein for the
preceding year.
d. The custody of all funds of the retirement system shall be in the
charge of the head of the division of the treasury of the department of
taxation and finance, subject to the supervision and control of the
commissioner of taxation and finance.
e. Payment of all pensions, annuities and other benefits shall be made
as provided in this article. For the purpose of meeting disbursements
for pensions, annuities and other payments ordered by the comptroller,
the head of such division may keep on deposit an available fund which
shall not exceed ten per centum of the total amount of the several funds
of the retirement system. Every such deposit shall be kept only in a
bank or trust company organized under the laws of this state, or in a
national bank located in this state, which shall furnish adequate secu-
rity therefor.
f. The comptroller, however, shall have a fund in his OR HER immediate
possession. Such fund shall be used for the immediate payment of:
1. All pensions, annuities and other benefits, and
2. Such expenses as may necessarily be incurred in acquiring, servic-
ing and foreclosing mortgages and in acquiring, managing and protecting
investments, and
3. Such special expenditures for which the retirement system will be
paid by the state or a participating employer.
Such fund shall be reimbursed from time to time by the head of such
division on the warrant of the comptroller.
g. Neither the comptroller nor THE MEMBERS OF THE BOARD OR any person
employed on the work of the retirement system shall:
1. Except as herein provided, have any interest, direct or indirect,
in the gains or profits of any investment of the retirement system, nor,
in connection therewith, directly or indirectly, receive any pay or
emolument for his OR HER services.
2. Except as provided in section fifty of this article:
(a) Directly or indirectly, for himself OR HERSELF or as an agent or
partner of others, borrow any of its funds or deposits or in any manner
use the same except to make such current and necessary payments as are
authorized by the comptroller, or
(b) Become an endorser, surety or an obligor in any manner of monies
loaned by or borrowed of such funds.
h. The retirement system may use a part of its funds, not exceeding
ten per centum of its assets, (1) for purchasing or leasing of land in
the city of Albany and the construction thereon of a suitable office
building or buildings for the transaction of the business of the retire-
ment system and (2) for purchasing or leasing of land in the cities of
Albany, Syracuse, Buffalo, Binghamton, New York, Rochester and Utica and
the construction thereon of a suitable office building or buildings for
purposes of lease or sale to the state and (3) for purchasing or leasing
S. 6615--A 61 A. 9715--A
of land in the city of Albany on the north and south sides of Washington
avenue commonly known as the "Campus Site" acquired by the state for a
state buildings site pursuant to the provisions of chapter five hundred
seventy-two of the laws of nineteen hundred forty-seven and the
construction thereon of power plants including service connections,
electric substations including service connections, garages, warehouses
and restaurant facilities deemed necessary for the efficient and econom-
ical operation of the office building or buildings constructed on such
land and (4) for purchasing or leasing of land in the city of Albany
acquired by the state for suitable parking facilities for the use prima-
rily of employees of the state and persons having business with state
departments and state agencies and the construction thereon of such
structures, appurtenances and facilities deemed necessary for the effi-
cient and economical operation of the parking facilities constructed on
such land and (5) for purchasing or leasing of land in locations
approved by the state university trustees and the construction, acquisi-
tion, reconstruction, rehabilitation or improvement of suitable build-
ings or facilities thereon for purposes of lease or sale to the state
university construction fund, such buildings or facilities to be used by
the state university or by state-operated institutions or statutory or
contract colleges under the jurisdiction of the state university or by
the students, faculty and staff of the state university or of any such
state-operated institution or statutory or contract college, and their
families and (6) for purchasing of lands from the New York state thruway
authority and the construction thereon of an office building or other
buildings for purposes of lease or sale to the thruway authority for its
own use under such terms and conditions, including consideration and
length of term, as shall be agreed upon between the retirement system
and the thruway authority.
The retirement system from time to time may lease to any public agency
any portion of a building constructed for the transaction of its busi-
ness which may not be required for such purpose, upon such terms and
conditions as shall be deemed to be for the best interest of the retire-
ment system.
Real property of the retirement system acquired or constructed pursu-
ant to this subdivision shall be exempt from taxation.
i. At the close of each fiscal year, the average rate of investment
earnings of the retirement system shall be computed by the actuary and
certified to the comptroller. This rate shall be determined from the
investment earnings during the calendar year which ended three months
prior to the close of the fiscal year. For any year that such average
rate of earnings is in excess of three per centum but not in excess of
four per centum, the comptroller shall declare a rate of special inter-
est, for members earning regular interest of three per centum, equal to
the difference between such average rate of earnings and three per
centum expressed to the lower one-tenth of one per centum, but not in
excess of one per centum. For any year, commencing with the fiscal year
the first day of which is April first, nineteen hundred seventy, that
such average rate of earnings is in excess of four per centum, the
special rate of interest for members earning regular interest of three
per centum shall be equal to the difference between such average rate of
earnings and three per centum expressed to the lower one-tenth of one
per centum, but not in excess of two per centum, and for members earning
regular interest of four per centum, it shall be the difference between
such average rate of earnings and four per centum, expressed to the
lower one-tenth of one per centum, but not in excess of one per centum.
S. 6615--A 62 A. 9715--A
Special interest at such rates, shall be credited by the comptroller at
the same time that regular interest is credited, to the individual annu-
ity savings accounts of persons who are members as of the close of the
fiscal year. Special interest shall not be considered in determining
rates of contribution of members. In the case of persons who last became
members on or after July first, nineteen hundred seventy-three, the
provisions of this subdivision shall apply only to the fiscal years
beginning April first, nineteen hundred seventy-two and ending March
thirty-first, nineteen hundred seventy-three.
j. The retirement system may invest, within the limitations authorized
for investments in conventional mortgages, a part of its funds in first
mortgages on real property located anywhere within the boundaries of the
United States and leased to the government of the United States,
provided however, that no such investment shall be made unless the terms
of the mortgage shall provide for amortization payments in an amount
sufficient to completely amortize the loan within the period of the
lease.
k. The funds of the retirement system may be invested in the purchase
of promissory notes or bonds from the farmers home administration issued
in connection with the purchase or improvement of real property and
which are insured by the farmers home administration.
S 4. The retirement and social security law is amended by adding a new
article 3-B to read as follows:
ARTICLE 3-B
TRANSPARENCY, ACCOUNTABILITY AND PROHIBITIONS
IN THE STATE RETIREMENT SYSTEM
SECTION 156. PROHIBITION ON PLACEMENT AGENTS.
S 156. PROHIBITION ON PLACEMENT AGENTS. 1. DEFINITIONS. FOR THE
PURPOSES OF THIS SECTION, THE FOLLOWING DEFINITIONS SHALL APPLY:
(A) "CONFLICT OF INTEREST" SHALL MEAN A CIRCUMSTANCE UNDER WHICH AN
INDIVIDUAL OR ENTITY HAS AN INTEREST THAT HE, SHE OR IT IS AWARE MAY
IMPAIR HIS, HER OR ITS IMPARTIAL OR OBJECTIVE JUDGMENT.
(B) "CONSULTANT" SHALL MEAN ANY PERSON (OTHER THAN AN EMPLOYEE OF THE
BOARD OR THE COMPTROLLER) OR ENTITY RETAINED BY THE FUND TO PROVIDE
TECHNICAL OR PROFESSIONAL SERVICES TO THE FUND RELATING TO INVESTMENTS
BY THE FUND, INCLUDING OUTSIDE INVESTMENT COUNSEL AND LITIGATION COUN-
SEL, CUSTODIANS, ADMINISTRATORS, BROKER-DEALERS, AND PERSONS OR ENTITIES
THAT IDENTIFY INVESTMENT OBJECTIVES AND RISKS, ASSIST IN THE SELECTION
OF MONEY MANAGERS, SECURITIES, OR OTHER INVESTMENTS, OR MONITOR INVEST-
MENT PERFORMANCE.
(C) "FAMILY MEMBER" SHALL MEAN ANY PERSON RELATED BY BLOOD, MARRIAGE,
ADOPTION, OR OPERATION OF LAW WHO RESIDES IN THE SAME HOUSEHOLD, AND ANY
PERSON RELATED TO SUCH PERSON WITHIN THE THIRD DEGREE OF CONSANGUINITY
OR AFFINITY.
(D) "FUND" SHALL MEAN THE NEW YORK STATE COMMON RETIREMENT FUND.
(E) "EMPLOYEE RETIREMENT SYSTEM BOARD" OR "BOARD" SHALL MEAN THE ENTI-
TY ESTABLISHED PURSUANT TO SECTION TEN-B OF THIS CHAPTER.
(F) "INVESTMENT MANAGER" SHALL MEAN ANY PERSON (OTHER THAN AN EMPLOYEE
OF THE DEPARTMENT OF AUDIT AND CONTROL) OR ENTITY ENGAGED BY THE FUND IN
THE MANAGEMENT OF PART OR ALL OF AN INVESTMENT PORTFOLIO OF THE FUND.
"MANAGEMENT" SHALL INCLUDE, BUT IS NOT LIMITED TO, ANALYSIS OF PORTFOLIO
HOLDINGS, AND THE PURCHASE, SALE, AND LENDING THEREOF.
(G) "INVESTMENT POLICY STATEMENT" SHALL MEAN A WRITTEN DOCUMENT THAT,
CONSISTENT WITH LAW, SETS FORTH A FRAMEWORK FOR THE INVESTMENT PROGRAM
OF THE FUND.
S. 6615--A 63 A. 9715--A
(H) "PLACEMENT AGENT" SHALL MEAN ANY PERSON OR ENTITY THAT IS DIRECTLY
OR INDIRECTLY ENGAGED AND COMPENSATED BY AN INVESTMENT MANAGER TO
PROMOTE INVESTMENTS TO OR SOLICIT INVESTMENTS BY THE FUND, WHETHER
COMPENSATED ON A FLAT FEE, A CONTINGENT FEE, OR ANY OTHER BASIS, AND
SHALL INCLUDE A REGISTERED LOBBYIST. REGULAR EMPLOYEES OF AN INVESTMENT
MANAGER ARE EXCLUDED FROM THIS DEFINITION UNLESS THEY ARE EMPLOYED PRIN-
CIPALLY FOR THE PURPOSE OF SECURING OR INFLUENCING THE DECISION TO
SECURE A PARTICULAR TRANSACTION OR INVESTMENT BY THE FUND. FOR PURPOSES
OF THIS PARAGRAPH, THE TERM "EMPLOYEE" SHALL INCLUDE ANY PERSON WHO
WOULD QUALIFY AS AN EMPLOYEE UNDER THE FEDERAL INTERNAL REVENUE CODE OF
1986, AS AMENDED.
(I) "RETIREMENT SYSTEM" SHALL MEAN THE NEW YORK STATE AND LOCAL
EMPLOYEES' RETIREMENT SYSTEM AND THE NEW YORK STATE AND LOCAL POLICE AND
FIRE RETIREMENT SYSTEM.
(J) "THIRD PARTY ADMINISTRATOR" SHALL MEAN ANY PERSON OR ENTITY THAT
CONTRACTUALLY PROVIDES ADMINISTRATIVE SERVICES TO THE RETIREMENT SYSTEM,
INCLUDING RECEIVING AND RECORDING EMPLOYER AND EMPLOYEE CONTRIBUTIONS,
MAINTAINING ELIGIBILITY ROSTERS, VERIFYING ELIGIBILITY FOR BENEFITS,
PAYING BENEFITS OR MAINTAINING ANY OTHER RETIREMENT SYSTEM RECORDS.
"ADMINISTRATIVE SERVICES" SHALL NOT INCLUDE SERVICES PROVIDED TO THE
FUND RELATING TO FUND INVESTMENTS.
2. IN ORDER TO PRESERVE THE INDEPENDENCE AND INTEGRITY OF THE FUND, TO
PRECLUDE POTENTIAL CONFLICTS OF INTEREST, AND TO ASSIST THE BOARD IN
FULFILLING ITS DUTIES AS A FIDUCIARY TO THE FUND:
(A) THE BOARD SHALL NOT ENGAGE, HIRE, INVEST WITH OR COMMIT TO AN
OUTSIDE INVESTMENT MANAGER, EITHER DIRECTLY OR INDIRECTLY, WHO IS USING
THE SERVICES OF A PLACEMENT AGENT TO ASSIST THE INVESTMENT MANAGER IN
OBTAINING INVESTMENTS BY THE FUND; AND
(B) AN INVESTMENT MANAGER MAY NOT USE THE SERVICES OF A PLACEMENT
AGENT TO ASSIST THE INVESTMENT MANAGER IN OBTAINING INVESTMENTS BY THE
FUND OR OTHERWISE DOING BUSINESS THEREWITH.
3. AN INVESTMENT MANAGER SHALL DISCLOSE AND CERTIFY ON AT LEAST A
SEMI-ANNUAL BASIS, AND MORE FREQUENTLY AS DETERMINED BY THE BOARD:
(A) THE NAME, TITLE AND DESCRIPTION OF RESPONSIBILITIES OF EACH
EMPLOYEE OF THE INVESTMENT MANAGER WHOSE PROFESSIONAL DUTIES INCLUDE
CONTACT WITH THE RETIREMENT SYSTEM, INCLUDING THE RETIREMENT SYSTEM'S
EMPLOYEES, ADVISORS, CONSULTANTS AND THIRD-PARTY ADMINISTRATORS;
(B) WHETHER AN EMPLOYEE OF THE INVESTMENT MANAGER, WHOSE PROFESSIONAL
DUTIES INCLUDE CONTACT WITH THE RETIREMENT SYSTEM, IS A CURRENT OR
FORMER RETIREMENT SYSTEM EMPLOYEE, ADVISOR, CONSULTANT, OR THIRD-PARTY
ADMINISTRATOR;
(C) WHETHER ANY EMPLOYEE OF THE INVESTMENT MANAGER, WHOSE PROFESSIONAL
DUTIES INCLUDE CONTACT WITH THE RETIREMENT SYSTEM, HAS REGISTERED AS A
LOBBYIST WITH ANY STATE OR THE FEDERAL GOVERNMENT IN THE PAST TWO YEARS;
AND
(D) THE NAMES AND ADDRESSES OF ALL THIRD PARTIES THAT THE INVESTMENT
MANAGER COMPENSATED IN CONNECTION WITH INVESTMENTS IN THE RETIREMENT
SYSTEM, INCLUDING ANY FEES, COMMISSIONS OR RETAINERS, AND THE AMOUNTS OF
SUCH COMPENSATION.
4. AN INVESTMENT MANAGER SHALL PROMPTLY DISCLOSE TO THE BOARD, IN
WRITING, ANY APPARENT, POTENTIAL OR ACTUAL CONFLICT OF INTEREST BETWEEN
THE INVESTMENT MANAGER, INCLUDING THE INVESTMENT MANAGER'S EMPLOYEES AND
ANY FAMILY MEMBERS OF THE INVESTMENT MANAGER AND ITS EMPLOYEES, AND THE
RETIREMENT SYSTEM, INCLUDING THE RETIREMENT SYSTEM'S EMPLOYEES, CONSULT-
ANTS, THIRD-PARTY ADMINISTRATORS AND ANY FAMILY MEMBERS OF THE EMPLOY-
EES, CONSULTANTS, AND THIRD-PARTY ADMINISTRATORS. THE INVESTMENT MANAG-
S. 6615--A 64 A. 9715--A
ER SHALL NOT PROVIDE ANY SERVICES CONCERNING ANY MATTERS AFFECTED BY
SUCH CONFLICT OF INTEREST UNLESS THE RETIREMENT SYSTEM EXPRESSLY WAIVES
SUCH PROHIBITION OR UNTIL THE CONFLICT OF INTEREST IS OTHERWISE CURED.
5. AN INVESTMENT MANAGER SHALL PUBLISH ALL DISCLOSURES AND CERTIF-
ICATIONS REQUIRED BY THIS SECTION ON THE INVESTMENT MANAGER'S WEBSITE.
6. THE ATTORNEY GENERAL MAY ENFORCE THE PROVISIONS OF THIS SECTION,
AND MAY SEEK AN INJUNCTION, ON NOTICE OF FIVE DAYS, ENJOINING A PERSON
OR ENTITY FROM CONTINUING TO ENGAGE IN ANY CONDUCT IN VIOLATION OF THIS
SECTION. NOTHING IN THIS SECTION SHALL BE CONSTRUED TO LIMIT ANY RIGHT
OR REMEDY OTHERWISE AVAILABLE UNDER LAW TO ANY PERSON, OR ENTITY,
INCLUDING THE ATTORNEY GENERAL.
7. THE BOARD SHALL:
(A) FILE WITH THE SUPERINTENDENT OF INSURANCE AN ANNUAL STATEMENT AS
PRESCRIBED BY SECTION THREE HUNDRED SEVEN OF THE INSURANCE LAW, INCLUD-
ING THE RETIREMENT SYSTEM'S FINANCIAL STATEMENT, TOGETHER WITH AN OPIN-
ION OF AN INDEPENDENT CERTIFIED PUBLIC ACCOUNTANT ON THE FINANCIAL
STATEMENT;
(B) DISCLOSE ON THE OFFICE OF STATE COMPTROLLER'S WEBSITE, ON AT LEAST
AN ANNUAL BASIS, ALL FEES PAID BY THE FUND TO INVESTMENT MANAGERS,
CONSULTANTS, AND THIRD-PARTY ADMINISTRATORS;
(C) DISCLOSE ON THE OFFICE OF STATE COMPTROLLER'S WEBSITE THE FUND'S
INVESTMENT POLICIES AND PROCEDURES; AND
(D) REQUIRE FIDUCIARY AND CONFLICT OF INTEREST REVIEWS OF THE FUND
EVERY THREE YEARS BY A QUALIFIED UNAFFILIATED PERSON.
8. FOR PURPOSES OF THIS SECTION, ANY INVESTMENT MADE BY THE FUND
PURSUANT TO SUBDIVISION SEVEN OF SECTION ONE HUNDRED SEVENTY-SEVEN OF
THIS CHAPTER SHALL BE DEEMED TO BE THE INVESTMENT OF THE FUND IN SUCH
INVESTMENT ENTITY, RATHER THAN IN THE ASSET OF SUCH INVESTMENT ENTITY.
9. ANY PERSON OR ENTITY THAT HAS A REASONABLE BASIS TO BELIEVE THAT
ANY OTHER PERSON OR ENTITY HAS VIOLATED THIS SECTION SHALL REPORT TO THE
BOARD AND THE ATTORNEY GENERAL EVIDENCE OF THE VIOLATION.
10. ANY VIOLATION OF THIS SECTION OR REGULATIONS PROMULGATED THERE-
UNDER SHALL BE A MISDEMEANOR, PUNISHABLE BY A FINE NOT TO EXCEED TWEN-
TY-FIVE THOUSAND DOLLARS OR BY IMPRISONMENT NOT TO EXCEED SIX MONTHS OR
BY BOTH SUCH FINE AND IMPRISONMENT. ANY SECOND OR SUBSEQUENT VIOLATION
SHALL BE A FELONY PUNISHABLE BY A FINE NOT TO EXCEED ONE HUNDRED THOU-
SAND DOLLARS OR BY IMPRISONMENT FOR A CLASS E FELONY OR BY BOTH SUCH
FINE AND IMPRISONMENT.
S 5. Subdivision 4 of section 302 of the retirement and social securi-
ty law is amended by adding a new subdivision 8-a to read as follows:
8-A. "EMPLOYEE RETIREMENT SYSTEM BOARD" OR "BOARD." THE ENTITY ESTAB-
LISHED PURSUANT TO SECTION TEN-B OF THIS CHAPTER.
S 6. Subdivision g of section 311 of the retirement and social securi-
ty law, as added by chapter 1000 of the laws of 1966, is amended to read
as follows:
g. The comptroller shall, IN CONSULTATION WITH THE EMPLOYEE RETIREMENT
SYSTEM BOARD, adopt and amend pursuant to this article only such rules
and regulations as he OR SHE determines to be for the best interest of
the retirement system and its members.
S 7. Section 313 of the retirement and social security law, as added
by chapter 1000 of the laws of 1966, subdivision d as amended by chapter
460 of the laws of 1971, paragraph 2 of subdivision f as amended by
chapter 908 of the laws of 1971, subdivision i as amended by chapter
1046 of the laws of 1973, is amended to read as follows:
S. 6615--A 65 A. 9715--A
S 313. Management of funds. a. The funds of the policemen's and fire-
men's retirement system shall be managed in accordance with this
section.
b. The [comptroller] MEMBERS OF THE EMPLOYEE RETIREMENT SYSTEM BOARD
shall be trustee of the several funds of the policemen's and firemen's
retirement system AND THE COMPTROLLER SHALL BE CUSTODIAN OF SUCH FUNDS.
Such funds shall be invested by the comptroller AS AUTHORIZED BY THE
BOARD, in securities in which he OR SHE is authorized by law to invest
the funds of the state, except that he OR SHE may invest in obligations
consisting of notes, bonds, debentures or equipment trust certificates
issued under an indenture, which are the direct obligations of, or in
the case of equipment trust certificates are secured by direct obli-
gations of, a railroad or industrial corporation, or a corporation
engaged directly and primarily in the production, transportation,
distribution, or sale of electricity, or gas, or the operation of tele-
phone or telegraph systems or waterworks, or in some combination of
them; provided the obligor corporation is one which is incorporated
under the laws of the United States, or any state thereof, or of the
District of Columbia, and said obligations shall be rated at the time of
purchase within the three highest classifications established by at
least two standard rating services. The maximum amount that the comp-
troller AS AUTHORIZED BY THE BOARD may invest in such obligations shall
not exceed thirty per centum of the assets of the New York state police-
men's and firemen's retirement system's funds; and provided further that
not more than two and one-half per centum of the assets of the New York
state policemen's and firemen's retirement system's funds shall be
invested in the obligations of any one corporation of the highest clas-
sification and subsidiary or subsidiaries thereof, that not more than
two per centum of the assets of the New York state policemen's and fire-
men's retirement system's funds shall be invested in the obligations of
any one corporation of the second highest classification and subsidiary
or subsidiaries thereof, that not more than one and one-half per centum
of the assets of the New York state policemen's and firemen's retirement
system's funds shall be invested in the obligations of any one corpo-
ration of the third highest classification and subsidiary or subsid-
iaries thereof. He OR SHE shall, however, be subject to all terms,
conditions, limitations and restrictions imposed by this article and by
law upon the making of such investments. The comptroller AS AUTHORIZED
BY THE BOARD shall have full power:
1. To hold, purchase, sell, assign, transfer or dispose of any of the
securities or investments, in which any of the funds of the policemen's
and firemen's retirement system shall be invested, including the
proceeds of such investments and any monies belonging to such funds, and
2. In his OR HER name as [trustee] CUSTODIAN, to foreclose mortgages
upon default or to take title to real property in such proceedings in
lieu thereof and to lease and sell real property so acquired.
c. The comptroller AS AUTHORIZED BY THE BOARD annually shall credit to
each of the funds of the policemen's and firemen's retirement system
regular interest on the mean amount therein for the preceding year.
d. The custody of all funds of the policemen's and firemen's retire-
ment system shall be in the charge of the head of the division of the
treasury of the department of taxation and finance, subject to the
supervision and control of the commissioner of taxation and finance.
e. Payment of all pensions, annuities and other benefits shall be made
as provided in this article. For the purpose of meeting disbursements
for pensions, annuities and other payments ordered by the comptroller,
S. 6615--A 66 A. 9715--A
the head of such division may keep on deposit an available fund which
shall not exceed ten per centum of the total amount of the several funds
of the policemen's and firemen's retirement system. Every such deposit
shall be kept only in a bank or trust company organized under the laws
of this state, or in a national bank located in this state, which shall
furnish adequate security therefor.
f. The comptroller, however, shall have a fund in his OR HER immediate
possession. Such fund shall be used for the immediate payment of:
1. All pensions, annuities and other benefits, and
2. Such expenses as may necessarily be incurred in acquiring, servic-
ing and foreclosing mortgages and in acquiring, managing and protecting
investments, and
3. Such special expenditures for which the policemen's and firemen's
retirement system will be paid by the state or a participating employer.
Such fund shall be reimbursed from time to time by the head of such
division on the warrant of the comptroller.
g. Neither the comptroller nor THE MEMBER OF THE BOARD OR any person
employed on the work of the policemen's and firemen's retirement system
shall:
1. Except as herein provided, have any interest, direct or indirect,
in the gains or profits of any investment of the policemen's and fire-
men's retirement system, nor, in connection therewith, directly or indi-
rectly, receive any pay or emolument for his OR HER services.
2. Except as provided in section three hundred fifty of this article:
(a) Directly or indirectly, for himself or as an agent or partner of
others, borrow any of its funds or deposits or in any manner use the
same except to make such current and necessary payments as are author-
ized by the comptroller, or
(b) Become an endorser, surety or an obligor in any manner of monies
loaned by or borrowed of such funds.
h. The policemen's and firemen's retirement system may use a part of
its funds, not exceeding ten per centum of its assets, (1) for purchas-
ing or leasing of land in the city of Albany and the construction there-
on of a suitable office building or buildings for the transaction of the
business of the retirement system, (2) for purchasing or leasing of land
in the cities of Albany, Syracuse, Buffalo, Binghamton, New York,
Rochester and Utica and the construction thereon of a suitable office
building or buildings for purposes of lease or sale to the state, (3)
for purchasing or leasing of land in the city of Albany on the north and
south sides of Washington avenue commonly known as the "Campus Site"
acquired by the state for a state building site pursuant to the
provisions of chapter five hundred seventy-two of the laws of nineteen
hundred forty-seven and the construction thereon of power plants includ-
ing service connections, electric substations including service
connections, garages, warehouses and restaurant facilities deemed neces-
sary for the efficient and economical operation of the office building
or buildings constructed on such land and (4) for purchasing or leasing
of land in the city of Albany acquired by the state for suitable parking
facilities for the use primarily of employees of the state and persons
having business with state departments and state agencies and the
construction thereon of such structures, appurtenances and facilities
deemed necessary for the efficient and economical operation of the park-
ing facilities constructed on such land and (5) for purchasing or leas-
ing of land in locations approved by the state university trustees and
the construction, acquisition, reconstruction, rehabilitation or
improvement of suitable buildings or facilities thereon for purposes of
S. 6615--A 67 A. 9715--A
lease or sale to the state university construction fund, such buildings
or facilities to be used by the state university or by state-operated
institutions or statutory or contract colleges under the jurisdiction of
the state university or by the students, faculty and staff of the state
university or of any such state-operated institution or statutory or
contract college, and their families.
The policemen's and firemen's retirement system from time to time may
lease to any public agency any portion of a building constructed for the
transaction of its business which may not be required for such purpose,
upon such terms and conditions as shall be deemed to be for the best
interest of the policemen's and firemen's retirement system.
Real property of the policemen's and firemen's retirement system
acquired or constructed pursuant to this subdivision shall be exempt
from taxation.
i. At the close of each fiscal year, the average rate of investment
earnings of the retirement system shall be computed by the actuary and
certified to the comptroller. This rate shall be determined from the
investment earnings during the calendar year which ended three months
prior to the close of the fiscal year. For any year that such average
rate of earnings is in excess of three per centum but not in excess of
four per centum, the comptroller shall declare a rate of special inter-
est, for members earning regular interest of three per centum, equal to
the difference between such average rate of earnings and three per
centum, expressed to the lower one-tenth of one per centum, but not in
excess of one per centum. For any year, commencing with the fiscal year
the first day of which is April first, nineteen hundred seventy, that
such average rate of earnings is in excess of four per centum, the
special rate of interest for members earning regular interest of three
per centum shall be equal to the difference between such average rate of
earnings and three per centum, expressed to the lower one-tenth of one
per centum, but not in excess of two per centum, and for members earning
regular interest of four per centum, it shall be the difference between
such average rate of earnings and four per centum, expressed to the
lower one-tenth of one per centum, but not in excess of one per centum.
Special interest at such rates, shall be credited, by the comptroller at
the same time that regular interest is credited, to the individual annu-
ity savings accounts of persons who are members as of the close of the
fiscal year. Special interest shall not be considered in determining
rates of contribution of members. In the case of persons who last became
members on or after July first, nineteen hundred seventy-three, the
provisions of this subdivision shall apply only to the fiscal years
beginning April first, nineteen hundred seventy-two and ending March
thirty-first, nineteen hundred seventy-three.
j. The retirement system may invest, within the limitations authorized
for investments in conventional mortgages, a part of its funds in first
mortgages on real property located anywhere within the boundaries of the
United States and leased to the government of the United States,
provided however, that no such investment shall be made unless the terms
of the mortgage shall provide for amortization payments in an amount
sufficient to completely amortize the loan within the period of the
lease.
S 8. Section 421 of the retirement and social security law, as added
by chapter 306 of the laws of 1967, is amended to read as follows:
S 421. Definitions. As used or referred to in this article, unless a
different meaning clearly appears from the context. 1. The term "employ-
S. 6615--A 68 A. 9715--A
ees' retirement system" shall mean the New York state [employees]
EMPLOYEES' retirement system.
2. The term "policemen's and firemen's retirement system" shall mean
the New York state [policemen's and firemen's] AND LOCAL POLICE AND FIRE
retirement system.
3. The term "each retirement [sytsem] SYSTEM" shall mean each of the
foregoing defined systems.
4. [The term "comptroller" shall mean the state comptroller.
5.] The term "actuary" shall mean the actuary of the employees'
retirement system acting jointly with the actuary of the policemen's and
firemen's retirement system.
5. "EMPLOYEE RETIREMENT SYSTEM BOARD" OR "BOARD" SHALL MEAN THE ENTITY
ESTABLISHED PURSUANT TO SECTION TEN-B OF THIS CHAPTER.
S 9. Section 422 of the retirement and social security law, as added
by chapter 306 of the laws of 1967, is amended to read as follows:
S 422. Establishment of a common retirement fund. 1. There is hereby
established a fund, in the custody of the comptroller, to be known as
the common retirement fund. Notwithstanding any other provision of this
chapter, all of the assets and income of the employees' retirement
system and of the policemen's and firemen's retirement system shall be
held by the comptroller as [trustee] CUSTODIAN of such fund, except as
such assets and income may be allocated or distributed to the funds of
each retirement system by the comptroller.
2. The fund shall consist initially of the total assets of the employ-
ees' retirement system as of March thirty-first, nineteen hundred
sixty-seven, as such assets are defined in subdivision a of section two
hundred ninety-three of this chapter. After the annual valuation of the
assets and liabilities of the employees' retirement system and the
determination relating to assets and liabilities required by subdivision
b of section two hundred ninety-three of this chapter, the comptroller
shall credit to each retirement system a participating interest in the
assets of such fund in the proportion and percentage that the assets of
each retirement system bear to the total assets of the common retirement
fund. [On March thirty-first, nineteen hundred sixty-eight, and at the
close of each succeeding fiscal year, the] THE comptroller shall credit
each retirement system with a participating interest in such fund in the
proportion and percentage that the interest attributable to each retire-
ment system bears to the total assets of such fund, after considering
contributions, earnings, disbursements and expenses attributable to each
system.
S 10. Section 423 of the retirement and social security law, as
amended by chapter 770 of the laws of 1970, is amended to read as
follows:
S 423. Investments. a. [On and after April first, nineteen hundred
sixty-seven, the] THE comptroller, AS AUTHORIZED BY THE BOARD shall
invest the available monies of the common retirement fund in any invest-
ments and securities authorized by law for each retirement system and
shall hold such investments in his OR HER name as [trustee] CUSTODIAN of
such fund, notwithstanding any other provision of this chapter. Partic-
ipating interests in such investments shall be credited to each retire-
ment system in the manner and at the time specified in [paragraph]
SUBDIVISION two of section four hundred twenty-two of this article.
b. To assist in the management of the monies of the common retirement
fund, the comptroller shall appoint an investment advisory committee
consisting of not less than seven members who shall serve for [his] THE
COMPTROLLER'S term of office. A vacancy occurring from any cause other
S. 6615--A 69 A. 9715--A
than expiration of term shall be filled by the comptroller for the
remainder of the term. Each member of the committee shall be experienced
in the field of investments and shall have served, or shall be serving,
as a senior officer or member of the board of an insurance company,
banking corporation or other financial or investment organization
authorized to do business in the state of New York. The committee shall
advise the comptroller, AS WELL AS ITS EXECUTIVE DIRECTOR, CHIEF ACTU-
ARY, AND CHIEF INVESTMENT OFFICER on investment policies relating to the
monies of the common retirement fund and shall review, from time to
time, the investment portfolio of the fund and make such recommendations
as may be deemed necessary.
The comptroller shall appoint a separate mortgage advisory committee,
with the advice and consent of the investment advisory committee, to
review proposed mortgage and real estate investments by the common
retirement fund. In making investments, as authorized by law, the comp-
troller shall be guided by policies established by each committee from
time to time; and, in the event the mortgage advisory committee disap-
proves a proposed mortgage or real estate investment, such shall not be
made.
No officer or employee of any state department or agency shall be
eligible for membership on either committee. Each committee shall
convene periodically on call of the comptroller, or on call of the
[chairman] CHAIR OF THE COMMITTEE. The members of each committee shall
be entitled to reimbursement for their actual and necessary expenses but
shall receive no compensation for their services.
S 11. Sections 423-a and 423-b of the retirement and social security
law, section 423-a as added by chapter 112 of the laws of 1986 and
section 423-b as added by chapter 624 of the laws of 1999, are amended
to read as follows:
S 423-a. Northern Ireland related investments. 1. Notwithstanding any
other provision of law, on and after January first, nineteen hundred
eighty-seven, any moneys or assets of the common retirement fund which
shall remain or be invested in the stocks, securities or other obli-
gations of any institution or company doing business in or with Northern
Ireland or with agencies or instrumentalities thereof, shall be invested
subject to the provisions of subdivision three of this section.
2. On or before the first day of January of each year, the comptroller
AS AUTHORIZED BY THE BOARD shall determine the existence of affirmative
action taken by institutions or companies doing business in Northern
Ireland to eliminate ethnic or religious discrimination based on actions
taken for:
(a) Increasing the representation of individuals from underrepresented
religious groups in the workforce including managerial, supervisory,
administrative, clerical and technical jobs.
(b) Providing adequate security for the protection of minority employ-
ees both at the workplace and while travelling to and from work.
(c) The banning of provocative religious or political emblems from the
workplace.
(d) Publicly advertising all job openings and making special recruit-
ment efforts to attract applicants from underrepresented religious
groups.
(e) Providing that layoff, recall, and termination procedures should
not in practice favor particular religious groupings.
(f) The abolition of job reservations, apprenticeship restrictions,
and differential employment criteria, which discriminate on the basis of
religion or ethnic origin.
S. 6615--A 70 A. 9715--A
(g) The development of training programs that will prepare substantial
numbers of current minority employees for skilled jobs, including the
expansion of existing programs and the creation of new programs to
train, upgrade, and improve the skills of minority employees.
(h) The establishment of procedures to assess, identify, and actively
recruit minority employees with potential for further advancement.
(i) The appointment of senior management staff members to oversee
affirmative action efforts and the setting up of timetables to carry out
affirmative action principles.
3. Consistent with sound investment policy, the comptroller AS AUTHOR-
IZED BY THE BOARD shall invest the assets of the common retirement fund
in such a manner that the investments in institutions doing business in
or with Northern Ireland shall reflect the advances made by such insti-
tutions in eliminating discrimination as established pursuant to subdi-
vision two of this section.
S 423-b. New York state venture capital program. The comptroller AS
AUTHORIZED BY THE BOARD is hereby authorized to establish within the
common retirement fund a New York state venture capital program for the
purpose of investing in qualified businesses as defined in paragraph
[six] SEVEN of subdivision (a) of section eleven of the tax law. The
comptroller [is authorized to] AS AUTHORIZED BY THE BOARD MAY invest up
to two hundred fifty million dollars of assets of the common retirement
fund to carry out the purposes of this section. The comptroller AS
AUTHORIZED BY THE BOARD may make investments pursuant to this section in
partnerships, corporations, trusts or limited liability companies organ-
ized on a for-profit basis that enter into agreements to invest the
moneys of the New York state venture capital program in qualified busi-
nesses. The comptroller AS AUTHORIZED BY THE BOARD shall make such
investments consistent with the provisions of paragraph (b) of subdivi-
sion nine of section one hundred seventy-seven of this chapter. The
comptroller may establish procedures necessary to insure that invest-
ments of moneys of the New York state venture capital program are, for
each investment in a qualified business, equitably matched by invest-
ments made by other sources. The comptroller shall, to the maximum
extent practicable, insure that the geographic distribution of invest-
ments in the program is in proportion to the state population.
S 12. Intentionally omitted.
S 13. Section 425 of the retirement and social security law, as added
by chapter 306 of the laws of 1967, is amended to read as follows:
S 425. Separability of retirement systems. No provision of this arti-
cle shall be construed as an impairment of the separability of or of the
corporate powers and privileges of the employees' retirement system or
the policemen's and firemen's retirement system. The comptroller AS
AUTHORIZED BY THE BOARD shall establish or continue separate funds and
accounts for each retirement system, consistent with the common retire-
ment fund herein provided for, as may be required to carry out the sepa-
rate purposes and privileges of each retirement system.
S 14. The retirement and social security law is amended by adding a
new article 23 to read as follows:
ARTICLE 23
INVESTMENT FIRMS
SECTION 1300. LEGISLATIVE INTENT.
1301. DEFINITIONS.
1302. BAN ON INVESTMENT FIRM BUSINESS.
1303. PROHIBITION ON SOLICITING AND COORDINATING CONTRIBUTIONS.
1304. CIRCUMVENTION OF RULE.
S. 6615--A 71 A. 9715--A
1305. REQUIRED DISCLOSURE TO COMMISSION ON PUBLIC INTEGRITY.
1306. VOLUNTARY DISCLOSURE TO COMMISSION ON PUBLIC INTEGRITY.
1307. PROHIBITION OF CERTAIN EMPLOYMENT.
1308. PROHIBITION OF CERTAIN FINANCIAL RELATIONSHIPS.
1309. INTERNAL PROCEDURES.
1310. PROHIBITION OF CERTAIN CONTACTS.
1311. GIFTS.
1312. MANDATORY REPORTING.
1313. ATTORNEY GENERAL ACTION.
1314. CRIMINAL SANCTIONS.
S 1300. LEGISLATIVE INTENT. THE PURPOSE AND INTENT OF THIS ARTICLE IS
TO ENSURE THAT THE HIGH STANDARDS AND INTEGRITY OF INVESTMENT FIRMS ARE
MAINTAINED TO PREVENT FRAUDULENT AND MANIPULATIVE ACTS AND PRACTICES, TO
PROMOTE JUST AND EQUITABLE PRINCIPLES, TO PERFECT A FREE AND OPEN MARKET
AND TO PROTECT THE COMMON RETIREMENT FUND AND THE PUBLIC INTEREST BY:
1. PROHIBITING INVESTMENT FIRMS FROM ENGAGING IN BUSINESS WITH THE
COMMON RETIREMENT FUND IF CERTAIN POLITICAL CONTRIBUTIONS HAVE BEEN MADE
TO OFFICIALS THAT OVERSEE THE FUND; AND
2. REQUIRING INVESTMENT FIRMS TO DISCLOSE CERTAIN POLITICAL CONTRIB-
UTIONS, AS WELL AS OTHER INFORMATION, TO ALLOW PUBLIC SCRUTINY OF POLI-
TICAL CONTRIBUTIONS BY THOSE IN THE BUSINESS.
S 1301. DEFINITIONS. AS USED IN THIS ARTICLE:
1. "COMMON RETIREMENT FUND" SHALL MEAN ALL OF THE ASSETS AND INCOME OF
THE EMPLOYEES' RETIREMENT SYSTEM AND OF THE POLICE AND FIRE RETIREMENT
SYSTEM.
2. "ISSUER" SHALL MEAN THE COMPTROLLER OR HIS OR HER DESIGNEE IN
RELATION TO THE ISSUANCE OF FUNDS FOR INVESTMENT FROM THE COMMON RETIRE-
MENT FUND.
3. "INVESTMENT FIRM" SHALL MEAN ANY PERSON OR ENTITY THAT ACCEPTS AN
INVESTMENT FROM OR PROVIDES INVESTMENT MANAGEMENT SERVICES TO THE
RETIREMENT SYSTEM IN CONNECTION WITH THE MANAGEMENT OR INVESTMENT OF A
RETIREMENT SYSTEM'S TRUST FUND OR ASSETS. INVESTMENT FIRM INCLUDES ANY
SUBSIDIARY OR AFFILIATE OVER WHICH THE INVESTMENT FIRM EXERCISES EXCLU-
SIVE CONTROL.
4. "OFFICIAL" SHALL MEAN ANY PERSON, INCLUDING THE PERSON'S ELECTION
COMMITTEE, WHO WAS, AT THE TIME OF A CONTRIBUTION, AN INCUMBENT, CANDI-
DATE OR SUCCESSFUL CANDIDATE FOR AN ELECTIVE OFFICE OF A GOVERNMENT
ENTITY, IF THE OFFICE IS DIRECTLY RESPONSIBLE FOR, OR CAN DIRECTLY
INFLUENCE THE OUTCOME OF, THE RETIREMENT SYSTEM'S INVESTMENT WITH OR
ENGAGEMENT OF THE INVESTMENT FIRM.
S 1302. BAN ON INVESTMENT FIRM BUSINESS. NO INVESTMENT FIRM SHALL
ENGAGE IN BUSINESS WITH THE COMMON RETIREMENT FUND WITHIN TWO YEARS
AFTER ANY CONTRIBUTION TO AN OFFICIAL OF THE COMMON RETIREMENT FUND MADE
BY:
1. THE INVESTMENT FIRM;
2. ANY FINANCE PROFESSIONAL ASSOCIATED WITH SUCH INVESTMENT FIRM; OR
3. ANY POLITICAL ACTION COMMITTEE CONTROLLED BY THE INVESTMENT FIRM;
PROVIDED, HOWEVER, THAT THIS SECTION SHALL NOT PROHIBIT THE INVESTMENT
FIRM FROM ENGAGING IN BUSINESS WITH THE COMMON RETIREMENT FUND IF THE
ONLY CONTRIBUTIONS MADE BY THE FOREGOING PERSONS AND ENTITIES TO OFFI-
CIALS OF SUCH ISSUER WITHIN THE PREVIOUS TWO YEARS WERE MADE BY PERSONS
TO OFFICIALS OF SUCH ISSUER FOR WHOM THE PERSONS WERE ENTITLED TO VOTE
AND WHICH CONTRIBUTIONS, IN TOTAL, WERE NOT IN EXCESS OF THREE HUNDRED
DOLLARS BY ANY INVESTMENT FIRM TO EACH OFFICIAL, PER ELECTION.
S 1303. PROHIBITION ON SOLICITING AND COORDINATING CONTRIBUTIONS. NO
INVESTMENT FIRM SHALL SOLICIT ANY PERSON, INCLUDING BUT NOT LIMITED TO,
S. 6615--A 72 A. 9715--A
ANY AFFILIATED ENTITY OF THE INVESTMENT FIRM OR POLITICAL ACTION COMMIT-
TEE, TO:
1. MAKE OR COORDINATE ANY CONTRIBUTION, TO AN OFFICIAL OF THE COMMON
RETIREMENT FUND WITH WHICH THE INVESTMENT FIRM IS ENGAGING OR IS SEEKING
TO ENGAGE IN BUSINESS WITH; OR
2. MAKE OR COORDINATE ANY PAYMENT TO A POLITICAL PARTY OF A STATE OR
LOCALITY WHERE THE INVESTMENT FIRM IS ENGAGING OR IS SEEKING TO ENGAGE
IN BUSINESS WITH THE COMMON RETIREMENT FUND.
S 1304. CIRCUMVENTION OF RULE. NO INVESTMENT FIRM, OR ANY PROFESSIONAL
THAT CONDUCTS BUSINESS WITH THE COMMON RETIREMENT FUND SHALL, DIRECTLY
OR INDIRECTLY, THROUGH OR BY ANY OTHER PERSON, RELATIVE OR MEANS, DO ANY
ACT THAT SHALL RESULT IN A VIOLATION OF SECTION THIRTEEN HUNDRED TWO OR
THIRTEEN HUNDRED THREE OF THIS ARTICLE.
S 1305. REQUIRED DISCLOSURE TO COMMISSION ON PUBLIC INTEGRITY. 1.
EXCEPT AS OTHERWISE PROVIDED IN SUBDIVISION TWO OF THIS SECTION, EACH
INVESTMENT FIRM SHALL, BY JANUARY THIRTY-FIRST, APRIL THIRTIETH, JULY
THIRTY-FIRST AND OCTOBER THIRTY-FIRST OF EACH YEAR, REPORT TO THE
COMMISSION ON PUBLIC INTEGRITY, IN A FORMAT REQUIRED BY THE COMMISSION,
THE FOLLOWING INFORMATION:
(A) FOR CONTRIBUTIONS TO OFFICIALS OF THE COMMON RETIREMENT FUND
(OTHER THAN A CONTRIBUTION MADE BY AN INVESTMENT FIRM TO AN OFFICIAL OF
AN ISSUER FOR WHOM SUCH INVESTMENT FIRM IS ENTITLED TO VOTE IF ALL
CONTRIBUTIONS BY SUCH INVESTMENT FIRM TO SUCH OFFICIAL, IN TOTAL, DO NOT
EXCEED THREE HUNDRED DOLLARS PER ELECTION) AND PAYMENTS TO POLITICAL
PARTIES OF A STATE OR POLITICAL SUBDIVISION (OTHER THAN A PAYMENT MADE
BY AN INVESTMENT FIRM TO A POLITICAL PARTY OF A STATE OR A POLITICAL
SUBDIVISION IN WHICH SUCH INVESTMENT FIRM IS ENTITLED TO VOTE IF ALL
PAYMENTS BY SUCH INVESTMENT FIRM TO SUCH POLITICAL PARTY, IN TOTAL, DO
NOT EXCEED THREE HUNDRED DOLLARS PER YEAR) MADE BY THE PERSONS AND ENTI-
TIES DESCRIBED IN SUBPARAGRAPH (II) OF THIS PARAGRAPH:
(I) THE NAME AND TITLE (INCLUDING ANY CITY, COUNTY, STATE OR POLITICAL
SUBDIVISION) OF EACH OFFICIAL AND POLITICAL PARTY RECEIVING CONTRIB-
UTIONS OR PAYMENTS DURING SUCH CALENDAR QUARTER;
(II) THE CONTRIBUTION OR PAYMENT AMOUNT MADE AND THE CONTRIBUTOR CATE-
GORY OF EACH OF THE FOLLOWING PERSONS AND ENTITIES MAKING SUCH CONTRIB-
UTIONS OR PAYMENTS DURING SUCH CALENDAR QUARTER:
(A) ANY INVESTMENT FIRM OR FINANCE PROFESSIONAL ASSOCIATED WITH SUCH
INVESTMENT FIRM; AND
(B) EACH POLITICAL ACTION COMMITTEE CONTROLLED BY THE INVESTMENT FIRM
OR ANY FINANCE PROFESSIONAL ASSOCIATED WITH SUCH INVESTMENT FIRM;
(B) A LIST OF STATE OFFICIALS WITH WHICH THE INVESTMENT FIRM HAS
ENGAGED IN BUSINESS DURING SUCH CALENDAR QUARTER, ALONG WITH THE TYPE OF
BUSINESS;
(C) WHETHER ANY CONTRIBUTION LISTED IN THIS SUBDIVISION IS THE SUBJECT
OF AN AUTOMATIC EXEMPTION, AND THE DATE OF SUCH AUTOMATIC EXEMPTION; AND
(D) SUCH OTHER INFORMATION REQUIRED BY THE COMMISSION ON PUBLIC INTEG-
RITY.
2. NO INVESTMENT FIRM SHALL BE REQUIRED TO MAKE A DISCLOSURE PURSUANT
TO THIS SECTION TO THE COMMISSION ON PUBLIC INTEGRITY FOR ANY CALENDAR
QUARTER IN WHICH:
(A) SUCH INVESTMENT FIRM HAS NO INFORMATION TO DISCLOSE FOR SUCH
CALENDAR QUARTER; OR
(B) SUCH INVESTMENT FIRM HAS NOT ENGAGED IN BUSINESS WITH THE COMMON
RETIREMENT FUND, BUT ONLY IF SUCH INVESTMENT FIRM DID NOT ENGAGE IN
BUSINESS WITH THE COMMON RETIREMENT FUND DURING THE SEVEN CONSECUTIVE
CALENDAR QUARTERS IMMEDIATELY PRECEDING SUCH CALENDAR QUARTER.
S. 6615--A 73 A. 9715--A
3. THE COMMISSION ON PUBLIC INTEGRITY SHALL MAKE PUBLIC A COPY OF THE
DISCLOSURES RECEIVED FROM ANY INVESTMENT FIRM.
4. IF AN INVESTMENT FIRM ENGAGES IN BUSINESS DURING ANY CALENDAR QUAR-
TER AFTER NOT HAVING REPORTED THE INFORMATION DESCRIBED IN PARAGRAPH (A)
OF SUBDIVISION ONE OF THIS SECTION FOR ONE OR MORE CONTRIBUTIONS OR
PAYMENTS MADE DURING THE TWO-YEAR PERIOD PRECEDING SUCH CALENDAR QUARTER
SOLELY AS A RESULT OF PARAGRAPH (B) OF SUBDIVISION TWO OF THIS SECTION,
THEN SUCH INVESTMENT FIRM SHALL INCLUDE IN THE INFORMATION FOR SUCH
CALENDAR QUARTER ALL SUCH INFORMATION (INCLUDING YEAR AND CALENDAR QUAR-
TER OF SUCH CONTRIBUTIONS OR PAYMENTS) NOT SO REPORTED DURING SUCH TWO-
YEAR PERIOD.
5. AN INVESTMENT FIRM THAT SUBMITS INFORMATION TO THE COMMISSION ON
PUBLIC INTEGRITY SHALL:
(A) SEND TWO COPIES OF SUCH DISCLOSURE TO THE COMMISSION ON PUBLIC
INTEGRITY BY CERTIFIED OR REGISTERED MAIL, OR SOME OTHER EQUALLY PROMPT
MEANS THAT PROVIDES A RECORD OF SENDING; OR
(B) SUBMIT AN ELECTRONIC VERSION OF SUCH DISCLOSURE TO THE COMMISSION
ON PUBLIC INTEGRITY IN SUCH FORMAT AND MANNER SPECIFIED IN REGULATIONS
PROMULGATED BY THE COMMISSION ON PUBLIC INTEGRITY.
S 1306. VOLUNTARY DISCLOSURE TO COMMISSION ON PUBLIC INTEGRITY. THE
COMMISSION ON PUBLIC INTEGRITY SHALL ACCEPT ADDITIONAL DISCLOSURES
RELATED TO CONTRIBUTIONS MADE TO OFFICIALS OF ISSUERS AND PAYMENTS TO
POLITICAL PARTIES AND POLITICAL SUBDIVISIONS VOLUNTARILY SUBMITTED BY AN
INVESTMENT FIRM PROVIDED THAT SUCH DISCLOSURES ARE SUBMITTED IN ACCORD-
ANCE WITH SECTION THIRTEEN HUNDRED FIVE OF THIS ARTICLE.
S 1307. PROHIBITION OF CERTAIN EMPLOYMENT. NO INVESTMENT FIRM SHALL
EMPLOY OR COMPENSATE IN ANY MANNER A BOARD MEMBER, OFFICIAL, RETIREMENT
FUND OFFICIAL, EMPLOYEE OR FIDUCIARY OF THE COMMON RETIREMENT FUND FOR
TWO YEARS AFTER THE TERMINATION OF SUCH PERSON'S RELATIONSHIP WITH THE
COMMON RETIREMENT FUND UNLESS SUCH PERSON SHALL NOT HAVE CONTACT WITH,
OR PROVIDE SERVICES TO, THE COMMON RETIREMENT FUND.
S 1308. PROHIBITION OF CERTAIN FINANCIAL RELATIONSHIPS. NO INVESTMENT
FIRM OR RELATED PARTY SHALL HAVE A DIRECT OR INDIRECT FINANCIAL, COMMER-
CIAL OR BUSINESS RELATIONSHIP WITH AN OFFICIAL OR ISSUER OF PENSION
FUNDS, UNLESS THE BOARD CONSENTS AFTER FULL DISCLOSURE BY THE INVESTMENT
FIRM OR RELATED PARTY.
S 1309. INTERNAL PROCEDURES. AN INVESTMENT FIRM SHALL ADOPT INTERNAL
PROCEDURES TO MONITOR AND ENSURE ITS COMPLIANCE WITH THIS ARTICLE, AND
SHALL PROVIDE TO THE BOARD AND THE ATTORNEY GENERAL A COPY OF THESE
PROCEDURES, INCLUDING ANY UPDATES THERETO.
S 1310. PROHIBITION OF CERTAIN CONTACTS. UPON THE COMMON RETIREMENT
FUND'S RELEASE OF ANY REQUEST FOR PROPOSAL, INVITATION FOR BID, OR
COMPARABLE PROCUREMENT VEHICLE FOR ANY INVESTMENT SERVICES, THERE SHALL
BE NO COMMUNICATION BETWEEN ANY BOARD MEMBER, OFFICIAL, RETIREMENT FUND
OFFICIAL, EMPLOYEE OR FIDUCIARY OF THE COMMON RETIREMENT FUND CONCERNING
THE PROCUREMENT PROCESS UNTIL THE PROCESS IS COMPLETE, PROVIDED, HOWEV-
ER, THAT A REQUEST FOR TECHNICAL CLARIFICATION REGARDING THE PROCUREMENT
PROCESS ITSELF SHALL BE PERMISSIBLE, AND AN INVESTMENT FIRM SHALL DIRECT
SUCH REQUEST TO THE PERSON DESIGNATED BY THE COMMON RETIREMENT FUND.
NOTHING HEREIN SHALL PROHIBIT AN INVESTMENT FIRM FROM COMPLYING WITH A
REQUEST FOR INFORMATION FROM THE COMMON RETIREMENT FUND DURING THE
PROCUREMENT PROCESS.
S 1311. GIFTS. AN INVESTMENT FIRM SHALL NOT GIVE OR OFFER TO GIVE ANY
GIFT TO ANY BOARD MEMBER, OFFICIAL, RETIREMENT FUND OFFICIAL, EMPLOYEE
OR FIDUCIARY OF THE COMMON RETIREMENT FUND OTHER THAN AN ARTICLE OF
MERCHANDISE NOT EXCEEDING FIFTEEN DOLLARS IN VALUE, WHICH SHALL HAVE
S. 6615--A 74 A. 9715--A
CONSPICUOUSLY STAMPED OR PRINTED THEREON THE ADVERTISEMENT OF THE
INVESTMENT FIRM. FOR THE PURPOSE OF THIS SECTION, A GIFT SHALL INCLUDE,
BUT IS NOT LIMITED TO, MONEY, LOANS, LODGING, MEALS, REFRESHMENTS,
VACATIONS, PRIZES, DISCOUNTS, AND ENTERTAINMENT.
S 1312. MANDATORY REPORTING. ANY PERSON OR ENTITY THAT HAS A REASON-
ABLE BASIS TO BELIEVE THAT ANY OTHER PERSON OR ENTITY HAS VIOLATED THIS
ARTICLE SHALL REPORT TO THE BOARD AND THE ATTORNEY GENERAL EVIDENCE OF
THE VIOLATION.
S 1313. ATTORNEY GENERAL ACTION. THE ATTORNEY GENERAL MAY ENFORCE THE
PROVISIONS OF THIS ARTICLE AND MAY SEEK AN INJUNCTION, ON NOTICE OF FIVE
DAYS, ENJOINING A PERSON OR ENTITY FROM CONTINUING TO ENGAGE IN ANY
CONDUCT IN VIOLATION OF THIS ARTICLE. NOTHING IN THIS ARTICLE SHALL BE
CONSTRUED TO LIMIT ANY RIGHT OR REMEDY OTHERWISE AVAILABLE UNDER LAW TO
ANY PERSON OR ENTITY, INCLUDING THE ATTORNEY GENERAL.
S 1314. CRIMINAL SANCTIONS. ANY VIOLATION OF THIS ARTICLE OR REGU-
LATIONS PROMULGATED THEREUNDER SHALL BE A MISDEMEANOR, PUNISHABLE BY A
FINE NOT TO EXCEED TWENTY-FIVE THOUSAND DOLLARS OR BY IMPRISONMENT NOT
TO EXCEED SIX MONTHS OR BY BOTH SUCH FINE AND IMPRISONMENT. ANY SECOND
OR SUBSEQUENT VIOLATION SHALL BE A FELONY PUNISHABLE BY A FINE NOT TO
EXCEED ONE HUNDRED THOUSAND DOLLARS OR BY IMPRISONMENT FOR A CLASS E
FELONY OR BY BOTH SUCH FINE AND IMPRISONMENT.
S 15. Section 98 of the state finance law, subdivision 2-a as added by
chapter 61 of the laws of 1989, subdivision 3-a as amended by chapter
219 of the laws of 1999, subdivision 5 as amended by chapter 6 of the
laws of 1960, subdivision 6 as amended by chapter 527 of the laws of
1950, subdivision 7 as amended by chapter 243 of the laws of 1952,
subdivisions 8, 9 and 10 as amended by chapter 870 of the laws of 1948,
subdivision 11 as amended by chapter 458 of the laws of 1950, the open-
ing paragraph and paragraphs b, c and i of subdivision 11 as amended by
chapter 250 of the laws of 1951, paragraph w of subdivision 11 as added
by chapter 259 of the laws of 1952, paragraph x of subdivision 11 as
added by chapter 364 of the laws of 1955, paragraph y of subdivision 11
as amended by chapter 865 of the laws of 1955 and as relettered by chap-
ter 864 of the laws of 1956, paragraph z of subdivision 11 as amended by
chapter 809 of the laws of 1968, paragraph aa of subdivision 11 as
amended by chapter 339 of the laws of 1961, paragraph aa of subdivision
11 as added by chapter 261 of the laws of 1957, paragraph bb of subdivi-
sion 11 as added by chapter 826 of the laws of 1958, paragraph cc of
subdivision 11 as added by chapter 324 of the laws of 1965, paragraph dd
of subdivision 11 as added by chapter 717 of the laws of 1967, paragraph
dd of subdivision 11 as added by chapter 722 of the laws of 1967, para-
graph ee of subdivision 11 as added by chapter 1124 of the laws of 1969,
paragraph ff of subdivision 11 as added by chapter 460 of the laws of
1970, paragraph ff of subdivision 11 as added by chapter 714 of the laws
of 1970, subdivision 12 as added by chapter 499 of the laws of 1952,
subdivision 13 as added by chapter 311 of the laws of 1960, subdivision
13-a as added by chapter 113 of the laws of 1968, subdivision 13-b as
added by chapter 234 of the laws of 1988, subdivision 13-c as added by
chapter 144 of the laws of 1991, subdivision 14 as added by chapter 797
of the laws of 1963, subdivision 14 as added by chapter 932 of the laws
of 1963, subdivision 15 as added by chapter 392 of the laws of 1973,
subdivision 16 as added by chapter 7 of the laws of 1975, subdivision 17
as added by chapter 169 of the laws of 1975, subdivision 18 as amended
by chapter 219 of the laws of 1999, subdivision 19 as amended by chapter
201 of the laws of 1996, subdivision 20 as added by chapter 545 of the
S. 6615--A 75 A. 9715--A
laws of 2005 and the closing paragraph as amended by chapter 317 of the
laws of 1994, is amended to read as follows:
S 98. Investment of state funds. The comptroller, AS AUTHORIZED BY THE
EMPLOYEE RETIREMENT SYSTEM BOARD OF TRUSTEES ESTABLISHED PURSUANT TO
SECTION TEN-B OF THE RETIREMENT AND SOCIAL SECURITY LAW, shall invest
and keep invested all moneys belonging to any and all funds which the
comptroller OR SUCH BOARD now is or hereafter shall be authorized to
invest, in any of the following securities:
1. Bonds and notes of the United States.
2. Bonds and notes of this state.
2-a. General obligation bonds and notes of any state other than this
state, provided that such bonds and notes receive the highest rating of
at least one independent rating agency designated by the comptroller.
3. Obligations for the payment of which the faith and credit of the
United States or of this state are pledged.
3-a. Notes, bonds, debentures, mortgages and other evidences of
indebtedness of the United States Postal Service; the federal national
mortgage association; federal home loan mortgage corporation; student
loan marketing association; federal farm credit system or any other
United States government sponsored agency, provided that at the time of
the investment such agency or its obligations are rated and the agency
receives, or its obligations receive, the highest rating of all inde-
pendent rating agencies that rate such agency or its obligations,
provided, however, that no more than two hundred fifty million dollars
may be invested in the obligations of any one agency.
4. Judgments or awards of the court of claims of this state.
5. Stocks, bonds, or notes of any county, town, city, village, fire
district or school district of this state issued pursuant to law.
6. Mortgage bonds or any obligations for the payment of money, no
matter how designated, secured by another instrument representing a lien
on specific real property or a leasehold thereof, heretofore or hereaft-
er and at the time of the assignment thereof to the comptroller insured
by the federal housing administrator or any of his successors in office
and guaranteed by the United States under the provisions of the national
housing act, as amended or supplemented. Any such mortgage bonds or
obligations as aforesaid in which the comptroller has invested or shall
have invested pursuant to this subdivision shall be serviced by the
comptroller or in his discretion, by mortgagees, as such are defined by
the national housing act, as amended or supplemented, duly appointed by
him and subject to the inspection and supervision of some governmental
agency. The comptroller may receive and hold such debentures and certif-
icates or other obligations as are issued in payment of such insurance
or guarantee.
7. Bonds and notes of the Savings and Loan Bank of the state of New
York.
8. Bonds or notes of any housing authority of this state duly issued
pursuant to law.
9. Bonds or notes of any regulating district of this state duly issued
pursuant to law.
10. Bonds or notes of any drainage improvement district of this state
duly issued pursuant to law.
11. Bonds or notes of the authorities or commissions set forth below
when issued pursuant to law:
a. Port of New York Authority.
b. Niagara Frontier Authority.
c. Triborough bridge and tunnel authority.
S. 6615--A 76 A. 9715--A
d. Thousand Islands Bridge Authority.
e. New York State Bridge Authority.
f. New York City Tunnel Authority.
g. Lake Champlain Bridge Commission.
h. Lower Hudson Regional Market Authority.
i. Albany Regional Market Authority.
k. American Museum of Natural History Planetarium Authority.
l. Industrial Exhibit Authority.
m. Buffalo Sewer Authority.
n. Whiteface Mountain Authority.
o. Pelham-Portchester Parkway Authority.
p. Jones Beach State Parkway Authority.
q. Bethpage Park Authority.
r. Dormitory Authority.
s. Central New York Regional Market Authority.
t. Erie County Water Authority.
u. Suffolk County Water Authority.
v. New York State Thruway Authority.
w. Genesee Valley Regional Market Authority.
x. Onondaga county water authority.
y. Power Authority of the state of New York.
z. Ogdensburg Bridge and Port Authority.
aa. East Hudson Parkway Authority.
aa. Niagara Frontier Port Authority.
bb. Northwestern New York Water Authority.
cc. Metropolitan Commuter Transportation Authority.
dd. Niagara Frontier Transportation Authority.
dd. New York State Pure Waters Authority.
ee. Rochester-Genesee Regional Transportation Authority.
ff. Capital District Transportation Authority.
ff. Central New York Regional Transportation Authority.
12. Obligations of the International Bank for Reconstruction and
Development duly issued pursuant to law.
13. Obligations of the inter-American development bank duly issued
pursuant to law.
13-a. Obligations of the Asian Development Bank duly issued pursuant
to law.
13-b. Obligations of the African Development Bank duly issued pursuant
to law.
13-c. Obligations of the International Finance Corporation duly issued
pursuant to law.
14. Collateral trust notes issued by a trust company, all of the capi-
tal stock of which is owned by not less than twenty savings banks of the
state of New York.
14. Bonds and notes issued for any of the corporate purposes of the
New York state housing finance agency.
15. Bonds and notes issued for any of the corporate purposes of the
New York state medical care facilities finance agency.
16. Bonds and notes issued for any of the corporate purposes of the
New York state project finance agency.
17. Bonds and notes issued for any of the corporate purposes of the
municipal assistance corporation for New York City.
18. Obligations of any corporation organized under the laws of any
state in the United States maturing within two hundred seventy days
provided that such obligations receive the highest rating of two inde-
pendent rating services designated by the comptroller and that the
S. 6615--A 77 A. 9715--A
issuer of such obligations has maintained such ratings on similar obli-
gations during the preceding six months provided, however, that the
issuer of such obligations need not have received such rating during the
prior six month period if such issuer has received the highest rating of
two independent rating services designated by the state comptroller and
is the successor or wholly owned subsidiary of an issuer that has main-
tained such ratings on similar obligations during the preceding six
month period or if the issuer is the product of a merger of two or more
issuers, one of which has maintained such ratings on similar obligations
during the preceding six month period, provided, however, that no more
than two hundred fifty million dollars may be invested in such obli-
gations of any one corporation.
19. Bankers' acceptances maturing within ninety days which are eligi-
ble for purchase in the open market by federal reserve banks and which
have been accepted by a bank or trust company, which is organized under
the laws of the United States or of any state thereof and which is a
member of the federal reserve system and whose short-term obligations
meet the criteria outlined in subdivision eighteen of this section.
Provided, however, that no more than two hundred fifty million dollars
may be invested in such bankers' acceptance of any one bank or trust
company.
20. No-load money market mutual funds registered under the Securities
Act of 1933, as amended, and operated in accordance with Rule 2a-7 of
the Investment Company Act of 1940, as amended, provided that such funds
are limited to investments in obligations issued or guaranteed by the
United States of America or in obligations of agencies or instrumentali-
ties of the United States of America where the payment of principal and
interest are guaranteed by the United States of America (including
contracts for the sale and repurchase of any such obligations), and are
rated in the highest rating category by at least one nationally recog-
nized statistical rating organization, provided, however, that no more
than two hundred fifty million dollars may be invested in such funds.
The comptroller, AS AUTHORIZED BY THE EMPLOYEE RETIREMENT SYSTEM
BOARD, whenever he, SHE OR IT deems it for the best interest of any of
such funds, may dispose of any of the securities therein or investments
therefor, in making other investments authorized by law, and he, SHE OR
IT may exchange any such securities for those held in any other of such
funds, and the comptroller OR SUCH BOARD may take such action as may be
necessary to obtain the benefits of the insurance provided for in the
national housing act, and may draw his, HER OR ITS warrant upon the
treasurer for the amount required for such investments and exchanges.
Notwithstanding the provisions of any other general or special law,
the comptroller shall not invest the moneys of any fund in any security
or securities except as above described, provided, however, that: (a)
the comptroller may, in order to maximize the rate of return on invest-
ments, invest the moneys belonging to the New York interest on lawyer
account fund in notes, securities and deposits of banking institutions
which accept IOLA accounts, and (b) the provisions of this section shall
not limit the types of investments that may be made with moneys belong-
ing to the volunteer ambulance service award fund established by section
two hundred nineteen-h of the general municipal law.
S 16. The public officers law is amended by adding a new section 73-f
to read as follows:
S 73-F. DESIGNATING COMMISSION FOR THE EMPLOYEE RETIREMENT SYSTEM
BOARD. 1. DEFINITIONS. FOR THE PURPOSE OF THIS CHAPTER, THE FOLLOWING
TERMS SHALL HAVE THE FOLLOWING MEANINGS:
S. 6615--A 78 A. 9715--A
A. "DESIGNATING COMMISSION" MEANS THE DESIGNATING COMMISSION FOR THE
EMPLOYEE RETIREMENT SYSTEM BOARD.
B. "DESIGNATING MEMBERS" MEANS THE MEMBERS OF THE DESIGNATING COMMIS-
SION FOR THE EMPLOYEE RETIREMENT SYSTEM BOARD.
C. "COMMISSIONER" MEANS A MEMBER OF THE STATE GOVERNMENT ETHICS
COMMISSION.
D. "CANDIDATE" MEANS ANY INDIVIDUAL UNDER CONSIDERATION BY THE DESIG-
NATING COMMISSION FOR THE POSITION OF TRUSTEE OF THE EMPLOYEE RETIREMENT
SYSTEM BOARD.
E. "APPOINTING OFFICER" MEANS THE STATE ELECTED OFFICIAL RESPONSIBLE
FOR APPOINTING THE DESIGNATING MEMBERS.
2. ORGANIZATION OF THE DESIGNATING COMMISSION. A. A DESIGNATING
COMMISSION FOR THE EMPLOYEE RETIREMENT SYSTEM BOARD IS HEREBY ESTAB-
LISHED. THE DESIGNATING COMMISSION SHALL CONSIST OF TEN MEMBERS OF WHOM
FOUR SHALL BE APPOINTED BY THE GOVERNOR, AND ONE EACH BY THE ATTORNEY
GENERAL, THE STATE COMPTROLLER, THE SPEAKER OF THE ASSEMBLY, THE TEMPO-
RARY PRESIDENT OF THE SENATE, THE MINORITY LEADER OF THE SENATE, AND THE
MINORITY LEADER OF THE ASSEMBLY. OF THE FOUR MEMBERS APPOINTED BY THE
GOVERNOR, NO MORE THAN TWO SHALL BE ENROLLED IN THE SAME POLITICAL
PARTY. NO MEMBER OF THE DESIGNATING COMMISSION SHALL BE A MEMBER OF THE
LEGISLATURE, AN EMPLOYEE OF STATE GOVERNMENT, HOLD ANY OFFICE IN ANY
POLITICAL PARTY OR BE A REGISTERED LOBBYIST IN THIS STATE OR IN ANY
OTHER STATE. NO MEMBER OF THE DESIGNATING COMMISSION SHALL BE A PARTNER,
OF COUNSEL OR OTHERWISE EMPLOYED BY A LOBBYING FIRM OR ANY ENTITY
RECEIVING A STATE CONTRACT THAT SHARES IN ANY PART OF THE PROFIT DERIVED
FROM LOBBYING. TO THE EXTENT POSSIBLE, THE MEMBERS OF THE DESIGNATING
COMMISSION SHALL BE INDIVIDUALS WITH KNOWLEDGE OR EXPERIENCE IN THE
FIELD OF SECURITIES INVESTMENTS, PENSION ADMINISTRATION, PENSION LAW OR
GOVERNMENTAL FINANCE.
B. THE MEMBERS FIRST APPOINTED BY THE GOVERNOR SHALL HAVE RESPECTIVELY
ONE, TWO, THREE AND FOUR-YEAR TERMS AS HE SHALL DESIGNATE. THE MEMBER
FIRST APPOINTED BY THE ATTORNEY GENERAL SHALL HAVE A TWO-YEAR TERM. THE
MEMBER FIRST APPOINTED BY THE STATE COMPTROLLER SHALL HAVE A TWO-YEAR
TERM. THE MEMBER FIRST APPOINTED BY THE TEMPORARY PRESIDENT OF THE
SENATE SHALL HAVE A ONE-YEAR TERM. THE MEMBER FIRST APPOINTED BY THE
MINORITY LEADER OF THE SENATE SHALL HAVE A TWO-YEAR TERM. THE MEMBER
FIRST APPOINTED BY THE SPEAKER OF THE ASSEMBLY SHALL HAVE A FOUR-YEAR
TERM. THE MEMBER FIRST APPOINTED BY THE MINORITY LEADER OF THE ASSEMBLY
SHALL HAVE A THREE-YEAR TERM. EACH SUBSEQUENT APPOINTMENT SHALL BE FOR
A TERM OF FOUR YEARS.
C. A VACANCY SHALL BE DEEMED TO OCCUR IMMEDIATELY UPON THE APPOINTMENT
OR ELECTION OF ANY MEMBER TO AN OFFICE THAT WOULD DISQUALIFY HIM OR HER
FOR APPOINTMENT TO, OR MEMBERSHIP ON, THE DESIGNATING COMMISSION. A
VACANCY OCCURRING FOR ANY REASON OTHER THAN BY EXPIRATION OF TERM SHALL
BE FILLED BY THE APPOINTING OFFICER FOR THE REMAINDER OF THE UNEXPIRED
TERM. NO MEMBER OF THE DESIGNATING COMMISSION SHALL HOLD OFFICE FOR
MORE THAN NINETY DAYS AFTER THE EXPIRATION OF HIS OR HER TERM. IF THE
APPOINTING OFFICER FAILS TO APPOINT A PERSON TO A VACANT OFFICE, BY A
MAJORITY VOTE WITHOUT VACANCY, THE DESIGNATING COMMISSION SHALL SELECT A
PERSON TO FILL THE VACANT OFFICE.
D. THE MEMBERS SHALL DESIGNATE ONE OF THEIR NUMBER TO SERVE AS CHAIR-
MAN FOR A PERIOD OF TWO YEARS OR UNTIL HIS OR HER TERM OF OFFICE
EXPIRES, WHICHEVER PERIOD IS SHORTER.
E. NO MEMBER OF THE DESIGNATING COMMISSION SHALL RECEIVE COMPENSATION,
BUT MAY RECEIVE HIS OR HER ACTUAL AND NECESSARY EXPENSES INCURRED IN THE
DISCHARGE OF HIS OR HER DUTIES.
S. 6615--A 79 A. 9715--A
F. EIGHT MEMBERS OF THE DESIGNATING COMMISSION SHALL CONSTITUTE A
QUORUM.
3. FUNCTIONS OF THE DESIGNATING COMMISSION. A. THE DESIGNATING COMMIS-
SION SHALL CONSIDER AND EVALUATE THE QUALIFICATIONS OF CANDIDATES FOR
APPOINTMENT AS A MEMBER OF THE EMPLOYEE RETIREMENT SYSTEM BOARD AND, AS
A VACANCY OCCURS IN ANY SUCH OFFICE, SHALL APPOINT PERSONS WHO BY THEIR
CHARACTER, TEMPERAMENT, PROFESSIONAL APTITUDE AND EXPERIENCE ARE WELL
QUALIFIED TO HOLD SUCH OFFICE. THE DESIGNATING COMMISSION SHALL SELECT
ONE SUCH PERSON TO SERVE AS CHAIR OF THE BOARD.
B. AN APPOINTMENT AS MEMBER OF THE EMPLOYEE RETIREMENT SYSTEM BOARD BY
THE DESIGNATING COMMISSION SHALL REQUIRE THE CONCURRENCE OF SEVEN
MEMBERS OF THE DESIGNATING COMMISSION. THE APPOINTMENT SHALL BE TRANS-
MITTED TO THE GOVERNOR, THE ATTORNEY GENERAL, THE STATE COMPTROLLER, THE
TEMPORARY PRESIDENT OF THE SENATE, THE SPEAKER OF THE ASSEMBLY, THE
MINORITY LEADER OF THE SENATE AND THE MINORITY LEADER OF THE ASSEMBLY IN
A SINGLE WRITTEN REPORT, WHICH SHALL BE RELEASED TO THE PUBLIC BY THE
DESIGNATING COMMISSION AT THE TIME IT IS SUBMITTED. THE REPORT SHALL BE
IN WRITING, SIGNED ONLY BY THE CHAIRMAN, AND SHALL INCLUDE THE DESIGNAT-
ING COMMISSION'S FINDINGS RELATING TO THE CHARACTER, TEMPERAMENT,
PROFESSIONAL APTITUDE, EXPERIENCE, QUALIFICATIONS AND FITNESS FOR OFFICE
OF EACH CANDIDATE WHO IS APPOINTED COMMISSIONER.
C. NO PERSON SHALL BE APPOINTED MEMBER OF THE BOARD BY THE DESIGNATING
COMMISSION WHO HAS NOT CONSENTED TO BE A CANDIDATE, WHO HAS NOT BEEN
PERSONALLY INTERVIEWED BY A QUORUM OF THE MEMBERSHIP OF THE DESIGNATING
COMMISSION, AND WHO HAS NOT FILED A FINANCIAL STATEMENT WITH THE DESIG-
NATING COMMISSION, ON A FORM TO BE PRESCRIBED BY THE DESIGNATING COMMIS-
SION. THE FINANCIAL STATEMENT SHALL CONSIST OF A SWORN STATEMENT OF THE
PERSON'S ASSETS, LIABILITIES AND SOURCES OF INCOME, AND ANY OTHER RELE-
VANT FINANCIAL INFORMATION WHICH THE DESIGNATING COMMISSION MAY REQUIRE.
THE DESIGNATING COMMISSION SHALL TRANSMIT THE FINANCIAL STATEMENT FILED
BY EACH PERSON WHO IS APPOINTED TO THE GOVERNOR, THE ATTORNEY GENERAL,
THE STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAK-
ER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE MINORITY
LEADER OF THE ASSEMBLY. THE DESIGNATING COMMISSION SHALL MAKE AVAILABLE
TO THE PUBLIC THE FINANCIAL STATEMENT FILED BY THE PERSON WHO IS
APPOINTED TO FILL A VACANCY. THE FINANCIAL STATEMENTS FILED BY ALL OTHER
PERSONS NOT APPOINTED BY THE DESIGNATING COMMISSION SHALL BE CONFIDEN-
TIAL.
4. ADDITIONAL FUNCTIONS OF THE DESIGNATING COMMISSION. THE DESIGNATING
COMMISSION SHALL HAVE THE FOLLOWING FUNCTIONS, POWERS AND DUTIES:
A. ESTABLISH DETAILED COMMUNICATION PROCEDURES TO ASSURE THAT PERSONS
WHO MAY BE QUALIFIED FOR APPOINTMENT TO THE BOARD, OTHER THAN THOSE WHO
HAVE REQUESTED CONSIDERATION OR WHO HAVE BEEN RECOMMENDED FOR CONSIDER-
ATION BY OTHERS, ARE ENCOURAGED TO AGREE TO BE CONSIDERED BY THE DESIG-
NATING COMMISSION. THE TOTAL NUMBER OF REQUESTS FOR CONSIDERATION SHALL
BE DOCUMENTED FOR THE PUBLIC RECORD.
B. CONDUCT INVESTIGATIONS, ADMINISTER OATHS OR AFFIRMATIONS, INTERVIEW
WITNESSES AND COMPEL THEIR ATTENDANCE, EXAMINE THEM UNDER OATH OR AFFIR-
MATION AND REQUIRE THE PRODUCTION OF ANY BOOKS, RECORDS, DOCUMENTS OR
OTHER EVIDENCE THAT IT MAY DEEM RELEVANT OR MATERIAL TO ITS EVALUATION
OF CANDIDATES FOR TRUSTEE.
C. REQUIRE FROM ANY COURT, DEPARTMENT, DIVISION, BOARD, BUREAU,
COMMISSION, OR OTHER AGENCY OF THE STATE OR POLITICAL SUBDIVISION THERE-
OF OR ANY PUBLIC AUTHORITY SUCH ASSISTANCE, INFORMATION AND DATA, AS
WILL ENABLE IT PROPERLY TO EVALUATE THE QUALIFICATIONS OF CANDIDATES,
S. 6615--A 80 A. 9715--A
SUBJECT TO ANY ABSOLUTE JUDICIAL OR EXECUTIVE PRIVILEGE, WHERE ONE
EXISTS.
NOTWITHSTANDING ANY OTHER PROVISION OF LAW, THE DESIGNATING COMMIS-
SION, WITH THE CONSENT OF THE APPLICANT, SHALL BE ENTITLED TO REQUIRE
FROM ANY FORMAL DELIBERATIVE BODY ANY FORMAL WRITTEN COMPLAINT AGAINST A
CANDIDATE, IN WHICH THE APPLICANT'S MISCONDUCT WAS ESTABLISHED, ANY
PENDING COMPLAINT AGAINST A CANDIDATE, AND THE RECORD TO DATE OF ANY
PENDING PROCEEDING PURSUANT TO A FORMAL WRITTEN COMPLAINT AGAINST SUCH
CANDIDATE. THE DELIBERATIVE BODY THAT HAS JURISDICTION OVER SUCH
COMPLAINT SHALL HAVE FIFTEEN DAYS WITHIN WHICH TO RESPOND TO A REQUEST
MADE PURSUANT TO THIS SUBDIVISION.
D. REQUIRE THE APPEARANCE OF ANY CANDIDATE BEFORE IT AND INTERVIEW ANY
PERSON CONCERNING THE QUALIFICATIONS OF ANY CANDIDATE.
E. ESTABLISH PROCEDURES TO COMMUNICATE WITH THE GOVERNOR, THE ATTORNEY
GENERAL, THE STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE,
THE SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE
MINORITY LEADER OF THE ASSEMBLY CONCERNING THE QUALIFICATIONS OF ANY
PERSON WHO IT HAS APPOINTED AS TRUSTEE.
F. APPOINT, AND AT PLEASURE REMOVE, A COUNSEL AND SUCH OTHER STAFF AS
IT MAY REQUIRE FROM TIME TO TIME, AND PRESCRIBE THEIR POWERS AND DUTIES.
THE DESIGNATING COMMISSION SHALL FIX THE COMPENSATION OF ITS STAFF AND
PROVIDE FOR REIMBURSEMENT OF THEIR EXPENSES WITHIN THE AMOUNTS APPROPRI-
ATED BY LAW.
G. DO ALL OTHER THINGS NECESSARY AND CONVENIENT TO CARRY OUT ITS FUNC-
TIONS PURSUANT TO THIS ARTICLE.
5. RULES OF THE DESIGNATING COMMISSION. A. THE DESIGNATING COMMISSION
SHALL ADOPT, AND MAY AMEND, WRITTEN RULES OF PROCEDURE NOT INCONSISTENT
WITH LAW.
B. RULES OF THE DESIGNATING COMMISSION SHALL BE FILED WITH THE SECRE-
TARY OF STATE AND SHALL BE PUBLISHED IN THE OFFICIAL COMPILATION OF
CODES, RULES AND REGULATIONS OF THE STATE. UPON REQUEST OF ANY PERSON,
THE SECRETARY OF STATE SHALL FURNISH A COPY OF THE DESIGNATING COMMIS-
SION'S RULES WITHOUT CHARGE.
C. RULES OF THE DESIGNATING COMMISSION MAY PRESCRIBE FORMS AND QUES-
TIONNAIRES TO BE COMPLETED AND, IF REQUIRED BY THE DESIGNATING COMMIS-
SION, VERIFIED BY CANDIDATES.
D. RULES OF THE DESIGNATING COMMISSION SHALL PROVIDE THAT UPON THE
COMPLETION BY THE DESIGNATING COMMISSION OF ITS CONSIDERATION AND EVALU-
ATION OF THE QUALIFICATIONS OF A CANDIDATE, THERE SHALL BE NO RECONSID-
ERATION OF SUCH CANDIDATE FOR THE VACANCY FOR WHICH HE WAS CONSIDERED,
EXCEPT WITH THE CONCURRENCE OF EIGHT MEMBERS OF THE DESIGNATING COMMIS-
SION.
6. CONFIDENTIALITY OF PROCEEDINGS AND RECORDS. A. ALL COMMUNICATIONS
TO THE DESIGNATING COMMISSION, AND ITS PROCEEDINGS, AND ALL APPLICA-
TIONS, CORRESPONDENCE, INTERVIEWS, TRANSCRIPTS, REPORTS AND ALL OTHER
PAPERS, FILES AND RECORDS OF THE DESIGNATING COMMISSION SHALL BE CONFI-
DENTIAL AND PRIVILEGED AND, EXCEPT FOR THE PURPOSES OF ARTICLE TWO
HUNDRED TEN OF THE PENAL LAW, SHALL NOT BE MADE AVAILABLE TO ANY PERSON
EXCEPT AS OTHERWISE PROVIDED IN THIS ARTICLE.
B. NEITHER THE MEMBERS OF THE BOARD, MEMBERS OF THE DESIGNATING
COMMISSION NOR ITS STAFF SHALL PUBLICLY DIVULGE THE NAMES OF, OR ANY
INFORMATION CONCERNING, ANY CANDIDATE EXCEPT AS OTHERWISE PROVIDED IN
THIS ARTICLE. ANY VIOLATION OF THIS SUBDIVISION SHALL BE A CLASS A
MISDEMEANOR.
7. PROCEDURES WHEN VACANCIES OCCUR. A. WHENEVER A VACANCY WILL OCCUR
FOR THE POSITION OF MEMBER OF THE EMPLOYEE RETIREMENT SYSTEM BOARD BY
S. 6615--A 81 A. 9715--A
EXPIRATION OF A TERM, THE MEMBER OF THE BOARD SHALL NOTIFY THE DESIGNAT-
ING COMMISSION OF THE ANTICIPATED VACANCY NO LATER THAN SEVEN MONTHS
PRECEDING THE VACANCY. THE DESIGNATING COMMISSION SHALL MAKE ITS
APPOINTMENT TO THE BOARD ON OR BEFORE THE DATE OF EXPIRATION, TO TAKE
EFFECT ON THE DAY FOLLOWING SUCH EXPIRATION.
B. WHENEVER A VACANCY OCCURS OTHER THAN BY EXPIRATION OF TERM, THE
COMMISSIONERS OF STATE GOVERNMENT ETHICS SHALL IMMEDIATELY NOTIFY THE
DESIGNATING COMMISSION OF SUCH VACANCY. THE DESIGNATING COMMISSION SHALL
MAKE ITS APPOINTMENT NO LATER THAN ONE HUNDRED TWENTY DAYS AFTER RECEIPT
OF SUCH NOTICE.
S 17. Severability. If any title, section, subdivision, paragraph or
other part of this act shall be adjudged invalid by any court of compe-
tent jurisdiction, such judgment shall not invalidate the remainder
thereof, but shall be confined in its operation to the part directly
involved in the controversy wherein such judgment shall have been
rendered.
S 18. This act shall take effect on the ninetieth day after it shall
have become a law.
PART C
Section 1. Subdivisions 1, 8, 9 and 11 of section 3-102 of the
election law, subdivisions 1 and 9 as redesignated and subdivision 11 as
amended by chapter 9 of the laws of 1978 and subdivision 8 as amended by
chapter 695 of the laws of 1985, are amended to read as follows:
1. issue instructions and promulgate rules and regulations relating to
the administration of the election process[,] AND election campaign
practices [and campaign financing practices] consistent with the
provisions of law;
8. prepare [uniform forms for the statements required by article four-
teen of this chapter and] uniform forms for use by local election offi-
cials in the conduct of registration and voting; design, prepare and
make available to county boards of election and to such other insti-
tutions and groups as such board in its discretion shall determine
uniform application forms for registration and enrollment, transfer of
registration and/or enrollment and special enrollment upon application
filed by mail pursuant to the provisions of section 5-210 of this chap-
ter;
9. study and examine the administration of elections within the state
including [campaign financing, campaign financing reporting, and]
campaign practices;
11. recommend such legislation or administrative measures as it finds
appropriate to promote fair, honest and efficiently administered
elections[, including, but not limited to, legislation to adjust the
contribution limitations set forth in article fourteen of this chapter];
S 2. Subdivision 9-A of section 3-102 of the election law is REPEALED.
S 3. Subdivision 7 of section 3-102 of the election law is REPEALED.
S 4. Section 3-104 of the election law, subdivisions 1, 3, 4 and 5 as
redesignated and subdivision 2 as amended by chapter 9 of the laws of
1978, is amended to read as follows:
S 3-104. State board of elections; enforcement powers. 1. The state
board of elections shall have jurisdiction of, and be responsible for,
the execution and enforcement of the provisions of [article fourteen of]
this chapter, EXCEPT ARTICLE FOURTEEN, WHICH THE STATE GOVERNMENT ETHICS
COMMISSION SHALL HAVE JURISDICTION OF, and other statutes governing
campaigns, elections and related procedures.
S. 6615--A 82 A. 9715--A
2. Whenever the state board of elections or other board of elections
shall determine, on its own initiative or upon complaint, or otherwise,
that there is substantial reason to believe a violation of this chapter
or any code or regulation promulgated thereunder has occurred, it shall
expeditiously make an investigation which shall also include investi-
gation of reports and statements made or failed to be made by the
complainant and any political committee supporting his candidacy if the
complainant is a candidate or, if the complaint was made by an officer
or member of a political committee, of reports and statements made or
failed to be made by such political committee and any candidates
supported by it. The state board of elections, in lieu of making such an
investigation, may direct the appropriate board of elections to make an
investigation. The state board of elections may request, and shall
receive, the assistance of the state police in any investigation it
shall conduct.
3. If, after an investigation, the state or other board of elections
finds reasonable cause to believe that a violation warranting criminal
prosecution has taken place, it shall forthwith refer the matter to the
district attorney of the appropriate county and shall make available to
such district attorney all relevant papers, documents, testimony and
findings relevant to its investigation.
4. [The state or other board of elections may, where appropriate,
commence a judicial proceeding with respect to the filing or failure to
file any statement of receipts, expenditures, or contributions, under
the provisions of this chapter, and the state board of elections may
direct the appropriate other board of elections to commence such
proceeding.
5.] The state board of elections may promulgate rules and regulations
consistent with law to effectuate the provisions of this section.
S 5. Subdivision 1 of section 14-100 of the election law, as amended
by chapter 71 of the laws of 1988, is amended to read as follows:
1. "political committee" means any [corporation] BUSINESS ENTITY
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 candi-
date for public office or to aid or take part in the election or defeat
of a candidate for nomination at a primary election or convention,
including all proceedings prior to such primary election, or of a candi-
date 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 BUSINESS ENTITY, LABOR ORGANIZATION OR
ANY OTHER PERSON OR ENTITY WHICH MAKES NO EXPENDITURE TO AID OR TAKE
PART IN THE ELECTION OR DEFEAT OF A CANDIDATE, OTHER THAN IN THE FORM OF
CONTRIBUTIONS; 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 commit-
tee organized for the election of presidential or vice-presidential
candidates; provided, however, that a person or [corporation] BUSINESS
ENTITY making a contribution or contributions to a candidate or a poli-
tical committee which has filed pursuant to section 14-118 shall not, by
that fact alone, be deemed to be a political committee as herein
defined.
S. 6615--A 83 A. 9715--A
S 6. Paragraph 2 of subdivision 9 of section 14-100 of the election
law, as amended by chapter 70 of the laws of 1983, is amended and a new
subdivision 9-a is added to read as follows:
(2) any funds received by a political committee from another political
committee [to the extent such funds do not constitute a transfer] BY ANY
MEANS, INCLUDING BUT NOT LIMITED TO TRANSFERS,
9-A. "INTERMEDIARY" MEANS AN INDIVIDUAL, CORPORATION, PARTNERSHIP,
POLITICAL COMMITTEE, EMPLOYEE ORGANIZATION OR OTHER ENTITY WHICH:
(A) OTHER THAN IN THE REGULAR COURSE OF BUSINESS AS A POSTAL, DELIVERY
OR MESSENGER SERVICE, DELIVERS ANY CONTRIBUTION FROM ANOTHER PERSON OR
ENTITY TO A CANDIDATE OR AUTHORIZED COMMITTEE; OR
(B) SUCCESSFULLY SOLICITS CONTRIBUTIONS TO A CANDIDATE OR OTHER
AUTHORIZED COMMITTEE WHERE SUCH SOLICITATION IS KNOWN TO SUCH CANDIDATE
OR HIS OR HER AUTHORIZED COMMITTEE. FOR PURPOSES OF THIS PARAGRAPH, ONLY
PERSONS CLEARLY IDENTIFIED AS THE SOLICITOR OF A CONTRIBUTION TO THE
CANDIDATE OR HIS OR HER AUTHORIZED COMMITTEE SHALL BE PRESUMED TO BE
KNOWN TO SUCH CANDIDATE OR HIS OR HER AUTHORIZED COMMITTEE. "INTERME-
DIARY" SHALL NOT INCLUDE SPOUSES, DOMESTIC PARTNERS, PARENTS, CHILDREN
OR SIBLINGS OF THE PERSON MAKING SUCH CONTRIBUTION, OR ANY PAID OR
VOLUNTEER FULL-TIME CAMPAIGN WORKERS OR COMMERCIAL FUNDRAISING FIRMS
RETAINED BY THE CANDIDATE AND THE AGENTS THEREOF.
S 7. Subdivisions 1 and 3 of section 14-102 of the election law, as
amended by chapter 8 of the laws of 1978, subdivision 1 as redesignated
by chapter 9 of the laws of 1978 and subdivision 3 as renumbered by
chapter 70 of the laws of 1983, 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
COURSE OF A LENDER'S BUSINESS, AND FOR A NATURAL PERSON CONTRIBUTING TWO
HUNDRED DOLLARS OR MORE, THE NAME AND ADDRESS OF SUCH PERSON'S EMPLOYER,
AND THE BUSINESS ADDRESS OF EACH 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 commit-
tee, 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,
S. 6615--A 84 A. 9715--A
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 article.
3. The state [board of elections] GOVERNMENT ETHICS COMMISSION 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.
S 8. Subdivisions 4 and 5 of section 14-102 of the election law,
subdivision 4 as amended and subdivision 5 as added by chapter 406 of
the laws of 2005, are amended to read as follows:
4. Any committee which is required to file statements with [any board
of elections] THE STATE GOVERNMENT ETHICS COMMISSION 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 electronic reporting system prescribed by
[the state board of elections as set forth in subdivision nine-A of
section 3-102 of this chapter] SECTION SEVENTY-THREE-C OF THE PUBLIC
OFFICERS LAW. Notwithstanding the provisions of this subdivision, upon
the filing of a sworn statement by the treasurer of a political commit-
tee which states that such political committee does not have access to
the technology necessary to comply with the electronic filing require-
ments [of subdivision nine-A of section 3-102 of this chapter]
PRESCRIBED BY SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS LAW and
that filing by such means would constitute a substantial hardship for
such political committee, the state [board of elections] GOVERNMENT
ETHICS COMMISSION may issue an exemption from the electronic filing
requirements of this article.
[5. Any committee which is required to file statements pursuant to
this article with county boards of elections shall file in paper format
to the county board of elections or in electronic format if the legisla-
tive body of any county provides, by local law, an electronic filing
system and shall file such statements by electronic reporting process to
the state board of elections.]
S 9. Section 14-104 of the election law, as amended by chapter 430 of
the laws of 1997, subdivision 2 as amended and subdivision 3 as added by
chapter 406 of the laws of 2005, is amended to read as follows:
S 14-104. Statements of campaign receipts, contributions, transfers
and expenditures by and to candidates. 1. Any candidate for election to
public office, or for nomination for public office at a contested prima-
ry election or convention, or for election to a party position at a
primary election, 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 the particulars specified
by section 14-102 of this article, as to all moneys or other valuable
things, paid, given, expended or promised by him to aid his own nomi-
nation or election, or 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 candidate to be voted for at the election or primary
election or at a convention, including contributions to political
committees, officers, members or agents thereof, and transfers, receipts
and contributions to him to be used for any of the purposes above speci-
S. 6615--A 85 A. 9715--A
fied, or in lieu thereof, any such candidate may file such a sworn
statement at the first filing period, on a form prescribed by [the state
board of elections] SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS LAW
that such candidate has made no such expenditures and does not intend to
make any such expenditures, except through a political committee author-
ized 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 board of elections] THE STATE GOVERNMENT ETHICS COMMISSION and
which raises or spends or expects to raise or spend more than one thou-
sand dollars in any calendar year shall file all such statements pursu-
ant to the electronic reporting system prescribed by [the state board of
elections as set forth in subdivision nine-A of section 3-102 of this
chapter] SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS LAW. Notwith-
standing the provisions of this subdivision, upon the filing of a sworn
statement by the treasurer of a political committee authorized by a
candidate pursuant to this article which states that such committee does
not have access to the technology necessary to comply with the electron-
ic filing requirements [of subdivision nine-A of section 3-102 of this
chapter] PRESCRIBED BY SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS
LAW and that filing by such means would constitute a substantial hard-
ship for such committee, the state [board of elections] GOVERNMENT
ETHICS COMMISSION may issue an exemption from the electronic filing
requirements of this article.
[3. Any committee which is required to file statements pursuant to
this article with county boards of elections shall file in paper format
to the county board of elections or in electronic format if the legisla-
tive body of any county provides, by local law, an electronic filing
system and shall file such statements by electronic reporting process to
the state board of elections.]
S 10. Section 14-108 of the election law, subdivision 1 as amended by
chapter 955 of the laws of 1983, subdivision 2 as amended by chapter 109
of the laws of 1997, subdivisions 3, 4 and 6 as redesignated by chapter
9 of the laws of 1978, subdivision 5 as amended and subdivision 7 as
added by chapter 146 of the laws of 1994 and subdivision 6 as amended by
chapter 323 of the laws of 1977, is amended to read as follows:
S 14-108. Time for filing statements. 1. The statements required by
this article shall be filed at such times as the state [board of
elections] GOVERNMENT ETHICS COMMISSION, by rule or regulation, shall
specify; provided, however, that in no event shall the [board] STATE
GOVERNMENT ETHICS COMMISSION provide for fewer than three filings in the
aggregate in connection with any primary, 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 addition, the [board] STATE GOVERNMENT ETHICS
COMMISSION 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 business] 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 regulation
S. 6615--A 86 A. 9715--A
hereunder, to effect two filings within a period of five days, the state
[board of elections] GOVERNMENT ETHICS COMMISSION may, by rule or regu-
lation, 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
liabilities and disposition of all assets, such candidate or committee
shall file such additional statements as the [board] STATE GOVERNMENT
ETHICS COMMISSION shall, by rule or regulation provide until such a
final statement is filed.
2. Each statement shall cover the period up to and including the
fourth day next preceding the day specified for the filing thereof;
provided, however, that any contribution or loan in excess of one thou-
sand dollars, if received 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, in the same manner as other
contributions, within twenty-four hours after receipt.
3. Each statement shall be preserved by the officer with whom or the
[board] STATE GOVERNMENT ETHICS COMMISSION with which it is required to
be filed for a period of five years from the date of filing thereof.
4. Each statement shall constitute a part of the public records of
such officer or [board] STATE GOVERNMENT ETHICS COMMISSION and shall be
open to public inspection.
5. The state [board of elections or other board of elections, as the
case may be,] GOVERNMENT ETHICS COMMISSION shall not later than ten days
after the last day to file any such statement notify each person
required to file any such statement which has not been received by such
[board] COMMISSION by such tenth day in accordance with this article of
such person's failure to file such statement timely. Such notice shall
be in writing and mailed to the last known residence or business address
of such person by certified mail, return receipt requested. Failure to
file within five days of receipt of such notice shall constitute prima
facie evidence of a willful failure to file. If the person required to
file such statement is a treasurer who has stated that the committee has
been authorized by one or more candidates, a copy of such notice shall
be sent to each such candidate by first class mail. [A copy of any such
notice sent by a board of elections other than the state board of
elections shall be sent by such other board to the state board.]
6. A statement shall be deemed properly filed when deposited in an
established post-office within the prescribed time, duly stamped, certi-
fied and directed to the officer with whom or to the [board] STATE
GOVERNMENT ETHICS COMMISSION with which the statement is required to be
filed, 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 [board]
COMMISSION of its non-receipt; PROVIDED, HOWEVER, ALL STATEMENTS
REQUIRED TO BE FILED DURING THE PERIOD OF FIFTEEN DAYS BEFORE ANY
ELECTION SHALL BE FILED ELECTRONICALLY OR BY GUARANTEED OVERNIGHT DELIV-
ERY THROUGH THE UNITED STATES POSTAL SERVICE OR SOME OTHER OVERNIGHT
DELIVERY SERVICE.
7. On the twentieth day following the date by which such statements
were required to be filed, the state [board of elections] GOVERNMENT
ETHICS COMMISSION shall prepare and make available for public inspection
and distribution a list of those persons and committees from whom it has
not yet received such statement.
S 11. Section 14-110 of the election law, as amended by chapter 46 of
the laws of 1984, is amended to read as follows:
S. 6615--A 87 A. 9715--A
S 14-110. Place for filing statements. The places for filing the
statements required by this article shall be determined by rule or regu-
lation of the state [board of elections] GOVERNMENT ETHICS COMMISSION;
provided, however, that the statements of a candidate for election to
the office of governor, lieutenant governor, attorney general, comp-
troller, member of the legislature, delegate to a constitutional conven-
tion, justice of the supreme court or for nomination for any such office
at a primary election and of any committee aiding or taking part in the
designation, nomination, election or defeat of candidates for one or
more of such offices or promoting the success or defeat of a question to
be voted on by the voters of the entire state shall be filed with the
state [board of elections] GOVERNMENT ETHICS COMMISSION and in such
other places as the state [board of elections] GOVERNMENT ETHICS COMMIS-
SION may, by rule or regulation provide.
S 12. 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, either a
sworn verified statement by the treasurer of such committee AND THE
CANDIDATE that [the] SUCH candidate has authorized the political commit-
tee to aid or take part in his OR HER election or A SWORN VERIFIED
STATEMENT BY THE TREASURER OF SUCH COMMITTEE 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 ONE POLITICAL COMMITTEE FOR
ANY ONE ELECTION. ANY CANDIDATE WHO, ON DECEMBER FIRST, TWO THOUSAND
TEN, HAS AUTHORIZED MORE THAN ONE POLITICAL COMMITTEE FOR ANY ONE
ELECTION SHALL, NOT LATER THAN THIRTY DAYS AFTER SAID DATE, DISAVOW ALL
BUT ONE OF SUCH COMMITTEES, IN WRITING, TO THE STATE GOVERNMENT ETHICS
COMMISSION. 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. CAMPAIGN FUNDS REMAINING IN ANY DISAVOWED COMMITTEE SHALL BE
DISPOSED OF PURSUANT TO SECTION 14-132 OF THIS ARTICLE.
S 13. 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,
or for election to any party positions, and to all contributions to
political committees working directly or indirectly with any candidate
to aid or participate in such candidate's nomination or election, other
than any contributions to any party committee or constituted committee:
a. In any election for a public office to be voted on by the voters of
the entire state, or for nomination to any such office, no contributor
may make a contribution to any candidate 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 candidate's party in the state, excluding
voters in inactive status, multiplied by $.005, but such amount shall be
not less than four thousand dollars nor more than twelve thousand
dollars] EXCESS OF ONE THOUSAND DOLLARS as increased or decreased by the
cost of living adjustment described in paragraph c of this subdivision[,
S. 6615--A 88 A. 9715--A
and (ii) in the case of any election to a public office, twenty-five
thousand dollars as increased or decreased by the cost of living adjust-
ment described in paragraph c of this subdivision; provided however,
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].
b. 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 contribution to any candidate 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 election for party position, or for nomination to public
office, the product of the total number of enrolled voters in the candi-
date'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,] EXCESS OF ONE THOUSAND DOLLARS AS INCREASED OR
DECREASED BY THE COST OF LIVING ADJUSTMENT DESCRIBED IN PARAGRAPH C OF
THIS SUBDIVISION; however in the case of a nomination OR ELECTION within
the city of New York for the office of mayor, public advocate [or],
comptroller, BOROUGH PRESIDENT OR MEMBER OF THE CITY COUNCIL, 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 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] EQUAL TO THE CONTRIBUTION LIMITS SET FORTH IN PARA-
GRAPH (F) OF SUBDIVISION ONE OF SECTION 3-703 OF THE ADMINISTRATIVE CODE
OF THE CITY OF NEW YORK OR ANY SUCCESSOR PROVISION; PROVIDED HOWEVER in
the case of a nomination OR ELECTION for state senator, [four] ONE thou-
sand dollars as increased or decreased by the cost of living adjustment
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] A
nomination OR ELECTION for a member of the assembly, [twenty-five
hundred] ONE THOUSAND 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 maximum exceed fifty thousand 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
candidate'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
S. 6615--A 89 A. 9715--A
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].
c. At the beginning of each fourth calendar year, commencing in [nine-
teen hundred ninety-five] TWO THOUSAND TWELVE, the state [board] GOVERN-
MENT ETHICS COMMISSION 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 statis-
tics and such consumer price index published for the same month four
years previously. The amount of each contribution limit fixed in this
subdivision shall be adjusted by the amount of such percentage differ-
ence to the closest one hundred dollars by the state [board] GOVERNMENT
ETHICS COMMISSION 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 14. Subdivision 2 of section 14-114 of the election law, as redesig-
nated by chapter 9 of the laws of 1978, is amended to read as follows:
2. For purposes of this section, contributions other than of money
shall be evaluated at their fair market value. The state [board of
elections] GOVERNMENT ETHICS COMMISSION shall promulgate regulations,
consistent with law, governing the manner of computing fair market
value.
S 15. 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. Except as may otherwise be provided [for] BY a candidate [and
his family] FOR HIS OR HER OWN CAMPAIGN, no NATURAL person may contrib-
ute, loan or guarantee in excess of [one hundred fifty] TWENTY-FIVE
thousand dollars within the state OF NEW YORK IN ANY CALENDAR YEAR 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].
B. 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.
S 16. 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] ONE
thousand [five hundred] dollars per annum.
b. At the beginning of each fourth calendar year, commencing in [nine-
teen hundred ninety-five] TWO THOUSAND TWELVE, the state [board] GOVERN-
MENT ETHICS COMMISSION 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 statis-
tics and such consumer price index published for the same month four
years previously. The amount of such contribution limit fixed in para-
graph a of this subdivision shall be adjusted by the amount of such
percentage difference to the closest one hundred dollars by the state
S. 6615--A 90 A. 9715--A
[board] GOVERNMENT ETHICS COMMISSION 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 17. Section 14-116 of the election law, subdivision 1 as redesig-
nated by chapter 9 of the laws of 1978 and subdivision 2 as amended by
chapter 260 of the laws of 1981, is amended to read as follows:
S 14-116. Political contributions by certain organizations OR INDIVID-
UALS. 1. No corporation [or], joint-stock association, LIMITED LIABIL-
ITY COMPANY, PROFESSIONAL LIMITED LIABILITY COMPANY, PARTNERSHIP OR
LIMITED LIABILITY PARTNERSHIP doing business in this state, except [a
corporation or association] AN ENTITY organized or maintained for poli-
tical 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 organization, or for, or in aid of,
any [corporation, joint-stock or other association] ENTITY organized or
maintained for political purposes, or for, or in aid of, any candidate
for political office or for nomination for such office, or for any poli-
tical purpose whatever, or for the reimbursement or indemnification of
any person for moneys or property so used. Any officer, director, stock-
holder, MEMBER, PARTNER, attorney or agent of any corporation [or],
joint-stock association, LIMITED LIABILITY COMPANY, PROFESSIONAL LIMITED
LIABILITY COMPANY, PARTNERSHIP OR LIMITED LIABILITY 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 misdemeanor.
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.] CONTRIBUTION DELIV-
ERY ACTIVITIES BY AN INTERMEDIARY AS DEFINED IN THIS ARTICLE ARE PROHIB-
ITED, AND ANY PERSON WHO SOLICITS OR KNOWINGLY RECEIVES ANY MONEY OR
PROPERTY IN VIOLATION OF THIS SECTION, SHALL BE GUILTY OF A MISDEMEANOR.
S 18. Subdivision 1 of section 14-118 of the election law, as amended
by chapter 70 of the laws of 1983, is amended to read as follows:
1. Every political committee shall have a treasurer and a depository,
and shall cause the treasurer to keep detailed, bound accounts of all
receipts, transfers, loans, liabilities, contributions and expenditures,
made by the committee or any of its officers, members or agents acting
under its authority or in its behalf. All such accounts shall be
retained by a treasurer for a period of five years from the date of the
filing of the final statement with respect to the election, primary
election or convention to which they pertain. No officer, member or
agent of any political committee shall receive any receipt, transfer or
contribution, or make any expenditure or incur any liability until the
committee shall have chosen a treasurer and depository and filed their
names in accordance with this subdivision. There shall be filed in the
office in which the committee is required to file its statements under
section 14-110 of this article, within five days after the choice of a
S. 6615--A 91 A. 9715--A
treasurer and depository, a statement giving the name and address of the
treasurer chosen, the name and address of any person authorized to sign
checks by such treasurer, the name and address of the depository chosen
and the candidate or candidates or ballot proposal or proposals the
success or defeat of which the committee is to aid or take part;
provided, however, that such statement shall not be required of a
constituted committee [and provided further that a political committee
which makes no expenditures, to aid or take part in the election or
defeat of a candidate, other than in the form of contributions, shall
not be required to list the candidates being supported or opposed by
such committee]. SUCH A STATEMENT FROM ANY COMMITTEE OTHER THAN A PARTY
OR AUTHORIZED COMMITTEE ALSO SHALL CLEARLY IDENTIFY THE ECONOMIC OR
OTHER SPECIAL INTEREST, IF IDENTIFIABLE, OF A MAJORITY OF ITS CONTRIBU-
TORS, AND IF A MAJORITY OF ITS CONTRIBUTORS SHARE A COMMON EMPLOYER,
SHALL IDENTIFY SUCH EMPLOYER. IF THE ECONOMIC OR OTHER SPECIAL INTEREST
OR COMMON EMPLOYER ARE NOT IDENTIFIABLE, SUCH STATEMENT OF A MULTI-CAN-
DIDATE COMMITTEE SHALL CLEARLY IDENTIFY THE ECONOMIC OR OTHER SPECIAL
INTEREST, IF IDENTIFIABLE, OF A MAJORITY OF ITS ORGANIZERS, AND IF A
MAJORITY OF ITS ORGANIZERS SHARE A COMMON EMPLOYER, SHALL IDENTIFY SUCH
EMPLOYER, AND IF ORGANIZED, CONTROLLED OR MAINTAINED BY AN INDIVIDUAL,
SHALL IDENTIFY SUCH INDIVIDUAL. Such statement shall be signed by the
treasurer and all other persons authorized to sign checks. Any change in
the information required in any statement shall be reported, in an
amended statement filed in the same manner and in the same office as an
original statement filed under this section, within two days after it
occurs. Only a banking organization authorized to do business in this
state may be designated a depository hereunder.
S 18-a. Subdivision 2 of section 14-120 of the election law is
REPEALED.
S 19. Subdivision 2 of section 14-124 of the election law, as redesig-
nated by chapter 323 of the laws of 1977, is amended to read as follows:
2. The filing requirements and the expenditure, contribution and
receipt limits of this article shall not apply to any candidate or
committee who or which engages exclusively in activities on account of
which, pursuant to the laws of the United States, there is required to
be filed a statement or report of the campaign receipts, expenditures
and liabilities of such candidate or committee with an office or offi-
cers of the government of the United States, provided a copy of each
such statement or report is filed in the office of the state [board of
elections] GOVERNMENT ETHICS COMMISSION.
S 20. Subdivision 3 of section 14-124 of the election law is REPEALED.
S 21. 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] ASSESSED BY
THE STATE GOVERNMENT ETHICS COMMISSION IN ACCORDANCE WITH THE PROVISIONS
OF SUBDIVISION TWELVE OF SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS
LAW.
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
S. 6615--A 92 A. 9715--A
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 GOVERNMENT ETHICS COMMISSION 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) 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 GOVERNMENT ETHICS COMMISSION 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 22. Section 14-127 of the election law is REPEALED.
S 23. 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 THAT ARE DIRECTLY RELATED
TO PROMOTING THE NOMINATION OR ELECTION OF A CANDIDATE. 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 posi-
tion].
2. AS USED IN THIS SECTION, THE TERM "CAMPAIGN FUNDS" MEANS ANY FUNDS
RECEIVED BY A CANDIDATE OR POLITICAL COMMITTEE INCLUDING, BUT NOT LIMIT-
ED TO, CONTRIBUTIONS AND TRANSFERS FROM ANY SOURCE AND INTEREST RECEIVED
AS THE RESULT OF THE LOAN OR INVESTMENT OF SUCH FUNDS.
3. NO CAMPAIGN FUNDS SHALL BE USED TO PAY INTEREST OR ANY OTHER
FINANCE CHARGES UPON MONIES LOANED TO THE CAMPAIGN BY SUCH CANDIDATE OR
THE SPOUSE OF SUCH CANDIDATE.
4. NO CAMPAIGN FUND SHALL BE USED TO PAY ATTORNEY'S FEES OR ANY COSTS
OF DEFENDING AGAINST CIVIL OR CRIMINAL INVESTIGATION OR PROSECUTION FOR
ALLEGED VIOLATIONS OF STATE, FEDERAL 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.
5. (A) AS USED IN THIS SECTION, EXPENDITURES FOR "PERSONAL USE" ARE
DEFINED AS EXPENDITURES THAT:
S. 6615--A 93 A. 9715--A
(I) ARE FOR THE PERSONAL BENEFIT OF THE CANDIDATE OR ANY OTHER INDI-
VIDUAL;
(II) DEFRAY NORMAL LIVING EXPENSES OF THE CANDIDATE, IMMEDIATE FAMILY
OF THE CANDIDATE OR ANY OTHER INDIVIDUAL;
(III) ARE USED TO FULFILL ANY COMMITMENT, OBLIGATION OR EXPENSE OF A
PERSON THAT WOULD EXIST IRRESPECTIVE OF THE CANDIDATE'S ELECTION
CAMPAIGN INCLUDING, BUT NOT LIMITED TO, ANY EXPENSE INCURRED MORE THAN
THIRTY DAYS AFTER THE CANDIDATE CEASES TO BE A CANDIDATE; OR
(IV) ARE PUT TO ANY USE FOR WHICH THE CANDIDATE WOULD BE REQUIRED TO
TREAT THE AMOUNT OF THE EXPENDITURE AS GROSS INCOME UNDER SECTION 61 OF
THE INTERNAL REVENUE CODE, OR ANY SUBSEQUENT CORRESPONDING SECTION OF
THE INTERNAL REVENUE CODE.
(B) PROHIBITED EXPENDITURES FOR PERSONAL USE OF CAMPAIGN FUNDS SHALL
INCLUDE, BUT ARE NOT LIMITED TO, THE FOLLOWING:
(I) 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.
(II) 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;
(III) FUNERAL, CREMATION OR BURIAL EXPENSES, INCLUDING ANY EXPENSES
RELATED TO A DEATH WITHIN A CANDIDATE'S OR OFFICEHOLDER'S FAMILY;
(IV) CLOTHING, OR OTHER THAN ITEMS OF NOMINAL VALUE THAT ARE USED IN
THE CAMPAIGN;
(V) TUITION PAYMENTS;
(VI) CHILDCARE COSTS;
(VII) 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;
(VIII) SALARY PAYMENTS TO ANY PERSON FOR SERVICES THAT ARE NOT SOLELY
FOR CAMPAIGN PURPOSES;
(IX) SALARY PAYMENTS TO A MEMBER OF A CANDIDATE'S FAMILY, UNLESS THE
FAMILY MEMBER IS PROVIDING BONA FIDE SERVICES TO THE CAMPAIGN. IF A
FAMILY MEMBER PROVIDES BONA FIDE SERVICES TO A CAMPAIGN, ANY SALARY
PAYMENTS IN EXCESS OF THE FAIR MARKET VALUE OF THE SERVICES PROVIDED
SHALL BE CONSIDERED PAYMENTS FOR PERSONAL USE;
(X) ADMISSION TO A SPORTING EVENT, CONCERT, THEATER OR OTHER FORM OF
ENTERTAINMENT, UNLESS PART OF A SPECIFIC CAMPAIGN OR OFFICEHOLDER ACTIV-
ITY;
(XI) PAYMENT OF ANY FINES, FEES OR PENALTIES ASSESSED PURSUANT TO THIS
CHAPTER;
(XII) AUTOMOBILE PURCHASES;
(XIII) AUTOMOBILE LEASES;
(XIV) TRAVEL EXPENSES, UNLESS USED SOLELY FOR CAMPAIGN PURPOSES. IF A
CANDIDATE USES CAMPAIGN FUNDS TO PAY EXPENSES ASSOCIATED WITH TRAVEL
THAT INVOLVES BOTH PERSONAL ACTIVITIES AND CAMPAIGN ACTIVITIES, THE
INCREMENTAL EXPENSES THAT RESULT FROM THE PERSONAL ACTIVITIES SHALL BE
CONSIDERED FOR PERSONAL USE UNLESS THE PERSON OR PERSONS BENEFITING FROM
THE USE REIMBURSES THE CAMPAIGN ACCOUNT WITHIN THIRTY DAYS FOR THE FULL
AMOUNT OF THE INCREMENTAL EXPENSES; AND
(XV) ANY OTHER EXPENDITURES DESIGNATED BY THE STATE GOVERNMENT ETHICS
COMMISSION AS CONSTITUTING PERSONAL USE.
S. 6615--A 94 A. 9715--A
6. NOTHING IN THIS SECTION SHALL PROHIBIT A CANDIDATE FROM PURCHASING
EQUIPMENT OR PROPERTY FROM HIS PERSONAL FUNDS AND LEASING OR RENTING
SUCH EQUIPMENT OR PROPERTY TO A COMMITTEE WORKING DIRECTLY OR INDIRECTLY
WITH HIM TO AID OR PARTICIPATE IN HIS NOMINATION OR ELECTION, INCLUDING
AN EXPLORATORY COMMITTEE; PROVIDED THAT THE CANDIDATE AND HIS CAMPAIGN
TREASURER SIGN A WRITTEN LEASE OR RENTAL AGREEMENT. SUCH AGREEMENT SHALL
INCLUDE THE LEASE OR RENTAL PRICE, WHICH SHALL NOT EXCEED THE FAIR LEASE
OR RENTAL VALUE OF THE EQUIPMENT. THE CANDIDATE SHALL NOT RECEIVE LEASE
OR RENTAL PAYMENTS WHICH, IN THE AGGREGATE, EXCEED THE COST OF PURCHAS-
ING THE EQUIPMENT OR PROPERTY.
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 GOVERNMENT ETHICS COMMISSION
BOTH AN "AUTHORIZATION OR NON-AUTHORIZATION BY A CANDIDATE" FORM PURSU-
ANT TO SECTION 14-102 OF THIS ARTICLE AND A "COMMITTEE DESIGNATION OF
TREASURER AND DEPOSITORY" FORM PURSUANT TO SECTION 14-118 OF THIS ARTI-
CLE, BOTH OF WHICH INDICATE THE SPECIFIC OFFICE AND DISTRICT SOUGHT AND
THE YEAR OF THE ELECTION.
S 24. The election law is amended by adding a new section 14-132 to
read as follows:
S 14-132. DISPOSITION OF CAMPAIGN FUNDS. 1. A POLITICAL COMMITTEE
AIDING OR TAKING PART IN THE ELECTION OR NOMINATION OF ANY CANDIDATE,
OTHER THAN BY MAKING CONTRIBUTIONS, AUTHORIZED BY A CANDIDATE, MUST
DISPOSE OF ALL CAMPAIGN FUNDS AND CLOSE WITHIN TWO YEARS AFTER THE LATER
OF (A) THE END OF THE INDIVIDUAL'S MOST RECENT TERM OF OFFICE, OR (B)
THE DATE OF THE ELECTION IN WHICH THE INDIVIDUAL LAST WAS A FILED CANDI-
DATE.
2. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION ONE OF THIS SECTION,
A COMMITTEE DISAVOWED PURSUANT TO SECTION 14-112 OF THIS ARTICLE SHALL
DISPOSE OF ALL CAMPAIGN FUNDS NO LATER THAN DECEMBER THIRTY-FIRST, TWO
THOUSAND TEN.
3. ANY CANDIDATE COMMITTEE REQUIRED TO DISPOSE OF FUNDS PURSUANT TO
THIS SECTION SHALL, AT THE OPTION OF THE CANDIDATE, DISPOSE OF SUCH
FUNDS BY ANY OF THE FOLLOWING MEANS, OR ANY COMBINATION THEREOF:
(A) RETURNING, PRO RATA, TO EACH CONTRIBUTOR THE FUNDS THAT HAVE NOT
BEEN SPENT OR OBLIGATED;
(B) DONATING THE FUNDS TO A CHARITABLE ORGANIZATION OR ORGANIZATIONS
THAT MEET THE QUALIFICATIONS OF SECTION 501(C)(3) OF THE INTERNAL REVEN-
UE CODE;
(C) DONATING THE FUNDS TO THE STATE UNIVERSITY OF NEW YORK;
(D) DONATING THE FUNDS TO THE STATE'S GENERAL FUND;
(E) TRANSFERRING THE FUNDS TO A POLITICAL PARTY COMMITTEE REGISTERED
WITH THE STATE BOARD OF ELECTIONS; OR
(F) CONTRIBUTING THE FUNDS TO A CANDIDATE OR POLITICAL COMMITTEE SUCH
THAT THIS DOES NOT EXCEED THE LIMITS SET FORTH IN SECTION 14-114 OF THIS
ARTICLE.
4. NO POLITICAL COMMITTEE SHALL DISPOSE OF CAMPAIGN FUNDS BY MAKING
EXPENDITURES FOR PERSONAL USE AS DEFINED IN SECTION 14-130 OF THIS ARTI-
CLE.
S. 6615--A 95 A. 9715--A
5. UPON THE DEATH OF A CANDIDATE, FORMER CANDIDATE OR HOLDER OF ELEC-
TIVE OFFICE, WHO RECEIVED CAMPAIGN CONTRIBUTIONS, ALL CONTRIBUTIONS
SHALL BE DISPOSED OF ACCORDING TO THIS SECTION WITHIN TWELVE MONTHS OF
THE DEATH OF THE CANDIDATE.
S 25. 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 26. Section 16-114 of the election law, subdivisions 1, 2, 3 and 4
as redesignated by chapter 9 of the laws of 1978, is amended to read as
follows:
S 16-114. Proceedings to compel filing of statements or corrected
statements of campaign receipts, expenditures and contributions. 1. The
supreme court or a justice thereof, in a proceeding instituted by any
candidate voted for at the election or primary or by any five qualified
voters or by the state [or other board of elections] GOVERNMENT ETHICS
COMMISSION may compel by order, any person required to file a statement
of receipts, expenditures or contributions for campaign purposes, who
has not filed any such statement within the time prescribed by this
chapter, to file such statement within five days after notice of the
order.
2. The supreme court or a justice thereof, in a proceeding instituted
by any candidate voted for at the election or primary or by any five
qualified voters, or by the state [or other board of elections] GOVERN-
MENT ETHICS COMMISSION in accordance with the provision of this chapter
may compel by order any person required under the provisions of this
chapter to file a statement of receipts, expenditures or contributions
for campaign purposes, who has filed a statement which does not conform
to the requirements of this chapter in respect to its truth, sufficiency
in detail or otherwise, to file a new or supplemental statement which
shall make the statement or statements true and complete within five
days after notice of the order. The state [board of elections] GOVERN-
MENT ETHICS COMMISSION shall be a necessary party in any such proceed-
ing.
3. The supreme court or a justice thereof, in a proceeding instituted
by any candidate voted for at the election or primary or by any five
qualified voters, or by the state [or other board of elections] GOVERN-
MENT ETHICS COMMISSION may compel by order any person who has failed to
comply, or the members of any committee which has failed to comply, with
any of the provisions of this chapter, to comply therewith.
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
S. 6615--A 96 A. 9715--A
supreme court conditioned to pay any costs imposed against him or them;
provided, however, that no such undertaking shall be required in a
proceeding instituted by the state [or other board of elections] GOVERN-
MENT ETHICS COMMISSION.
S 27. 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 GOVERNMENT ETHICS
COMMISSION, 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 EVINCING AN INTENT TO VIOLATE SUCH LAW, HAS UNLAWFULLY (A)
ACCEPTED A MONETARY 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 POLITICAL 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 BEFORE THE STATE GOVERNMENT
ETHICS COMMISSION DISCOVERED SUCH 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 28. 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
S. 6615--A 97 A. 9715--A
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
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 29. Sections 14-100 through 14-130 of article 14 of the election law
are designated title 1 and a new title heading is added to read as
follows:
CAMPAIGN RECEIPTS AND EXPENDITURES
S 30. Article 14 of the election law is amended by adding a new title
2 to read as follows:
TITLE II
PUBLIC FINANCING
SECTION 14-200. DEFINITIONS.
14-202. ELIGIBILITY.
14-204. QUALIFIED CAMPAIGN EXPENDITURES.
14-206. OPTIONAL PUBLIC FINANCING.
14-208. CONTRIBUTION AND RECEIPT LIMITATIONS.
14-210. EXPENDITURE LIMITATIONS.
14-212. EXAMINATIONS AND AUDITS; REPAYMENTS.
14-214. CIVIL PENALTIES.
S 14-200. DEFINITIONS. AS USED IN THIS TITLE, UNLESS ANOTHER MEANING
IS CLEARLY INDICATED:
1. THE TERM "ETHICS COMMISSION" SHALL MEAN THE STATE GOVERNMENT ETHICS
COMMISSION.
2. THE TERM "ELIGIBLE CANDIDATE" SHALL MEAN A CANDIDATE FOR NOMINATION
OR ELECTION TO ANY OF THE OFFICES OF GOVERNOR, LIEUTENANT GOVERNOR,
COMPTROLLER, ATTORNEY GENERAL, MEMBER OF THE STATE LEGISLATURE, AT-LARGE
DELEGATE TO A CONSTITUTIONAL CONVENTION OR DISTRICT DELEGATE TO A
CONSTITUTIONAL CONVENTION.
3. THE TERM "PARTICIPATING COMMITTEE" SHALL MEAN A SINGLE POLITICAL
COMMITTEE WHICH A CANDIDATE CERTIFIES IS THE COMMITTEE THAT WILL SOLELY
BE USED TO PARTICIPATE IN THE PUBLIC FINANCING SYSTEM ESTABLISHED BY
THIS TITLE AFTER JANUARY FIRST OF THE YEAR IN WHICH THE PRIMARY, GENERAL
S. 6615--A 98 A. 9715--A
OR SPECIAL ELECTION IS HELD FOR THE PUBLIC OFFICE SOUGHT. A MULTI-CAN-
DIDATE COMMITTEE MAY NOT BE A PARTICIPATING COMMITTEE.
4. THE TERM "PARTICIPATING CANDIDATE" SHALL MEAN A CANDIDATE WHO IS
ELIGIBLE TO PARTICIPATE IN THE OPTIONAL PUBLIC FINANCING SYSTEM ESTAB-
LISHED BY THIS TITLE AND HAS ELECTED TO PARTICIPATE IN THE PUBLIC
FINANCING SYSTEM.
5. THE TERM "MATCHABLE CONTRIBUTIONS" SHALL MEAN THAT PORTION OF THE
AGGREGATE CONTRIBUTIONS MADE (A) IN THE CASE OF A PRIMARY OR GENERAL
ELECTION, AFTER JANUARY FIRST OF THE YEAR IN WHICH THE PRIMARY OR GENER-
AL ELECTION IS HELD FOR THE PUBLIC OFFICE SOUGHT OR (B) IN THE CASE OF A
SPECIAL ELECTION, WITHIN SIX MONTHS OF SUCH ELECTION BY NATURAL PERSONS
RESIDENT IN THE STATE OF NEW YORK TO A CANDIDATE FOR NOMINATION OR
ELECTION TO ANY OF THE OFFICES COVERED BY THE PROVISIONS OF THIS TITLE
WHICH DO NOT EXCEED TWO HUNDRED FIFTY DOLLARS, WHICH HAVE BEEN REPORTED
IN FULL BY THE CANDIDATE'S PARTICIPATING COMMITTEE TO THE ETHICS COMMIS-
SION, INCLUDING THE CONTRIBUTOR'S FULL NAME AND RESIDENTIAL ADDRESS.
"MATCHABLE CONTRIBUTIONS" SHALL BE THE NET AMOUNT OF ANY MONETARY
CONTRIBUTION REALIZED BY A CANDIDATE OR DESIGNATED COMMITTEE AFTER
DEDUCTING THE REASONABLE VALUE OF ANY GOODS OR SERVICES PROVIDED THE
CONTRIBUTOR IN CONNECTION WITH THE CONTRIBUTION, EXCEPT THAT CONTRIB-
UTIONS FROM ANY PERSON WHO HAS RECEIVED A PAYMENT OR ANYTHING OF VALUE
FROM SUCH COMMITTEE OR FROM A PERSON WHO IS AN OFFICER, DIRECTOR OR
EMPLOYEE OF, OR A PERSON WHO HAS A TEN PERCENT OR GREATER OWNERSHIP
INTEREST IN ANY ENTITY WHICH HAS RECEIVED SUCH A PAYMENT OR THING OF
VALUE SHALL NOT BE MATCHABLE. A LOAN MAY NOT BE TREATED AS A MATCHABLE
CONTRIBUTION.
6. THE TERM "QUALIFIED CAMPAIGN EXPENDITURE" SHALL MEAN AN EXPENDITURE
FOR WHICH PUBLIC FUNDS MAY BE USED.
7. THE TERM "THRESHOLD FOR ELIGIBILITY" SHALL MEAN THE AMOUNT OF TOTAL
MATCHABLE CONTRIBUTIONS THAT THE PARTICIPATING COMMITTEE OF AN OTHERWISE
ELIGIBLE CANDIDATE MUST RECEIVE, AS REQUIRED BY SECTION 14-202 OF THIS
TITLE, IN ORDER TO QUALIFY FOR OPTIONAL PUBLIC FINANCING PURSUANT TO
THIS TITLE.
8. THE TERM "CONTRIBUTION" SHALL HAVE THE SAME MEANING AS IN SUBDIVI-
SION NINE OF SECTION 14-100 OF THIS ARTICLE.
S 14-202. ELIGIBILITY. 1. TO BE ELIGIBLE FOR OPTIONAL PUBLIC FINANCING
UNDER THIS TITLE, A CANDIDATE FOR NOMINATION OR ELECTION MUST:
(A) MEET ALL THE REQUIREMENTS OF THIS CHAPTER AND OTHER PROVISIONS OF
LAW TO HAVE HIS OR HER NAME ON THE BALLOT;
(B) BE A CANDIDATE FOR STATEWIDE OFFICE, THE STATE LEGISLATURE OR
DELEGATE TO A CONSTITUTIONAL CONVENTION AT A PRIMARY, GENERAL OR SPECIAL
ELECTION AND MEET THE THRESHOLD FOR ELIGIBILITY SET FORTH IN SUBDIVISION
TWO OF THIS SECTION;
(C) ELECT TO PARTICIPATE IN THE PUBLIC FINANCING SYSTEM ESTABLISHED BY
THIS TITLE BY FILING A WRITTEN CERTIFICATION IN SUCH FORM AS MAY BE
PRESCRIBED BY THE ETHICS COMMISSION, WHICH SETS FORTH HIS OR HER ACCEPT-
ANCE OF AND AGREEMENT TO COMPLY WITH THE TERMS AND CONDITIONS FOR THE
PROVISIONS OF SUCH FUNDS, NOT LATER THAN SEVEN DAYS AFTER THE LAST DAY
TO FILE DESIGNATING PETITIONS FOR THE OFFICE SUCH CANDIDATE IS SEEKING
OR, IN THE CASE OF A SPECIAL ELECTION, NOT LATER THAN THE LAST DAY TO
FILE NOMINATING CERTIFICATES FOR SUCH OFFICE;
(D) AGREE TO OBTAIN AND FURNISH TO THE ETHICS COMMISSION ANY EVIDENCE
IT MAY REASONABLY REQUEST RELATING TO HIS OR HER CAMPAIGN EXPENDITURES
OR CONTRIBUTIONS AND FURNISH SUCH OTHER PROOF OF COMPLIANCE WITH THIS
TITLE AS MAY BE REQUESTED BY THE ETHICS COMMISSION;
S. 6615--A 99 A. 9715--A
(E) HAVE A SINGLE AUTHORIZED POLITICAL COMMITTEE WHICH HE OR SHE
CERTIFIES AS THE PARTICIPATING COMMITTEE FOR THE PURPOSES OF THIS TITLE;
AND
(F) AGREE TO IDENTIFY ACCURATELY IN ALL CAMPAIGN MATERIALS THE PERSON
OR ENTITY THAT PAID FOR SUCH CAMPAIGN MATERIAL.
2. THE THRESHOLD FOR ELIGIBILITY FOR PUBLIC FUNDING FOR CANDIDATES IN
A PRIMARY, GENERAL OR SPECIAL ELECTION FOR THE FOLLOWING OFFICES SHALL
BE:
(A) GOVERNOR IN A PRIMARY OR GENERAL ELECTION. NOT LESS THAN EIGHT
HUNDRED THOUSAND DOLLARS FROM AT LEAST EIGHT THOUSAND MATCHABLE CONTRIB-
UTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED FIFTY DOLLARS PER INDIVIDUAL
CONTRIBUTOR WHO RESIDES IN NEW YORK STATE.
(B) LIEUTENANT GOVERNOR IN A PRIMARY ELECTION AND COMPTROLLER OR
ATTORNEY GENERAL IN A PRIMARY OR GENERAL ELECTION. NOT LESS THAN FOUR
HUNDRED THOUSAND DOLLARS FROM AT LEAST FOUR THOUSAND MATCHABLE CONTRIB-
UTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED FIFTY DOLLARS PER INDIVIDUAL
CONTRIBUTOR WHO RESIDES IN NEW YORK STATE.
(C) MEMBERS OF THE STATE SENATE IN A PRIMARY, GENERAL OR SPECIAL
ELECTION. NOT LESS THAN TWENTY THOUSAND DOLLARS FROM AT LEAST TWO
HUNDRED MATCHABLE CONTRIBUTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED
FIFTY DOLLARS PER INDIVIDUAL CONTRIBUTOR WHO RESIDES IN THE SENATE
DISTRICT IN WHICH THE SEAT IS TO BE FILLED.
(D) MEMBERS OF THE ASSEMBLY IN A PRIMARY, GENERAL OR SPECIAL ELECTION.
NOT LESS THAN EIGHT THOUSAND DOLLARS FROM AT LEAST ONE HUNDRED MATCHABLE
CONTRIBUTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED FIFTY DOLLARS PER
INDIVIDUAL CONTRIBUTOR WHO RESIDES IN THE ASSEMBLY DISTRICT IN WHICH THE
SEAT IS TO BE FILLED.
(E) AT-LARGE DELEGATE TO A CONSTITUTIONAL CONVENTION IN A PRIMARY OR
GENERAL ELECTION. NOT LESS THAN TWENTY THOUSAND DOLLARS FROM AT LEAST
TWO HUNDRED MATCHABLE CONTRIBUTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED
FIFTY DOLLARS PER INDIVIDUAL CONTRIBUTOR WHO RESIDES IN NEW YORK STATE.
(F) DISTRICT DELEGATE TO A CONSTITUTIONAL CONVENTION IN A PRIMARY OR
GENERAL ELECTION. NOT LESS THAN FIVE THOUSAND DOLLARS FROM AT LEAST
FIFTY MATCHABLE CONTRIBUTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED FIFTY
DOLLARS PER INDIVIDUAL CONTRIBUTOR WHO RESIDES IN THE DISTRICT IN WHICH
THE SEAT IS TO BE FILLED.
3. IN ORDER TO BE ELIGIBLE TO RECEIVE PUBLIC FUNDS IN A PRIMARY
ELECTION A CANDIDATE MUST AGREE, BY FILING A WRITTEN CERTIFICATION IN
SUCH FORM AS MAY BE PRESCRIBED BY THE ETHICS COMMISSION, THAT IN THE
EVENT SUCH CANDIDATE IS A CANDIDATE FOR SUCH OFFICE IN THE GENERAL
ELECTION IN SUCH YEAR, THAT SUCH CANDIDATE WILL BE BOUND BY THE
PROVISIONS OF THIS TITLE, INCLUDING, BUT NOT LIMITED TO, THE RECEIPT AND
EXPENDITURE LIMITS OF THIS TITLE.
4. CANDIDATES WHO ARE CONTESTED IN A PRIMARY ELECTION AND WHO DO NOT
SEEK PUBLIC FUNDS SHALL NOT BE ELIGIBLE FOR PUBLIC FUNDS FOR THE GENERAL
ELECTION IN THAT YEAR. THE PROVISIONS OF THIS SUBDIVISION SHALL NOT
APPLY TO CANDIDATES FOR THE OFFICE OF LIEUTENANT GOVERNOR.
5. CANDIDATES WHO ARE UNOPPOSED IN A PRIMARY, GENERAL OR SPECIAL
ELECTION SHALL NOT BE ELIGIBLE TO RECEIVE PUBLIC FUNDS.
6. NO CANDIDATE FOR ELECTION TO AN OFFICE IN A PRIMARY, GENERAL OR
SPECIAL ELECTION WHO HAS ELECTED TO PARTICIPATE IN THE PUBLIC FINANCING
SYSTEM SHALL BE DEEMED OPPOSED AND RECEIVE PUBLIC FUNDS UNLESS AT LEAST
ONE OTHER CANDIDATE FOR SUCH OFFICE IN SUCH ELECTION WHO ALSO ELECTED TO
PARTICIPATE IN THE PUBLIC FINANCING SYSTEM, OR SUCH CANDIDATE'S COMMIT-
TEE, OR AT LEAST ONE OTHER CANDIDATE FOR SUCH OFFICE IN SUCH ELECTION
WHO HAS NOT ELECTED TO PARTICIPATE, OR SUCH CANDIDATE'S COMMITTEE, HAVE
S. 6615--A 100 A. 9715--A
EITHER SPENT, CONTRACTED OR OBLIGATED TO SPEND, OR HAVE CONTRIBUTED SUCH
CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR HAVE
RECEIVED IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING TEN PERCENT OF
THE EXPENDITURE LIMIT FOR SUCH OFFICE IN SUCH ELECTION WHICH IS FIXED BY
THIS TITLE FOR CANDIDATES WHO HAVE ELECTED TO ACCEPT SUCH PUBLIC FUNDS.
IF ANY CANDIDATE FOR AN OFFICE AND THE COMMITTEE OF SUCH CANDIDATE
REACHES THE THRESHOLD TO QUALIFY TO RECEIVE PUBLIC FUNDS, OR SPENDS,
CONTRACTS OR OBLIGATES TO SPEND, OR CONTRIBUTES SUCH CANDIDATE'S
PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR RECEIVES IN LOANS OR
CONTRIBUTIONS, AN AMOUNT EXCEEDING TEN PERCENT OF THE EXPENDITURE LIMIT
FOR SUCH OFFICE IN SUCH ELECTION AT ANY TIME AFTER THE FILING DEADLINE
FOR THE LAST REPORT REQUIRED TO BE FILED BEFORE THE FIRST DISTRIBUTION
OF PUBLIC FUNDS FOR SUCH ELECTION, SUCH CANDIDATE OR COMMITTEE MUST
NOTIFY THE ETHICS COMMISSION OF THAT FACT WITHIN TWENTY-FOUR HOURS IN
THE SAME MANNER AS PROVIDED IN SUBDIVISION TWO OF SECTION 14-108 OF THIS
ARTICLE.
S 14-204. QUALIFIED CAMPAIGN EXPENDITURES. 1. PUBLIC FUNDS PROVIDED
UNDER THE PROVISIONS OF THIS TITLE MAY ONLY BE USED FOR EXPENDITURES BY
THE PARTICIPATING COMMITTEE AUTHORIZED BY THE CANDIDATE TO MAKE EXPENDI-
TURES ON SUCH CANDIDATE'S BEHALF, TO FURTHER THE CANDIDATE'S NOMINATION
OR ELECTION AFTER JANUARY FIRST OF THE YEAR IN WHICH THE PRIMARY OR
GENERAL ELECTION IS HELD FOR THE OFFICE SOUGHT, FOR SERVICES, MATERIALS,
FACILITIES OR OTHER THINGS OF VALUE USED DURING THAT CAMPAIGN CYCLE OR,
IN THE CASE OF A SPECIAL ELECTION, FOR EXPENDITURES DURING THE PERIOD
COMMENCING THREE MONTHS BEFORE AND ENDING ONE MONTH AFTER SUCH SPECIAL
ELECTION. THE TOTAL OF ALL EXPENDITURES MADE BY THE CANDIDATE AND SUCH
CANDIDATE'S PARTICIPATING COMMITTEE, INCLUDING ALL PAYMENTS RECEIVED
FROM THE FUND, SHALL NOT EXCEED THE EXPENDITURE LIMITATIONS ESTABLISHED
IN SECTION 14-210 OF THIS TITLE, EXCEPT INSOFAR AS SUCH PAYMENTS ARE
MADE TO REPAY LOANS USED TO PAY CAMPAIGN EXPENDITURES.
2. SUCH PUBLIC FUNDS MAY NOT BE USED FOR:
(A) AN EXPENDITURE IN VIOLATION OF ANY LAW OF THE UNITED STATES OR OF
THIS STATE;
(B) PAYMENTS OR ANYTHING OF VALUE GIVEN OR MADE TO THE CANDIDATE, A
RELATIVE OF THE CANDIDATE, OR TO A BUSINESS ENTITY IN WHICH ANY SUCH
PERSON HAS A TEN PERCENT OR GREATER OWNERSHIP INTEREST OR OF WHICH ANY
SUCH PERSON IS AN OFFICER, DIRECTOR OR EMPLOYEE;
(C) PAYMENT IN EXCESS OF THE FAIR MARKET VALUE OF SERVICES, MATERIALS,
FACILITIES OR OTHER THINGS OF VALUE RECEIVED IN EXCHANGE;
(D) ANY EXPENDITURE MADE AFTER THE PARTICIPATING CANDIDATE, OR THE
ONLY REMAINING OPPONENT OF SUCH CANDIDATE, HAS BEEN DISQUALIFIED OR HAD
SUCH CANDIDATE'S PETITIONS DECLARED INVALID BY A BOARD OF ELECTIONS OR A
COURT OF COMPETENT JURISDICTION UNTIL AND UNLESS SUCH FINDING IS
REVERSED BY A HIGHER AUTHORITY.
(E) ANY EXPENDITURE MADE TO CHALLENGE THE VALIDITY OF ANY PETITION OF
DESIGNATION OR NOMINATION OR ANY CERTIFICATE OF NOMINATION, ACCEPTANCE,
AUTHORIZATION, DECLINATION OR SUBSTITUTION;
(F) EXPENDITURE FOR NONCAMPAIGN RELATED FOOD, DRINK OR ENTERTAINMENT;
AND
(G) GIFTS, EXCEPT BROCHURES, BUTTONS, SIGNS AND OTHER CAMPAIGN MATERI-
AL OF NOMINAL VALUE.
S 14-206. OPTIONAL PUBLIC FINANCING. 1. PARTICIPATING CANDIDATES FOR
NOMINATION OR ELECTION IN PRIMARY, GENERAL AND SPECIAL ELECTIONS MAY
OBTAIN PAYMENT TO A PARTICIPATING COMMITTEE FROM PUBLIC FUNDS FOR QUALI-
FIED CAMPAIGN EXPENDITURES. NO SUCH PUBLIC FUNDS SHALL BE PAID TO A
PARTICIPATING COMMITTEE UNTIL THE CANDIDATE HAS QUALIFIED TO APPEAR ON
S. 6615--A 101 A. 9715--A
THE BALLOT AND FILED A SWORN STATEMENT WITH THE ETHICS COMMISSION ELECT-
ING TO PARTICIPATE IN THE OPTIONAL PUBLIC FINANCING SYSTEM AND AGREEING
TO ABIDE BY THE REQUIREMENTS OF THIS TITLE. PAYMENTS SHALL NOT EXCEED
THE AMOUNTS SPECIFIED IN THIS TITLE, AND SHALL BE MADE ONLY IN ACCORD-
ANCE WITH THE PROVISIONS OF THIS TITLE. SUCH PAYMENTS MAY ONLY BE MADE
TO A PARTICIPATING CANDIDATE'S PARTICIPATING COMMITTEE. NO PUBLIC FUNDS
SHALL BE USED EXCEPT AS REIMBURSEMENT OR PAYMENT FOR QUALIFIED CAMPAIGN
EXPENDITURES ACTUALLY AND LAWFULLY INCURRED OR TO REPAY LOANS USED TO
PAY QUALIFIED CAMPAIGN EXPENDITURES.
2. THE PARTICIPATING COMMITTEE OF EACH PARTICIPATING CANDIDATE SHALL
BE ENTITLED TO FOUR DOLLARS IN PUBLIC FUNDS FOR EACH ONE DOLLAR OF
MATCHABLE CONTRIBUTIONS OBTAINED AND REPORTED TO THE ETHICS COMMISSION
IN ACCORDANCE WITH THE PROVISIONS OF THIS TITLE, PROVIDED, HOWEVER, SUCH
PUBLIC FUNDS SHALL ONLY BE USED FOR QUALIFIED CAMPAIGN EXPENDITURES.
3. (A) HOWEVER, IF ANY CANDIDATE IN ANY ELECTION FOR AN OFFICE FOR
WHICH PUBLIC FUNDS ARE AVAILABLE PURSUANT TO THE PROVISIONS OF THIS
TITLE, ELECTS NOT TO ACCEPT PUBLIC FUNDS AND SUCH CANDIDATE OR SUCH
CANDIDATE'S COMMITTEE EITHER SPENDS, CONTRACTS OR OBLIGATES TO SPEND, OR
CONTRIBUTES SUCH CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMIT-
TEE OR RECEIVES IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING THE
EXPENDITURE LIMIT FOR SUCH OFFICE, AS FIXED BY THIS TITLE FOR CANDIDATES
WHO HAVE ELECTED TO ACCEPT PUBLIC FUNDS, THEN (I) SUCH CANDIDATE OR
COMMITTEE MUST NOTIFY THE ETHICS COMMISSION OF THE FACT WITHIN
TWENTY-FOUR HOURS VIA THE INTERNET USING THE ELECTRONIC FILING SYSTEM
ESTABLISHED BY THE ETHICS COMMISSION, OR IF SUCH CANDIDATE DOES NOT FILE
ELECTRONICALLY VIA THE INTERNET, BY FACSIMILE OR OVERNIGHT MAIL; AND
(II) THE PARTICIPATING COMMITTEE OF EACH PARTICIPATING CANDIDATE FOR
SUCH OFFICE SHALL BE ENTITLED TO A GRANT OF PUBLIC FUNDS EQUAL TO TWEN-
TY-FIVE PERCENT OF THE TOTAL AMOUNT OF PUBLIC FUNDS RECEIVED BY THE
PARTICIPATING CANDIDATE FOR MATCHABLE CONTRIBUTIONS OBTAINED AND
REPORTED TO THE ETHICS COMMISSION. SUCH GRANT SHALL BE PAID WITHIN TWO
BUSINESS DAYS AND SHALL ONLY BE USED FOR QUALIFIED CAMPAIGN EXPENDI-
TURES.
(B) HOWEVER, IF ANY CANDIDATE IN ANY ELECTION FOR AN OFFICE FOR WHICH
PUBLIC FUNDS ARE AVAILABLE PURSUANT TO THE PROVISIONS OF THIS TITLE,
ELECTS NOT TO ACCEPT PUBLIC FUNDS AND SUCH CANDIDATE OR SUCH CANDIDATE'S
COMMITTEE EITHER SPENDS, CONTRACTS OR OBLIGATES TO SPEND, OR CONTRIBUTES
SUCH CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR
RECEIVES IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING THE TOTAL OF THE
EXPENDITURE LIMIT FOR SUCH OFFICE, AS FIXED BY THIS TITLE FOR CANDIDATES
WHO HAVE ELECTED TO ACCEPT PUBLIC FUNDS, PLUS THE TWENTY-FIVE PERCENT
GRANT ALREADY RECEIVED BY THE PARTICIPATING CANDIDATE, THEN (I) SUCH
CANDIDATE OR COMMITTEE MUST NOTIFY THE ETHICS COMMISSION OF THE FACT
WITHIN TWENTY-FOUR HOURS VIA THE INTERNET USING THE ELECTRONIC FILING
SYSTEM ESTABLISHED BY THE ETHICS COMMISSION, OR IF SUCH CANDIDATE DOES
NOT FILE ELECTRONICALLY VIA THE INTERNET, BY FACSIMILE OR OVERNIGHT
MAIL; AND (II) THE PARTICIPATING COMMITTEE OF EACH PARTICIPATING CANDI-
DATE FOR SUCH OFFICE SHALL BE ENTITLED TO AN ADDITIONAL GRANT OF PUBLIC
FUNDS EQUAL TO TWENTY-FIVE PERCENT OF THE TOTAL AMOUNT OF PUBLIC FUNDS
RECEIVED BY THE PARTICIPATING CANDIDATE FOR MATCHABLE CONTRIBUTIONS
OBTAINED AND REPORTED TO THE ETHICS COMMISSION. SUCH GRANT SHALL BE PAID
WITHIN TWO BUSINESS DAYS AND SHALL ONLY BE USED FOR QUALIFIED CAMPAIGN
EXPENDITURES.
(C) HOWEVER, IF ANY CANDIDATE IN ANY ELECTION FOR AN OFFICE FOR WHICH
PUBLIC FUNDS ARE AVAILABLE PURSUANT TO THE PROVISIONS OF THIS TITLE,
ELECTS NOT TO ACCEPT PUBLIC FUNDS AND SUCH CANDIDATE OR SUCH CANDIDATE'S
S. 6615--A 102 A. 9715--A
COMMITTEE EITHER SPENDS, CONTRACTS OR OBLIGATES TO SPEND, OR CONTRIBUTES
SUCH CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR
RECEIVES IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING THE TOTAL OF THE
EXPENDITURE LIMIT FOR SUCH OFFICE, AS FIXED BY THIS TITLE FOR CANDIDATES
WHO HAVE ELECTED TO ACCEPT PUBLIC FUNDS, PLUS THE FIFTY PERCENT TOTAL
AGGREGATE GRANT ALREADY RECEIVED BY THE PARTICIPATING CANDIDATE, THEN
(I) SUCH CANDIDATE OR COMMITTEE MUST NOTIFY THE ETHICS COMMISSION OF THE
FACT WITHIN TWENTY-FOUR HOURS VIA THE INTERNET USING THE ELECTRONIC
FILING SYSTEM ESTABLISHED BY THE ETHICS COMMISSION, OR IF SUCH CANDIDATE
DOES NOT FILE ELECTRONICALLY VIA THE INTERNET, BY FACSIMILE OR OVERNIGHT
MAIL; AND (II) THE PARTICIPATING COMMITTEE OF EACH PARTICIPATING CANDI-
DATE FOR SUCH OFFICE SHALL BE ENTITLED TO AN ADDITIONAL GRANT OF PUBLIC
FUNDS EQUAL TO TWENTY-FIVE PERCENT OF THE TOTAL AMOUNT OF PUBLIC FUNDS
RECEIVED BY THE PARTICIPATING CANDIDATE FOR MATCHABLE CONTRIBUTIONS
OBTAINED AND REPORTED TO THE ETHICS COMMISSION. SUCH GRANT SHALL BE
PAID WITHIN TWO BUSINESS DAYS AND SHALL ONLY BE USED FOR QUALIFIED
CAMPAIGN EXPENDITURES.
(D) HOWEVER, IF ANY CANDIDATE IN ANY ELECTION FOR AN OFFICE FOR WHICH
PUBLIC FUNDS ARE AVAILABLE PURSUANT TO THE PROVISIONS OF THIS TITLE,
ELECTS NOT TO ACCEPT PUBLIC FUNDS AND SUCH CANDIDATE OR SUCH CANDIDATE'S
COMMITTEE EITHER SPENDS, CONTRACTS OR OBLIGATES TO SPEND, OR CONTRIBUTES
SUCH CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR
RECEIVES IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING THE TOTAL OF THE
EXPENDITURE LIMIT FOR SUCH OFFICE, AS FIXED BY THIS TITLE FOR CANDIDATES
WHO HAVE ELECTED TO ACCEPT PUBLIC FUNDS, PLUS THE SEVENTY-FIVE PERCENT
TOTAL AGGREGATE GRANT ALREADY RECEIVED BY THE PARTICIPATING CANDIDATE,
THEN (I) SUCH CANDIDATE OR COMMITTEE MUST NOTIFY THE ETHICS COMMISSION
OF THE FACT WITHIN TWENTY-FOUR HOURS VIA THE INTERNET USING THE ELEC-
TRONIC FILING SYSTEM ESTABLISHED BY THE ETHICS COMMISSION, OR IF SUCH
CANDIDATE DOES NOT FILE ELECTRONICALLY VIA THE INTERNET, BY FACSIMILE OR
OVERNIGHT MAIL; AND (II) THE PARTICIPATING COMMITTEE OF EACH PARTICIPAT-
ING CANDIDATE FOR SUCH OFFICE SHALL BE ENTITLED TO AN ADDITIONAL GRANT
OF PUBLIC FUNDS EQUAL TO TWENTY-FIVE PERCENT OF THE TOTAL AMOUNT OF
PUBLIC FUNDS RECEIVED BY THE PARTICIPATING CANDIDATE FOR MATCHABLE
CONTRIBUTIONS OBTAINED AND REPORTED TO THE ETHICS COMMISSION. SUCH
GRANT SHALL BE PAID WITHIN TWO BUSINESS DAYS AND MAY ONLY BE USED FOR
QUALIFIED CAMPAIGN EXPENDITURES.
4. NO PARTICIPATING CANDIDATE FOR NOMINATION FOR AN OFFICE WHO IS
UNOPPOSED IN A PRIMARY ELECTION SHALL BE ENTITLED TO PAYMENT FROM THE
FUND FOR QUALIFIED CAMPAIGN EXPENDITURES.
5. THE ETHICS COMMISSION SHALL PROMPTLY EXAMINE ALL REPORTS OF
CONTRIBUTIONS TO DETERMINE WHETHER, ON THEIR FACE, THEY MEET THE
REQUIREMENTS FOR MATCHABLE CONTRIBUTIONS, AND SHALL KEEP A RECORD OF
SUCH CONTRIBUTIONS.
6. THE ETHICS COMMISSION SHALL PROMULGATE REGULATIONS FOR THE CERTIF-
ICATION OF THE AMOUNT OF FUNDS PAYABLE TO A PARTICIPATING CANDIDATE THAT
HAS QUALIFIED TO RECEIVE SUCH PAYMENT. THESE REGULATIONS SHALL INCLUDE
THE PROMULGATION AND DISTRIBUTION OF FORMS ON WHICH CONTRIBUTIONS AND
EXPENDITURES ARE TO BE REPORTED, THE PERIODS DURING WHICH SUCH REPORTS
MUST BE FILED AND THE VERIFICATION REQUIRED. THE ETHICS COMMISSION SHALL
INSTITUTE PROCEDURES WHICH WILL MAKE POSSIBLE PAYMENT FROM THE FUND
WITHIN FOUR BUSINESS DAYS AFTER RECEIPT OF THE REQUIRED FORMS AND
VERIFICATIONS.
S 14-208. CONTRIBUTION AND RECEIPT LIMITATIONS. 1. IN ANY PRIMARY,
SPECIAL OR GENERAL ELECTION FOR ANY STATEWIDE OFFICE, STATE LEGISLATIVE
OFFICE OR CONSTITUTIONAL CONVENTION DELEGATE NO CONTRIBUTOR MAY MAKE A
S. 6615--A 103 A. 9715--A
CONTRIBUTION TO ANY PARTICIPATING CANDIDATE OR SUCH CANDIDATE'S PARTIC-
IPATING COMMITTEE, AND NO PARTICIPATING CANDIDATE OR PARTICIPATING
COMMITTEE MAY ACCEPT ANY CONTRIBUTION FROM ANY CONTRIBUTOR WHICH, IN THE
AGGREGATE AMOUNT, IS GREATER THAN TWO HUNDRED FIFTY DOLLARS.
2. A PARTICIPATING CANDIDATE FOR A PUBLIC OFFICE FOR WHICH PUBLIC
FUNDS ARE AVAILABLE PURSUANT TO THIS TITLE SHALL NOT ACCEPT ANY CONTRIB-
UTIONS ANY EARLIER THAN ONE DAY AFTER THE PREVIOUS GENERAL ELECTION FOR
THE OFFICE WHICH SUCH CANDIDATE IS SEEKING, OR ANY LATER THAN THE DAY OF
THE GENERAL ELECTION FOR THE OFFICE SOUGHT. CONTRIBUTIONS TO A PARTIC-
IPATING CANDIDATE OR PARTICIPATING COMMITTEE WHICH WERE RECEIVED BEFORE
JANUARY FIRST OF THE YEAR IN WHICH THE PRIMARY OR GENERAL ELECTION IS
HELD FOR THE PUBLIC OFFICE SOUGHT OR, IN THE CASE OF A SPECIAL ELECTION
RECEIVED MORE THAN SIX MONTHS BEFORE THE SPECIAL ELECTION, MAY NOT BE
EXPENDED IN ANY ELECTION FOR ANY SUCH OFFICE.
3. EXCEPT FOR THE LIMITATIONS SPECIFICALLY SET FORTH IN THIS SECTION,
PARTICIPATING CANDIDATES SHALL BE SUBJECT TO THE PROVISIONS OF THIS
ARTICLE.
S 14-210. EXPENDITURE LIMITATIONS. THE FOLLOWING EXPENDITURE LIMITA-
TIONS APPLY TO ALL EXPENDITURES BY PARTICIPATING CANDIDATES AND THEIR
PARTICIPATING COMMITTEES RECEIVING PUBLIC FUNDS PURSUANT TO THE
PROVISIONS OF THIS TITLE:
1. (A) IN ANY PRIMARY ELECTION, EXPENDITURES BY PARTICIPATING CANDI-
DATES AND BY THEIR PARTICIPATING COMMITTEES SHALL NOT EXCEED:
(I) FOR GOVERNOR, THE SUM OF ONE DOLLAR AND TEN CENTS FOR EACH VOTER
ENROLLED IN THE CANDIDATE'S PARTY IN THE STATE; PROVIDED, HOWEVER, SUCH
SUM SHALL NOT BE LESS THAN EIGHT HUNDRED THOUSAND DOLLARS NOR MORE THAN
EIGHT MILLION DOLLARS;
(II) FOR LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY GENERAL, THE SUM
OF ONE DOLLAR AND TEN CENTS FOR EACH VOTER ENROLLED IN THE CANDIDATE'S
PARTY IN THE STATE; PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS THAN
FIVE HUNDRED THOUSAND DOLLARS NOR MORE THAN FIVE MILLION DOLLARS;
(III) FOR SENATOR, THE SUM OF TWO DOLLARS AND FIFTY CENTS FOR EACH
VOTER ENROLLED IN THE CANDIDATE'S PARTY IN THE SENATE DISTRICT;
PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS THAN TWENTY THOUSAND
DOLLARS NOR MORE THAN TWO HUNDRED THOUSAND DOLLARS;
(IV) FOR MEMBER OF THE ASSEMBLY, THE SUM OF TWO DOLLARS AND FIFTY
CENTS FOR EACH VOTER ENROLLED IN THE CANDIDATE'S PARTY IN THE ASSEMBLY
DISTRICT; PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS THAN EIGHT THOU-
SAND DOLLARS NOR MORE THAN EIGHTY THOUSAND DOLLARS;
(V) FOR AT-LARGE DELEGATE TO A CONSTITUTIONAL CONVENTION, THE SUM OF
FIFTEEN CENTS FOR EACH VOTER ENROLLED IN THE CANDIDATE'S PARTY IN THE
STATE; PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS THAN SEVENTY-FIVE
THOUSAND DOLLARS NOR MORE THAN ONE HUNDRED SEVENTY-FIVE THOUSAND
DOLLARS;
(VI) FOR DISTRICT DELEGATES TO A CONSTITUTIONAL CONVENTION, THE SUM OF
ONE DOLLAR AND TEN CENTS FOR EACH VOTER ENROLLED IN THE CANDIDATE'S
PARTY IN THE DISTRICT; PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS
THAN FIVE THOUSAND DOLLARS NOR MORE THAN FIFTY THOUSAND DOLLARS;
(B) THE ENROLLMENT NUMBERS USED TO CALCULATE THE EXPENDITURE LIMITS
PROVIDED FOR IN THIS SUBDIVISION SHALL BE THE ENROLLMENTS DULY REPORTED
BY THE APPROPRIATE BOARD OR BOARDS OF ELECTION AS OF THE LAST GENERAL
ELECTION PRECEDING THE PRIMARY ELECTION.
2. IN ANY GENERAL OR SPECIAL ELECTION, EXPENDITURES BY PARTICIPATING
CANDIDATES FOR THE FOLLOWING OFFICES AND BY THEIR PARTICIPATING COMMIT-
TEES SHALL NOT EXCEED THE FOLLOWING AMOUNTS:
CANDIDATES FOR ELECTION TO THE OFFICE OF:
S. 6615--A 104 A. 9715--A
GOVERNOR AND LIEUTENANT GOVERNOR (COMBINED) $12,000,000
ATTORNEY GENERAL $8,000,000
COMPTROLLER $8,000,000
MEMBER OF SENATE $300,000
MEMBER OF ASSEMBLY $125,000
DELEGATE AT-LARGE TO A CONSTITUTIONAL CONVENTION $300,000
DISTRICT DELEGATE TO A CONSTITUTIONAL CONVENTION $75,000
3. EXPENDITURES FOR LEGAL FEES AND REASONABLE EXPENSES TO DEFEND THE
VALIDITY OF PETITIONS OF DESIGNATION OR NOMINATION OR CERTIFICATES OF
NOMINATION, ACCEPTANCE, AUTHORIZATION, DECLINATION OR SUBSTITUTION, OR
TO SUCCESSFULLY CHALLENGE ANY SUCH PETITION OR CERTIFICATE ON GROUNDS OF
FRAUD, OR FOR EXPENSES INCURRED TO COMPLY WITH THE CAMPAIGN FINANCE
REPORTING REQUIREMENTS OF THIS ARTICLE, SHALL NOT BE SUBJECT TO THE
EXPENDITURE LIMITS OF THIS SUBDIVISION.
4. MONIES OF THE PUBLIC FINANCING SYSTEM, FOLLOWING APPROPRIATION BY
THE LEGISLATURE, MAY BE EXPENDED FOR THE PURPOSE OF MAKING PAYMENTS TO
CANDIDATES PURSUANT TO TITLE II OF ARTICLE FOURTEEN OF THE ELECTION LAW.
MONIES SHALL BE PAID OUT BY THE ETHICS COMMISSION ON VOUCHERS CERTIFIED
OR APPROVED BY THE ETHICS COMMISSION, OR ITS DULY DESIGNATED REPRESEN-
TATIVE, IN THE MANNER PRESCRIBED BY LAW, NOT MORE THAN FOUR WORKING DAYS
AFTER SUCH VOUCHER IS RECEIVED.
5. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A
PRIMARY ELECTION ANY EARLIER THAN THE DAY THAT SUCH CANDIDATE IS CERTI-
FIED AS BEING ON THE BALLOT FOR SUCH PRIMARY ELECTION.
6. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A
GENERAL ELECTION ANY EARLIER THAN THE DAY AFTER THE DAY OF THE PRIMARY
ELECTION HELD TO NOMINATE CANDIDATES FOR SUCH ELECTION.
7. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A
SPECIAL ELECTION ANY EARLIER THAN THE DAY AFTER THE LAST DAY TO FILE
CERTIFICATES OF PARTY NOMINATION FOR SUCH SPECIAL ELECTION.
8. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATE WHO
HAS BEEN DISQUALIFIED OR WHOSE DESIGNATING PETITIONS HAVE BEEN DECLARED
INVALID BY THE APPROPRIATE BOARD OF ELECTIONS OR A COURT OF COMPETENT
JURISDICTION UNTIL AND UNLESS SUCH FINDING IS REVERSED BY A HIGHER
AUTHORITY. NO PAYMENT FROM THE FUND IN THE POSSESSION OF SUCH A CANDI-
DATE OR SUCH CANDIDATE'S PARTICIPATING COMMITTEE ON THE DATE OF SUCH
DISQUALIFICATION OR INVALIDATION MAY THEREAFTER BE EXPENDED FOR ANY
PURPOSE EXCEPT THE PAYMENT OF LIABILITIES INCURRED BEFORE SUCH DATE. ALL
SUCH MONEYS SHALL BE REPAID TO THE FUND.
S 14-212. EXAMINATIONS AND AUDITS; REPAYMENTS; REPORT. 1. THE ETHICS
COMMISSION SHALL HAVE THE POWER TO AUDIT AND EXAMINE ALL MATTERS RELAT-
ING TO THE PROPER ADMINISTRATION OF THIS ARTICLE. THE ETHICS COMMISSION
SHALL PROMULGATE RULES AND REGULATIONS REGARDING WHAT DOCUMENTATION IS
SUFFICIENT IN DEMONSTRATING FINANCIAL ACTIVITY AND THE METHOD OF
CONDUCTING AUDITS, INCLUDING REAL TIME AUDITS. THESE AUDIT AND EXAMINA-
TION POWERS EXTEND TO ALL PARTICIPATING CANDIDATES AND NON-PARTICIPATING
CANDIDATES, AND THE AUTHORIZED COMMITTEES OF ALL PARTICIPATING AND NON-
PARTICIPATING CANDIDATES.
2. (A) IF THE ETHICS COMMISSION DETERMINES THAT ANY PORTION OF THE
PAYMENT MADE TO A PARTICIPATING COMMITTEE WAS IN EXCESS OF THE AGGREGATE
AMOUNT OF PAYMENTS TO WHICH SUCH ELIGIBLE CANDIDATE WAS ENTITLED PURSU-
ANT TO SECTION 14-206 OF THIS TITLE, IT SHALL NOTIFY SUCH COMMITTEE OF
THE EXCESS AMOUNT AND SUCH COMMITTEE SHALL PAY TO THE ETHICS COMMISSION
AN AMOUNT EQUAL TO THE AMOUNT OF EXCESS PAYMENTS.
(B) IF THE ETHICS COMMISSION DETERMINES THAT ANY AMOUNT OF PAYMENT
MADE TO A PARTICIPATING COMMITTEE WAS USED FOR PURPOSES OTHER THAN TO
S. 6615--A 105 A. 9715--A
DEFRAY QUALIFIED CAMPAIGN EXPENSES, IT SHALL NOTIFY SUCH PARTICIPATING
COMMITTEE OF THE AMOUNT DISQUALIFIED AND SUCH PARTICIPATING COMMITTEE
SHALL PAY TO THE ETHICS COMMISSION AN AMOUNT EQUAL TO SUCH DISQUALIFIED
AMOUNT.
(C) IF THE TOTAL OF CONTRIBUTIONS AND PAYMENTS RECEIVED BY ANY PARTIC-
IPATING CANDIDATE AND SUCH CANDIDATE'S PARTICIPATING COMMITTEE, EXCEEDS
THE CAMPAIGN EXPENDITURES OF SUCH CANDIDATE AND COMMITTEE, SUCH CANDI-
DATE AND COMMITTEE SHALL USE SUCH EXCESS FUNDS TO REIMBURSE THE ETHICS
COMMISSION FOR PAYMENTS RECEIVED BY SUCH COMMITTEE, UP TO THE AMOUNT OF
PUBLIC FUNDS RECEIVED BY SUCH PARTICIPATING CANDIDATE, NOT LATER THAN
TEN DAYS AFTER ALL PERMISSIBLE LIABILITIES HAVE BEEN PAID AND IN ANY
EVENT, NOT LATER THAN MARCH THIRTY-FIRST OF THE YEAR FOLLOWING THE YEAR
OF THE ELECTION FOR WHICH SUCH PAYMENTS WERE INTENDED. NO SUCH EXCESS
FUNDS SHALL BE USED FOR ANY OTHER PURPOSE.
3. IF A COURT OF COMPETENT JURISDICTION DISQUALIFIES A CANDIDATE WHOSE
PARTICIPATING COMMITTEE HAS RECEIVED PUBLIC FUNDS ON THE GROUNDS THAT
SUCH CANDIDATE COMMITTED FRAUDULENT ACTS IN ORDER TO OBTAIN A PLACE ON
THE BALLOT AND SUCH DECISION IS NOT REVERSED BY A HIGHER COURT, SUCH
CANDIDATE AND SUCH CANDIDATE'S PARTICIPATING COMMITTEE SHALL PAY TO THE
ETHICS COMMISSION AN AMOUNT EQUAL TO THE TOTAL OF PUBLIC FUNDS RECEIVED
BY SUCH PARTICIPATING COMMITTEE.
4. THE ETHICS COMMISSION MUST PROVIDE WRITTEN NOTICE OF ALL PAYMENTS
DUE FROM A PARTICIPATING CANDIDATE OR SUCH CANDIDATE'S COMMITTEE TO THE
ETHICS COMMISSION AND PROVIDE AN OPPORTUNITY FOR THE CANDIDATE OR
COMMITTEE TO REBUT, IN WHOLE OR IN PART, THE ALLEGED AMOUNT DUE. UPON A
FINAL WRITTEN DETERMINATION BY THE ETHICS COMMISSION, THE AMOUNT DUE
SHALL BE PAID TO THE ETHICS COMMISSION WITHIN THIRTY DAYS OF SUCH DETER-
MINATION.
5. THE ETHICS COMMISSION SHALL REVIEW THE IMPLEMENTATION OF PUBLIC
FINANCING UNDER THIS ARTICLE AND REPORT TO THE GOVERNOR AND THE LEGISLA-
TURE ON JANUARY FIRST, TWO THOUSAND THIRTEEN. THE REPORT SHALL INCLUDE
BUT NOT BE LIMITED TO: (A) THE NUMBER OF CANDIDATES QUALIFYING AND
OPTING FOR PUBLIC FINANCING, THE AMOUNTS EXPENDED FOR THIS PURPOSE IN
THE PRECEDING FISCAL YEAR AND A PROJECTION OF THE NUMBER OF CANDIDATES
LIKELY TO QUALIFY AND OPT FOR PUBLIC FINANCING AND THEIR EXPENDITURES IN
FUTURE ELECTIONS; (B) AN ANALYSIS OF THE EFFECT OF PUBLIC FINANCING ON
POLITICAL CAMPAIGNS, INCLUDING ITS EFFECT ON THE SOURCES AND AMOUNTS OF
PRIVATE FINANCING, THE LEVEL OF CAMPAIGN EXPENDITURES, VOTER PARTIC-
IPATION, THE NUMBER OF CANDIDATES AND THE CANDIDATE'S ABILITY TO
CAMPAIGN EFFECTIVELY FOR PUBLIC OFFICE; (C) A REVIEW OF THE PROCEDURES
UTILIZED IN PROVIDING PUBLIC FUNDS TO CANDIDATES; AND (D) SUCH RECOM-
MENDED CHANGES IN PUBLIC FINANCING UNDER THIS ARTICLE AS IT DEEMS APPRO-
PRIATE.
S 14-214. CIVIL PENALTIES. 1. ANY PERSON WHO FAILS TO FILE A STATEMENT
OR RECORD REQUIRED TO BE FILED BY THIS TITLE OR THE RULES OR REGULATIONS
OF THE ETHICS COMMISSION IN IMPLEMENTATION THEREOF SHALL BE SUBJECT TO A
CIVIL PENALTY, NOT IN EXCESS OF TEN THOUSAND DOLLARS, TO BE RECOVERABLE
IN A SPECIAL PROCEEDING OR CIVIL ACTION BROUGHT BY THE ETHICS COMMIS-
SION.
2. IF THE AGGREGATE AMOUNT OF EXPENDITURES BY A PARTICIPATING CANDI-
DATE AND SUCH CANDIDATE'S PARTICIPATING COMMITTEE EXCEEDS THE EXPENDI-
TURE LIMITATIONS CONTAINED IN THIS TITLE SUCH PARTICIPATING CANDIDATE
SHALL BE LIABLE FOR A CIVIL PENALTY IN AN AMOUNT EQUAL TO THREE TIMES
THE SUM BY WHICH SUCH EXPENDITURES EXCEED THE PERMITTED AMOUNT, TO BE
RECOVERABLE IN A SPECIAL PROCEEDING OR CIVIL ACTION BROUGHT BY THE
ETHICS COMMISSION.
S. 6615--A 106 A. 9715--A
S 31. The election law is amended by adding a new section 16-103 to
read as follows:
S 16-103. PROCEEDINGS AS TO PUBLIC FINANCING. 1. THE DETERMINATION OF
ELIGIBILITY PURSUANT TO SECTION 14-202 OF THIS CHAPTER AND ANY QUESTION
OR ISSUE RELATING TO PAYMENTS FOR QUALIFIED CAMPAIGN EXPENDITURES PURSU-
ANT TO SECTION 14-206 OF THIS CHAPTER MAY BE CONTESTED IN A PROCEEDING
INSTITUTED IN THE SUPREME COURT, ALBANY COUNTY, BY ANY AGGRIEVED CANDI-
DATE.
2. A PROCEEDING WITH RESPECT TO SUCH A DETERMINATION OF ELIGIBILITY OR
PAYMENT FOR QUALIFIED CAMPAIGN EXPENDITURES PURSUANT TO SECTION 14-206
OF THIS CHAPTER SHALL BE INSTITUTED WITHIN SEVEN DAYS AFTER SUCH DETER-
MINATION WAS MADE. THE ETHICS COMMISSION SHALL BE MADE A PARTY TO ANY
SUCH PROCEEDING.
3. UPON THE ETHICS COMMISSION'S FAILURE TO RECEIVE THE AMOUNT DUE FROM
A PARTICIPATING CANDIDATE OR SUCH CANDIDATE'S COMMITTEE AFTER THE ISSU-
ANCE OF WRITTEN NOTICE OF SUCH AMOUNT DUE, AS REQUIRED BY SUBDIVISION
FOUR OF SECTION 14-212 OF THIS CHAPTER, THE ETHICS COMMISSION IS AUTHOR-
IZED TO INSTITUTE A SPECIAL PROCEEDING OR CIVIL ACTION IN SUPREME COURT,
ALBANY COUNTY, TO OBTAIN A JUDGMENT FOR ANY AMOUNTS DETERMINED TO BE
PAYABLE TO THE ETHICS COMMISSION AS A RESULT OF AN EXAMINATION AND AUDIT
MADE PURSUANT TO TITLE II OF ARTICLE FOURTEEN OF THIS CHAPTER.
4. THE ETHICS COMMISSION IS AUTHORIZED TO INSTITUTE A SPECIAL PROCEED-
ING OR CIVIL ACTION IN SUPREME COURT, ALBANY COUNTY, TO OBTAIN A JUDG-
MENT FOR CIVIL PENALTIES DETERMINED TO BE PAYABLE TO THE ETHICS COMMIS-
SION PURSUANT TO SECTION 14-214 OF THIS CHAPTER.
S 32. 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 33. This act shall take effect immediately; provided however that:
a. sections one through twenty-eight of this act shall take effect on
the sixtieth day after it shall have become a law;
b. all amendments to article 14 of the election law made by this act,
which establish new contribution limits, shall apply January 1, 2011;
c. contributions legally received prior to the effective date of this
act may be retained and expended for lawful purposes and shall not
provide the basis for a violation of article 14 of the election law, as
amended by this act;
d. the state board of elections shall notify all candidates and poli-
tical committees of the applicable provisions of this act within thirty
days after this act shall have become a law; and
e. sections twenty-nine, thirty and thirty-one of this act shall take
effect immediately; provided, however, state legislature candidates will
be eligible to participate in the public financing system beginning with
the 2012 election, and all state candidates and constitutional conven-
tion delegates will be eligible to participate in the public financing
system beginning with the 2014 election.
PART D
S. 6615--A 107 A. 9715--A
Section 1. The retirement and social security law is amended by adding
a new article 3-C to read as follows:
ARTICLE 3-C
PENSION FORFEITURE FOR PUBLIC CORRUPTION ACT
SECTION 157. SHORT TITLE.
157-A. DEFINITIONS.
157-B. PENSION FORFEITURE.
157-C. MISCELLANEOUS.
S 157. SHORT TITLE. THIS ARTICLE SHALL BE KNOWN AND MAY BE CITED AS
THE "PENSION FORFEITURE FOR PUBLIC CORRUPTION ACT".
S 157-A. DEFINITIONS. THE FOLLOWING WORDS AND PHRASES, AS USED IN THIS
ARTICLE, SHALL HAVE THE FOLLOWING MEANINGS, UNLESS A DIFFERENT MEANING
IS PLAINLY REQUIRED BY THE CONTEXT:
1. "DEFENDANT" SHALL MEAN A PERSON AGAINST WHOM A FORFEITURE ACTION IS
COMMENCED.
2. "DESIGNATED FELONY OFFENSE" SHALL MEAN: (A) ANY FELONY OFFENSE SET
FORTH IN THE PENAL LAW; (B) A CONSPIRACY TO COMMIT ANY FELONY OFFENSE
SET FORTH IN THE PENAL LAW; OR (C) ANY CRIMINAL OFFENSE COMMITTED IN ANY
OTHER STATE, DISTRICT, OR TERRITORY OF THE UNITED STATES AND CLASSIFIED
AS A FELONY THEREIN, WHICH IF COMMITTED WITHIN THIS STATE, WOULD CONSTI-
TUTE AN OFFENSE DESIGNATED IN PARAGRAPH (A) OR (B) OF THIS SUBDIVISION.
3. "COMPTROLLER" SHALL MEAN THE COMPTROLLER OF THE STATE OF NEW YORK
IN HIS OR HER CAPACITY AS ADMINISTRATIVE HEAD OF THE NEW YORK STATE AND
LOCAL EMPLOYEES' RETIREMENT SYSTEM AND THE NEW YORK STATE AND LOCAL
POLICE AND FIRE RETIREMENT SYSTEM.
4. "MEMBER" SHALL MEAN A MEMBER OF THE NEW YORK STATE AND LOCAL
EMPLOYEES' RETIREMENT SYSTEM OR THE NEW YORK STATE AND LOCAL POLICE AND
FIRE RETIREMENT SYSTEM WHO JOINED SUCH SYSTEM ON OR AFTER THE EFFECTIVE
DATE OF THIS ARTICLE.
5. "RETIRED MEMBER" SHALL MEAN A PERSON WHO IS RETIRED FROM AND WHO IS
RECEIVING A RETIREMENT ALLOWANCE FROM A RETIREMENT SYSTEM AND WHO HAD
JOINED SUCH SYSTEM ON OR AFTER THE EFFECTIVE DATE OF THIS ARTICLE.
6. "RETIREMENT SYSTEM" SHALL MEAN THE NEW YORK STATE AND LOCAL EMPLOY-
EES' RETIREMENT SYSTEM OR THE NEW YORK STATE AND LOCAL POLICE AND FIRE
RETIREMENT SYSTEM.
S 157-B. PENSION FORFEITURE. NOTWITHSTANDING ANY OTHER PROVISION OF
GENERAL, SPECIAL OR LOCAL LAW, RULE OR REGULATION TO THE CONTRARY:
1. IN THE CASE OF A MEMBER OR RETIRED MEMBER WHO IS CONVICTED OF ANY
DESIGNATED FELONY OFFENSE SET FORTH IN PARAGRAPH (A) OR (B) OF SUBDIVI-
SION TWO OF SECTION ONE HUNDRED FIFTY-SEVEN-A OF THIS ARTICLE, THE
COMMISSION OF WHICH IS RELATED TO THE PERFORMANCE OR FAILURE TO PERFORM
SUCH MEMBER OR RETIRED MEMBER'S OFFICIAL DUTIES AND RESPONSIBILITIES, AN
ACTION MAY BE COMMENCED IN SUPREME COURT BY THE DISTRICT ATTORNEY HAVING
JURISDICTION OVER THE OFFENSE FOR THE FORFEITURE OF ALL OR A PORTION OF
THOSE RIGHTS AND BENEFITS TO WHICH SUCH PERSON IS OR WILL BE ENTITLED AS
A MEMBER OR RETIRED MEMBER PROVIDED THAT ANY CONTRIBUTIONS MADE BY THE
OFFICIAL TO HIS OR HER RETIREMENT SYSTEM SHALL NOT BE SUBJECT TO FORFEI-
TURE, BUT SHALL BE RETURNED TO SUCH OFFICIAL. SUCH ACTION SHALL BE
COMMENCED WITHIN SIX MONTHS OF SUCH CONVICTION. FOR PURPOSES OF THIS
ARTICLE, A DESIGNATED FELONY OFFENSE IS RELATED TO THE PERFORMANCE OR
FAILURE TO PERFORM SUCH MEMBER OR RETIRED MEMBER'S OFFICIAL DUTIES AND
RESPONSIBILITIES IF IT: (A) CONSTITUTED A MATERIAL VIOLATION OF SUCH
MEMBER OR RETIRED MEMBER'S DUTIES AND RESPONSIBILITIES AS A PUBLIC SERV-
ANT; OR (B) EVEN THOUGH COMMITTED OUTSIDE THE SCOPE OF SUCH MEMBER'S
OFFICIAL DUTIES OR RESPONSIBILITIES, INVOLVED ACTIONS OR CONDUCT BY
S. 6615--A 108 A. 9715--A
WHICH SUCH MEMBER OR RETIRED MEMBER INDICATED OR CONVEYED THAT HE OR SHE
WAS ACTING WITH THE AUTHORITY OF, OR UNDER COLOR OF THE AUTHORITY OF,
ANY GOVERNMENTAL ENTITY.
2. WHERE THE ATTORNEY GENERAL FINDS THAT A MEMBER OR A RETIRED MEMBER
HAS BEEN CONVICTED OF A DESIGNATED FELONY OFFENSE AS DEFINED IN PARA-
GRAPH (C) OF SUBDIVISION TWO OF SECTION ONE HUNDRED FIFTY-SEVEN-A OF
THIS ARTICLE, THE COMMISSION OF WHICH IS RELATED TO THE PERFORMANCE OR
FAILURE TO PERFORM SUCH MEMBER OR RETIRED MEMBER'S OFFICIAL DUTIES AND
RESPONSIBILITIES, AN ACTION MAY BE COMMENCED IN SUPREME COURT BY THE
ATTORNEY GENERAL FOR THE FORFEITURE OF ALL OR A PORTION OF THOSE RIGHTS
AND BENEFITS TO WHICH SUCH PERSON IS OR WILL BE ENTITLED AS A MEMBER OR
RETIRED MEMBER. SUCH ACTION SHALL BE COMMENCED WITHIN ONE YEAR OF SUCH
CONVICTION.
3. PRIOR TO COMMENCEMENT OF SUCH ACTION DESCRIBED IN SUBDIVISION ONE
OR TWO OF THIS SECTION, THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL,
AS THE CASE MAY BE, SHALL PROVIDE NOTICE TO THE COMPTROLLER STATING THAT
HE OR SHE HAS REASON TO BELIEVE THAT THE PERSON CONVICTED COMMITTED THE
FELONY RELATED TO HIS OR HER OFFICIAL DUTIES AND RESPONSIBILITIES.
WITHIN TWENTY DAYS OF RECEIPT OF SUCH NOTICE, THE COMPTROLLER SHALL
SUBMIT A NOTICE OF APPLICABILITY TO THE DISTRICT ATTORNEY OR THE ATTOR-
NEY GENERAL AS THE CASE MAY BE. THE NOTICE OF APPLICABILITY SHALL
CONTAIN A STATEMENT SPECIFYING WHETHER THE PERSON CONVICTED IS OR HAS
BEEN A MEMBER OR RETIRED MEMBER OF THE NEW YORK STATE AND LOCAL EMPLOY-
EES' RETIREMENT SYSTEM OR THE NEW YORK STATE AND LOCAL POLICE AND FIRE
RETIREMENT SYSTEM AND SHALL DESCRIBE THE RIGHTS AND BENEFITS TO WHICH
SUCH PERSON IS OR WILL BE ENTITLED FROM SUCH PUBLIC RETIREMENT SYSTEM.
4. NO FORFEITURE ACTION MAY BE COMMENCED BY THE DISTRICT ATTORNEY OR
THE ATTORNEY GENERAL UNTIL RECEIPT OF THE NOTICE OF APPLICABILITY AS SET
FORTH IN SUBDIVISION THREE OF THIS SECTION. IN DETERMINING WHETHER TO
SEEK FORFEITURE OF A PORTION, RATHER THAN ALL, OF SUCH RETIREMENT BENE-
FITS, THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL MAY CONSIDER MITI-
GATING FACTORS INCLUDING, BUT NOT LIMITED TO: THE NATURE AND SERIOUSNESS
OF THE OFFENSE COMMITTED IN RELATION TO THE AMOUNT OF THE FORFEITURE
PENALTY; WHETHER THE DEFENDANT'S CONDUCT IN COMMITTING THE OFFENSE WAS
WILLFUL OR MALICIOUS; WHETHER THE DEFENDANT MADE ANY SUBSTANTIAL GOOD
FAITH EFFORTS TO PREVENT OR MITIGATE THE HARM CAUSED BY THE OFFENSE;
WHETHER THE DEFENDANT'S PARTICIPATION IN THE CRIME WAS UNDER DURESS,
COERCION OR INDUCED BY OTHERS; THE IMPACT OF THE CRIME ON THE STATE OR
LOCAL GOVERNMENT AND THE NUMBER OF YEARS OF THE DEFENDANT'S PUBLIC
SERVICE PERFORMED WITHOUT CRIMINAL CONDUCT; THE PECUNIARY BENEFIT TO THE
DEFENDANT FROM THE CRIME; AND WHETHER AND TO WHAT EXTENT THE DEFENDANT'S
FAMILY IS DEPENDENT UPON THE DEFENDANT'S PRESENT AND FUTURE RETIREMENT
BENEFITS.
5. UPON MOTION BY THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL, AS
THE CASE MAY BE, MADE UPON COMMENCEMENT OF OR AT ANY TIME DURING THE
PENDENCY OF A FORFEITURE ACTION, PURSUANT TO THE PROCEDURE SET FORTH IN
SUBDIVISION ONE OF SECTION SIXTY-THREE HUNDRED ELEVEN OR SECTION SIXTY-
THREE HUNDRED THIRTEEN OF THE CIVIL PRACTICE LAW AND RULES, THE COURT
MAY ISSUE A TEMPORARY RESTRAINING ORDER OR A PRELIMINARY INJUNCTION
PROHIBITING THE DEFENDANT FROM RECEIVING ANY RIGHTS OR BENEFITS FROM THE
APPROPRIATE RETIREMENT SYSTEM. A PRELIMINARY INJUNCTION MAY BE GRANTED
WHERE THE COURT FINDS THAT THERE IS A SUBSTANTIAL PROBABILITY THAT THE
DISTRICT ATTORNEY OR ATTORNEY GENERAL WILL PREVAIL ON THE ISSUE OF
FORFEITURE. NO SHOWING OF IRREPARABLE HARM SHALL BE REQUIRED. THE COURT
MAY NOT CONSIDER ON SUCH MOTION ANY ISSUES PRESENTED TO THE COURT WHICH
S. 6615--A 109 A. 9715--A
HEARD THE CRIMINAL ACTION IN WHICH THE DEFENDANT WAS CONVICTED OR WHICH
ARISE OUT OF SUCH CRIMINAL ACTION AND MAY BE PRESENTED ON APPEAL.
6. ALL DEFENDANTS IN A FORFEITURE ACTION BROUGHT PURSUANT TO THIS
ARTICLE SHALL HAVE THE RIGHT TO TRIAL BY JURY ON ANY ISSUE OF FACT.
7. THE BURDEN OF PROOF SHALL BE UPON THE DISTRICT ATTORNEY OR THE
ATTORNEY GENERAL, AS THE CASE MAY BE, TO PROVE BY CLEAR AND CONVINCING
EVIDENCE THE FACTS NECESSARY TO ESTABLISH A CLAIM OF PENSION FORFEITURE.
8. AT ANY TIME DURING THE PENDENCY OF A FORFEITURE ACTION, THE COURT
MAY DISMISS THE ACTION IF IT FINDS THAT SUCH RELIEF IS WARRANTED BY THE
EXISTENCE OF SOME COMPELLING FACTOR, CONSIDERATION OR CIRCUMSTANCE
INCLUDING, BUT NOT LIMITED TO, ONE OR MORE OF THE MITIGATING FACTORS SET
FORTH IN SUBDIVISION FOUR OF THIS SECTION, OR OTHER INFORMATION OR
EVIDENCE WHICH DEMONSTRATES THAT SUCH FORFEITURE WOULD NOT SERVE THE
ENDS OF JUSTICE. THE COURT SHALL ISSUE A WRITTEN DECISION STATING THE
BASIS FOR AN ORDER ISSUED PURSUANT TO THIS SUBDIVISION.
9. (A) UPON A FINDING BY THE COURT THAT THE DEFENDANT HAS COMMITTED A
FELONY IN CONNECTION WITH HIS OR HER OFFICIAL DUTIES AND RESPONSIBIL-
ITIES IN THIS STATE, THE COURT SHALL ISSUE AN ORDER TO THE APPROPRIATE
RETIREMENT SYSTEM FOR: (I) THE FORFEITURE OR RECOUPMENT OF ALL OR A
PORTION OF THE DEFENDANT'S RIGHTS AND BENEFITS AS A MEMBER OR RETIRED
MEMBER OF SUCH SYSTEM; (II) THE RECOUPMENT OF ALL OR A PORTION OF THE
RETIREMENT BENEFITS PAID TO THE DEFENDANT; AND (III) THE REFUND TO THE
DEFENDANT OF ANY CONTRIBUTIONS MADE BY THE DEFENDANT TO THE RETIREMENT
SYSTEM FOR ANY PERIOD FOR WHICH THE DEFENDANT'S RIGHTS AND BENEFITS AS A
MEMBER OR RETIRED MEMBER OF SUCH RETIREMENT SYSTEM HAVE BEEN ORDERED
FORFEIT.
(B) IN DETERMINING THE EXTENT OF THE FORFEITURE OR RECOUPMENT THAT IS
WARRANTED, THE COURT MAY CONSIDER ONE OR MORE OF THE MITIGATING FACTORS
SET FORTH IN SUBDIVISION FOUR OF THIS SECTION. ALL ORDERS AND FINDINGS
MADE BY THE COURT PURSUANT TO THIS SECTION SHALL BE SERVED UPON THE
COMPTROLLER.
10. UPON A FINAL DETERMINATION THAT REVERSES OR VACATES THE CONVICTION
OR CONVICTIONS OF A DESIGNATED OFFENSE OR OFFENSES, THE MEMBER OR
RETIRED MEMBER WHO HAS FORFEITED RETIREMENT RIGHTS AND BENEFITS PURSUANT
TO THIS SECTION SHALL HAVE SUCH RIGHTS AND BENEFITS RETROACTIVELY
RESTORED UPON APPLICATION TO THE COURT WITH JURISDICTION OVER THE
FORFEITURE ACTION, REGARDLESS OF ANY TEMPORARY RESTRAINING ORDER OR
PRELIMINARY INJUNCTION WHICH MAY BE OUTSTANDING OR ORDER WHICH MAY HAVE
BEEN ISSUED. SUCH COURT, UPON FINDING THAT SUCH A FINAL DETERMINATION
HAS OCCURRED, SHALL ISSUE AN ORDER RETROACTIVELY RESTORING SUCH RIGHTS
AND BENEFITS, TOGETHER WITH SUCH OTHER RELIEF DEEMED APPROPRIATE. AS A
CONDITION TO FULL RESTORATION OF RIGHTS AND BENEFITS AS PROVIDED IN THIS
SUBDIVISION, THE MEMBER OR RETIRED MEMBER SHALL REIMBURSE THE RETIREMENT
SYSTEM FOR ANY CONTRIBUTIONS THAT WERE REFUNDED TO THE MEMBER OR RETIRED
MEMBER PURSUANT TO THE PROVISIONS OF PARAGRAPH (A) OF SUBDIVISION NINE
OF THIS SECTION.
11. EXCEPT AS OTHERWISE PROVIDED BY THIS ARTICLE, THE CIVIL PRACTICE
LAW AND RULES SHALL GOVERN THE PROCEDURE IN ACTIONS COMMENCED UNDER THIS
ARTICLE, EXCEPT WHERE THE ACTION IS REGULATED BY ANY INCONSISTENT
PROVISIONS HEREIN. IN SUCH ACTIONS, THE COURT MAY NOT CONSIDER ANY
ISSUES PRESENTED TO THE COURT WHICH HEARD THE CRIMINAL ACTION IN WHICH
THE DEFENDANT WAS CONVICTED OR WHICH ARISE OUT OF SUCH CRIMINAL ACTION
AND MAY BE PRESENTED ON APPEAL.
S 157-C. MISCELLANEOUS. THE REMEDIES PROVIDED FOR IN THIS ARTICLE ARE
NOT INTENDED TO SUBSTITUTE FOR, LIMIT OR SUPERSEDE THE LAWFUL AUTHORITY
S. 6615--A 110 A. 9715--A
OF ANY PUBLIC OFFICER, AGENCY OR OTHER PERSON TO ENFORCE ANY OTHER RIGHT
OR REMEDY PROVIDED FOR BY LAW.
S 2. The opening paragraph of subdivision 2 of section 212 of the
retirement and social security law, as amended by chapter 74 of the laws
of 2006, is amended and a new subdivision 3 is added to read as follows:
[The] EXCEPT AS PROVIDED IN SUBDIVISION THREE OF THIS SECTION, THE
earning limitations for retired persons in positions of public service
under this section shall be in accordance with the following table:
3. FOR RETIRED PERSONS OF ANY AGE WHO JOINED THE NEW YORK STATE AND
LOCAL EMPLOYEES' RETIREMENT SYSTEM ON OR AFTER JUNE FIRST, TWO THOUSAND
TEN, AND FOR WHOM ALL OR PART OF THEIR RETIREMENT BENEFIT IS BASED UPON
SERVICE AND SALARY EARNED WHILE SERVING IN AN ELECTIVE POSITION IN THE
NEW YORK STATE LEGISLATURE, THE EARNINGS LIMITATION FOR PURPOSES OF THIS
SECTION AND SECTION ONE HUNDRED FIFTY OF THE CIVIL SERVICE LAW FOR
SERVICE IN AN ELECTIVE POSITION IN THE NEW YORK STATE LEGISLATURE AFTER
THE DATE OF RETIREMENT SHALL BE $0.
S 3. This act shall take effect immediately.
S 2. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, 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 judg-
ment 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 3. This act shall take effect immediately provided, however, that
the applicable effective date of Parts A through D of this act shall be
as specifically set forth in the last section of such Parts.