S T A T E   O F   N E W   Y O R K
________________________________________________________________________

    S. 6615--A                                            A. 9715--A

                      S E N A T E - A S S E M B L Y

                            January 19, 2010
                               ___________

IN  SENATE -- A BUDGET BILL, submitted by the Governor pursuant to arti-
  cle seven of the Constitution -- read twice and ordered  printed,  and
  when  printed to be committed to the Committee on Finance -- committee
  discharged, bill amended, ordered reprinted as amended and recommitted
  to said committee

IN ASSEMBLY -- A BUDGET BILL, submitted  by  the  Governor  pursuant  to
  article  seven  of  the  Constitution -- read once and referred to the
  Committee on Ways and Means --  committee  discharged,  bill  amended,
  ordered reprinted as amended and recommitted to said committee

AN ACT to amend the public officers law, in relation to creating a state
  government  ethics  commission  and a designating commission; to amend
  the executive law, in relation to the duties of the attorney  general;
  and  to  repeal  article  1-A  of  the legislative law relating to the
  lobbying act; to repeal article 5 of the legislative law  relating  to
  legislative ethics; to repeal section 94 of the executive law relating
  to  the  commission on public integrity (Part A); to amend the retire-
  ment and social security law, the state finance  law  and  the  public
  officers  law,  in  relation  to  establishing the employee retirement
  system board of trustees to operate  the  New  York  state  and  local
  employees'  retirement  system and the New York state and local police
  and fire retirement system,  and  regulating  investment  firms  doing
  business  with  the  common  retirement  fund  (Part  B); to amend the
  election law, in relation to campaign finance  reform;  to  amend  the
  legislative  law, in relation to participation in fundraisers during a
  legislative session; to amend the election law, in relation to  public
  financing; and to repeal certain provisions of the election law relat-
  ing to campaign financing; to repeal subdivisions 7 and 9-A of section
  3-102  of  the  election law relating to the state board of elections'
  power to enforce campaign receipts and expenditures  provisions  (Part
  C);  and  to amend the retirement and social security law, in relation
  to forfeiture of pension rights or retirement benefits upon conviction
  of a felony related to public employment (Part D)

  THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
BLY, DO ENACT AS FOLLOWS:

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
              

                                                           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.

S. 6615--A                          4                         A. 9715--A

  (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

S. 6615--A                          8                         A. 9715--A

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

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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-

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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

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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.

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  (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

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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.

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  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.

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  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,

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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-

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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

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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:

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  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[,

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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

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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

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[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

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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

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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:

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  (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.

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  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

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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

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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

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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.