NY State Senate Bill 2017-S1449

Senate Bill S1449

2017-2018 Legislative Session

Prohibits certain lobbyists and political consultants from being affiliated with each other, or engaging in the other's profession

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Archive: Last Bill Status - In Senate Committee Finance Committee

Introduced
- In Committee Assembly
- In Committee Senate
- On Floor Calendar Assembly
- On Floor Calendar Senate
- Passed Assembly
- Passed Senate
Delivered to Governor
Signed By Governor

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Actions

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	Assembly Actions - Lowercase Senate Actions - UPPERCASE
Jan 03, 2018	referred to finance
Jun 08, 2017	reported and committed to rules
Jan 09, 2017	referred to finance

Votes

- Jun 8, 2017 - Finance Committee Vote
  S1449
  
  19
  
  Aye
  
  8
  
  Nay
  
  8
  
  Aye with Reservations
  
  0
  
  Absent
  
  2
  
  Excused
  
  0
  
  Abstained
  - - Finance Committee Vote: Jun 8, 2017
      
      aye (19)
      
      Avella
      
      Boyle
      
      Carlucci
      
      Felder
      
      Gallivan
      
      Golden
      
      Hannon
      
      Kennedy
      
      Larkin
      
      Little
      
      Marcellino
      
      Marchione
      
      Peralta
      
      Ritchie
      
      Robach
      
      Savino
      
      Seward
      
      Valesky
      
      Young
      
      nay (8)
      
      Bailey
      
      Breslin
      
      Comrie
      
      Dilan
      
      Krueger
      
      Parker
      
      Rivera
      
      Stavisky
      
      aye wr (8)
      
      Bonacic
      
      Griffo
      
      Kaminsky
      
      Lanza
      
      Montgomery
      
      O'Mara
      
      Ranzenhofer
      
      Squadron
      
      excused (2)
      
      Diaz
      
      LaValle

co-Sponsors

2017-S1449 (ACTIVE) - Details

See Assembly Version of this Bill:: A6006
Current Committee:: Senate Finance
Law Section:: Legislative Law
Laws Affected:: Amd §§1-c & 1-m, Leg L; amd §§14-100, 14-102 & 14-104, El L
Versions Introduced in Other Legislative Sessions:: 2013-2014: S5009, A7657
2015-2016: S4690, A6585
2019-2020: S5893, A7043
2021-2022: S450, A6467

2017-S1449 (ACTIVE) - Summary

Prohibits certain lobbyists from engaging in political consulting for state public officials or candidates for state office, and prohibits political consultants or anyone they are affiliated with from lobbying state officers; requires election financial disclosure statements to include a listing of all political consulting services provided to a campaign.

2017-S1449 (ACTIVE) - Sponsor Memo

                                 BILL NUMBER:  S1449

 TITLE OF BILL :  An act to amend the legislative law, in relation to
prohibiting lobbyists from engaging in political consulting of
candidates for and holders of state office and prohibiting certain
political consultants from engaging in compensated lobbying and
lobbying activities; and to amend the election law, in relation to
requiring the reporting of the provision of political consulting
services

 PURPOSE OR GENERAL IDEA OF BILL :

The purpose of this legislation is to reform the State's ethics laws
to place a firewall between the activities of political consultants
who help to elect state government officials and registered lobbyists,
who lobby state government officials to obtain or thwart a specified
state governmental policy. Political consultants are those who are
paid to manage and operate political campaigns for public officials
and candidates, raise funds to elect such officials, and provide media
services or advice for such campaigns. However, such political
consulting does not mean the provision of legal work related to
securing a place on the ballot, conduct of an election, or other
election law issues. Registered lobbyists are those who lobby state
elected officials for enactment or rejection of legislation,
regulatory changes, budget items, procurement of services, or other
changes in governmental policy.

The relationship forged between a candidate and his or her political
consultant during a campaign is tight, often unassailable. Political
consultants who also lobby have a unique opportunity to trade on this
personal capital when pushing the interests of their other clients for
new laws, government approvals or funding. In the wake of recent
scandals to hit the potential to further undermine public trust in how
decisions are made. The key provisions in this legislation are
intended to provide the transparency needed in assuage public concern
about how decisions are made.

 SUMMARY OF SPECIFIC PROVISIONS :

Section 1. Section 1-c of the Legislative Law is amended by adding a
new subdivision (x), which defines the term "political consulting" as
it pertains to this legislation.

Section 2. Amends Section 1-m of the Legislative Law. 1-m Prohibition
of gifts and political consulting. (b) No person or organization that
has been retained or received compensation for political consulting,
is an individual who has an ownership interest in a political
consulting organization, or is an employee of the political consultant
shall engage in compensated lobbying or lobbying activities with any
state public official, candidate, or prospective candidate for elected
office who is a current or former client of the political consultant;
provided, however that a person or organization that is engaged solely
in the lobbying of or lobbying activities related to municipal
agencies, local legislative bodies and municipal public officers, and
does not engage in the lobbying of or lobbying activities related to
state agencies and state public officials, may engage in such
political consulting for municipal public officials. (c) No person or
organization that is engaged in compensated political consulting for
any state public official, candidate or prospective candidate for an
elected state office shall be employed by, be affiliated with or be
under common ownership with any person or organization engaged in
compensated lobbying or lobbying activities, except as otherwise
authorized by subdivision (h) of this section.  (d) (1) This
prohibition shall not apply to: (A) an employee of the political
consultant whose sole duties are clerical; or (B) an employee of the
political consultant who did not personally provide political
consulting services to the state public official, candidate or
prospective candidate for a state elected office in his or he capacity
as an employee of the political consultant who is prohibited by
paragraphs (b) and (c) of this subdivision from engaging in lobbying
and lobbying activities.

Section 3. Subdivision (h) of section 1-c of the Legislative Law is
amended by adding the 'political consultant' and 'political
consulting'.

Section 4. Subdivision 1 of section 14-100 of the Election law is
amended by adding two new subdivisions 15 and 16. Subdivision 15
defines "political consulting" and 16 defines "compensation".

Section 5. Subdivision 1 of section 14-102 of the Election Law is
amended by adding the following language: Furthermore, such statements
shall include a list of all persons and organizations which provided
political consulting services, and the fair market value of and the
actual amount paid to each such person and organization for the
provision of political consulting services.

Section 6. Subdivision 1 of section 14-104 of the Election Law, as
amended by section 1 of part C of chapter 286 of the laws of 2016, is
amended by adding the following language: "Furthermore, such
statements shall include a list of all persons and organizations which
provided political consulting services, and the fair market value of
and the actual amount paid to each such person and organization for
the provision of political consulting services."

Section 7. Establishes the effective date.

 JUSTIFICATION :

Recently, many significant reforms to New York State's laws have been
enacted as it relates to conflicts of interest and disclosure issues
faced by elected and appointed government officials and the
relationships and business interests that may be shared between
government officials, both elected and non-elected, and those who
lobby such officials.

Unfortunately, this same scrutiny has not focused on the relationships
and potential conflicts of interests that may be faced by the
political consultant who helps to elect or finance the election of a
state government official and then is paid to lobby the same state
government official.

In what has become an increasing trend, political consultants are
turning to lobbying once the elections are over. Unlike federal and
state legislators, and some of their employees, who must legally go
through a "hiatus" (one year for federal lawmakers and two years for
New York State Assembly members) before lobbying their former
colleagues, political consultants are not bound by any rules that
provide a break between doing campaign work and lobbying. This
situation can lead to a blurring of functions and roles of the
political consultant/lobbyist who is instrumental in electing such
state government official and then expects a certain enhanced sympathy
and sensitivity from the same official to advance the interests of the
lobbyists' client or client list. From the governmental official's
vantage point, it may be difficult to decline to advance the goals of
the lobbyist/political consultant, knowing that as a new election
cycle begins, such official must rely heavily on this same individual
or firm to execute the state governmental official's election
campaign, coordinate fundraising efforts, or to arrange media
campaigns, provided however, that political consulting does not
included legal work related to securing a place on the ballot, ballot

security efforts, petition activities, or election law court
appearances should the election results be close.

In reviewing the websites and advertisements of political
consultant/lobbyist individuals, firms or associations, it is clear
that there is a purposeful blending of what should be the separate
functions of performing election or fundraising activities for
government officials, the ease of access to government officials who
are also the clients of these same political consultants, and the dual
listing of those state government officials and lobbying interest that
the political consultant/lobbyist firm represents. The activities of
political consultants who directly help or mange state government
official's election campaigns should clearly be segregated from those
individuals or lobbyists who seek legislation, budget items,
regulatory changes, or the procurement of government services,
contracts or goods. However, this bill does allow lobbyists to perform
legal work that is directly related to election law since this is a
very specialized trade.

 PRIOR LEGISLATIVE HISTORY :

2015-2016: S4690-A/A6585-A (Galef)
2013-2014: S5009-A(Valesky)/A7657-A (Galef)

 FISCAL IMPLICATIONS :

There are no fiscal implications connected with the passage of this
legislation.

 EFFECTIVE DATE :
This act shall take effect on the thirtieth day after it shall have
become a law; provided, however, that if section 1 of part C of
chapter 286 of the laws of 2016 shall not have taken effect on or
before such date then section six of this act shall take effect on the
same date and in the same manner as such chapter of the laws of 2016,
takes effect.

2017-S1449 (ACTIVE) - Bill Text download pdf

                            
 
                     S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   1449
 
                        2017-2018 Regular Sessions
 
                             I N  S E N A T E
 
                              January 9, 2017
                                ___________
 
 Introduced  by  Sens. AVELLA, CARLUCCI, SAVINO -- read twice and ordered
   printed, and when printed to be committed to the Committee on Finance
 
 AN ACT to amend the legislative law, in relation to  prohibiting  lobby-
   ists from engaging in political consulting of candidates for and hold-
   ers of state office and prohibiting certain political consultants from
   engaging in compensated lobbying and lobbying activities; and to amend
   the  election  law,  in  relation  to  requiring  the reporting of the
   provision of political consulting services
 
   THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section  1.  Section 1-c of the legislative law is amended by adding a
 new subdivision (x) to read as follows:
   (X) THE  TERM  "POLITICAL  CONSULTING"  SHALL  MEAN  AND  INCLUDE  THE
 PROVISION,  FOR COMPENSATION, TO ANY STATE PUBLIC OFFICIAL, CANDIDATE OR
 PROSPECTIVE CANDIDATE FOR AN ELECTED STATE OFFICE OF ADVICE, SERVICES OR
 ASSISTANCE IN SECURING SUCH PUBLIC OFFICE INCLUDING, BUT NOT LIMITED TO,
 CAMPAIGN MANAGEMENT, FUNDRAISING ACTIVITIES, PUBLIC RELATIONS  OR  MEDIA
 SERVICES,  BUT  SHALL  EXCLUDE  BONA FIDE LEGAL WORK DIRECTLY RELATED TO
 LITIGATION OR LEGAL ADVICE WITH  REGARD  TO  SECURING  A  PLACE  ON  THE
 BALLOT,  THE  PETITIONING  PROCESS,  THE CONDUCT OF AN ELECTION OR WHICH
 INVOLVES THE ELECTION LAW.
   § 2. Section 1-m of the legislative law, as added by chapter 14 of the
 laws of 2007, is amended to read as follows:
   § 1-m. Prohibition of gifts AND POLITICAL CONSULTING.  (A) No individ-
 ual or entity required to be  listed  on  a  statement  of  registration
 pursuant  to this article shall offer or give a gift to any public offi-
 cial as defined within this article, unless under the  circumstances  it
 is  not reasonable to infer that the gift was intended to influence such
 public official. No individual or entity required  to  be  listed  on  a
 statement of registration pursuant to this article shall offer or give a
 gift  to  the  spouse  or  unemancipated child of any public official as
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.

                                                            LBD00998-01-7

 S. 1449                             2
 
 defined within this article 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  statement of registration pursuant to this article shall offer or
 give a gift to a public official under circumstances where it is reason-
 able to infer that the gift was intended to influence such public  offi-
 cial.  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  registra-
 tion  appears  or  has  matters  pending before the board, commission or
 council on which the recipient sits.
   (B) NO PERSON OR ORGANIZATION  THAT  HAS  BEEN  RETAINED  OR  RECEIVED
 COMPENSATION  FOR  POLITICAL  CONSULTING,  IS  AN  INDIVIDUAL WHO HAS AN
 OWNERSHIP INTEREST IN A POLITICAL  CONSULTING  ORGANIZATION,  OR  IS  AN
 EMPLOYEE  OF THE POLITICAL CONSULTANT SHALL ENGAGE IN COMPENSATED LOBBY-
 ING OR LOBBYING ACTIVITIES WITH ANY STATE PUBLIC OFFICIAL, CANDIDATE, OR
 PROSPECTIVE CANDIDATE FOR ELECTED OFFICE WHO  IS  A  CURRENT  OR  FORMER
 CLIENT  OF  THE POLITICAL CONSULTANT; PROVIDED, HOWEVER THAT A PERSON OR
 ORGANIZATION THAT IS ENGAGED SOLELY  IN  THE  LOBBYING  OF  OR  LOBBYING
 ACTIVITIES  RELATED  TO MUNICIPAL AGENCIES, LOCAL LEGISLATIVE BODIES AND
 MUNICIPAL PUBLIC OFFICERS, AND DOES NOT ENGAGE IN  THE  LOBBYING  OF  OR
 LOBBYING  ACTIVITIES  RELATED  TO  STATE AGENCIES AND STATE PUBLIC OFFI-
 CIALS, MAY ENGAGE IN SUCH  POLITICAL  CONSULTING  FOR  MUNICIPAL  PUBLIC
 OFFICIALS.
   (C) NO PERSON OR ORGANIZATION THAT IS ENGAGED IN COMPENSATED POLITICAL
 CONSULTING  FOR  ANY  STATE  PUBLIC  OFFICIAL,  CANDIDATE OR PROSPECTIVE
 CANDIDATE FOR AN ELECTED STATE OFFICE SHALL BE EMPLOYED  BY,  BE  AFFIL-
 IATED  WITH OR BE UNDER COMMON OWNERSHIP WITH ANY PERSON OR ORGANIZATION
 ENGAGED IN COMPENSATED LOBBYING OR LOBBYING ACTIVITIES, EXCEPT AS OTHER-
 WISE AUTHORIZED BY SUBDIVISION (B) OF THIS SECTION.
   (D) (1) THIS PROHIBITION SHALL NOT APPLY TO:
   (A) AN EMPLOYEE OF THE POLITICAL  CONSULTANT  WHOSE  SOLE  DUTIES  ARE
 CLERICAL; OR
   (B)  AN  EMPLOYEE  OF  THE POLITICAL CONSULTANT WHO DID NOT PERSONALLY
 PROVIDE POLITICAL CONSULTING SERVICES  TO  THE  STATE  PUBLIC  OFFICIAL,
 CANDIDATE  OR PROSPECTIVE CANDIDATE FOR A STATE ELECTED OFFICE WITH WHOM
 THE EMPLOYEE SEEKS TO COMMUNICATE FOR LOBBYING OR LOBBYING ACTIVITIES.
   (2) THE EXCEPTIONS IN PARAGRAPH ONE  OF  THIS  SUBDIVISION  SHALL  NOT
 APPLY  TO  ANY  PERSON  WHO  COMMUNICATES  WITH A STATE PUBLIC OFFICIAL,
 CANDIDATE, OR PROSPECTIVE CANDIDATE FOR A STATE ELECTED OFFICE IN HIS OR
 HER CAPACITY AS AN EMPLOYEE OF THE POLITICAL CONSULTANT WHO IS PROHIBIT-
 ED BY PARAGRAPHS (B) AND (C) OF THIS SUBDIVISION FROM ENGAGING IN LOBBY-
 ING AND LOBBYING ACTIVITIES.
   § 3. Subdivision (h) of section 1-c of the legislative law,  as  added
 by chapter 2 of the laws of 1999, is amended to read as follows:
   (h) The term "compensation" shall mean any salary, fee, gift, payment,
 benefit,  loan, advance or any other thing of value paid, owed, given or
 promised to the lobbyist OR  POLITICAL  CONSULTANT  by  the  client  for
 lobbying  OR  POLITICAL  CONSULTING  but shall not include contributions
 reportable pursuant to article fourteen of the election law.
   § 4. Section 14-100 of the election law is amended by adding  two  new
 subdivisions 17 and 18 to read as follows:
   17.  "POLITICAL  CONSULTING"  MEANS  AND  INCLUDES  THE  PROVISION FOR
 COMPENSATION,  TO  ANY  POLITICAL  COMMITTEE  OR  CANDIDATE  OF  ADVICE,
 SERVICES  OR  ASSISTANCE  IN SECURING STATE PUBLIC OFFICE INCLUDING, BUT

 S. 1449                             3
 
 NOT LIMITED TO,  CAMPAIGN  MANAGEMENT,  FUNDRAISING  ACTIVITIES,  PUBLIC
 RELATIONS  OR  MEDIA  SERVICES,  BUT  SHALL  EXCLUDE LEGAL WORK DIRECTLY
 RELATED TO LITIGATION OR LEGAL ADVICE WITH REGARD TO SECURING A PLACE ON
 THE BALLOT, THE PETITIONING PROCESS, THE CONDUCT OF AN ELECTION OR WHICH
 INVOLVES THIS CHAPTER.
   18.  "COMPENSATION"  MEANS  ANY  SALARY,  FEE, GIFT, PAYMENT, BENEFIT,
 LOAN, ADVANCE OR ANY OTHER THING OF VALUE PAID, OWED, GIVEN OR PROMISED,
 BUT SHALL NOT INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO THIS ARTICLE.
   § 5. Subdivision 1 of section 14-102 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:
   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 or
 incurs any liability to pay money or its equivalent  shall  file  state-
 ments  sworn,  or subscribed and bearing a form notice that false state-
 ments made therein are punishable as a class A misdemeanor  pursuant  to
 section 210.45 of the penal law, at the times prescribed by this article
 setting forth 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 of the transferor,  contributor  or  person  from  whom
 received,  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.    FURTHERMORE, SUCH STATEMENTS SHALL INCLUDE A LIST OF ALL
 PERSONS AND ORGANIZATIONS WHICH PROVIDED POLITICAL CONSULTING  SERVICES,
 AND  THE  FAIR  MARKET  VALUE OF AND THE ACTUAL AMOUNT PAID TO EACH SUCH
 PERSON AND  ORGANIZATION  FOR  THE  PROVISION  OF  POLITICAL  CONSULTING
 SERVICES.  Any  statement  reporting  a loan shall have attached to it a
 copy of the evidence of indebtedness. Expenditures in sums  under  fifty
 dollars need not be specifically accounted for by separate items in said
 statements,  and  receipts  and  contributions aggregating not more than
 ninety-nine dollars, from any one contributor need not  be  specifically
 accounted  for  by  separate items in said statements, provided however,
 that such expenditures, receipts and contributions shall be  subject  to
 the other provisions of section 14-118 of this article.
   §  6.  Subdivision 1 of section 14-104 of the election law, as amended
 by section 1 of part C of chapter 286 of the laws of 2016, is amended to
 read as follows:
   1. Any candidate for election to public office, or for nomination  for
 public  office  at  a  contested  primary election or convention, or for
 election to a party position at a primary election,  shall  file  state-
 ments  sworn,  or subscribed and bearing a form notice that false state-
 ments made therein are punishable as a class A misdemeanor  pursuant  to
 section 210.45 of the penal law, at the times prescribed by this article
 setting  forth the particulars specified by section 14-102 of this arti-
 cle, as to all moneys or other valuable things, paid, given, expended or
 promised by him or her to aid his or her own nomination or election,  or
 to  promote  the  success  or  defeat of a political party, or to aid or
 influence the nomination or election or the defeat of any  other  candi-

 S. 1449                             4
 
 date to be voted for at the election or primary election or at a conven-
 tion, including contributions to political committees, officers, members
 or  agents  thereof, and transfers, receipts and contributions to him or
 her to be used for any of the purposes above specified, or in lieu ther-
 eof,  any  such  candidate  may file such a sworn statement at the first
 filing period, on a form prescribed by the state board of elections that
 such candidate has made no such expenditures and does not intend to make
 any such expenditures, except through a political  committee  authorized
 by such candidate pursuant to this article. Such candidate may designate
 a  committee  of  no  less than three persons who shall be authorized to
 appoint and remove the treasurer of  any  authorized  committee  of  the
 candidate.  The  designation  or  revocation  of  the committee shall be
 evidenced in a writing filed with the state board of  elections  by  the
 candidate  authorizing  the  committee.  The  candidate  may revoke such
 designation at any time.  FURTHERMORE, SUCH STATEMENTS SHALL  INCLUDE  A
 LIST  OF ALL PERSONS AND ORGANIZATIONS WHICH PROVIDED POLITICAL CONSULT-
 ING SERVICES, AND THE FAIR MARKET VALUE OF AND THE ACTUAL AMOUNT PAID TO
 EACH SUCH  PERSON  AND  ORGANIZATION  FOR  THE  PROVISION  OF  POLITICAL
 CONSULTING  SERVICES.  A  committee  authorized  by such a candidate may
 fulfill all of the filing requirements of this [act] ARTICLE  on  behalf
 of such candidate.
   §  7.  This  act shall take effect on the thirtieth day after it shall
 have become a law; provided, however, that if section 1  of  part  C  of
 chapter 286 of the laws of 2016 shall not have taken effect on or before
 such  date  then  section  six of this act shall take effect on the same
 date and in the same manner as such chapter of the laws of  2016,  takes
 effect.

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Senate Bill S1449

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Tony Avella