senate Bill S3053

Amended

Requires additional disclosures from lobbyists

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Bill Status


  • Introduced
  • In Committee
  • On Floor Calendar
    • Passed Senate
    • Passed Assembly
  • Delivered to Governor
  • Signed/Vetoed by Governor
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actions

  • 07 / Feb / 2011
    • REFERRED TO FINANCE
  • 28 / Mar / 2011
    • NOTICE OF COMMITTEE CONSIDERATION - REQUESTED
  • 04 / Jan / 2012
    • REFERRED TO FINANCE
  • 13 / Jan / 2012
    • AMEND AND RECOMMIT TO FINANCE
  • 13 / Jan / 2012
    • PRINT NUMBER 3053A
  • 27 / Feb / 2012
    • NOTICE OF COMMITTEE CONSIDERATION - REQUESTED
  • 12 / Mar / 2012
    • COMMITTEE DISCHARGED AND COMMITTED TO RULES

Summary

Requires additional disclosures from lobbyists including: campaign contributions to elected officials; existing business relationships or associations with public officials; and the names of family members of a public official to whom the lobbyist, or his or her employer, paid compensation of over $500 in the preceding calendar year and the amount of compensation paid; provides for the disposition of campaign funds.

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Bill Details

Versions:
S3053
S3053A
Legislative Cycle:
2011-2012
Current Committee:
Senate Rules
Law Section:
Legislative Law
Laws Affected:
Amd §§1-c, 1-h & 1-j, Leg L; add §§14-131 - 14-134, amd §14-102, El L; amd §74, Pub Off L
Versions Introduced in Previous Legislative Cycles:
2009-2010: S744B
2007-2008: S1679

Sponsor Memo

BILL NUMBER:S3053 REVISED 02/11/11

TITLE OF BILL:
An act
to amend the legislative law and the election law,
in relation to disclosures required for
lobbyists, and to amend the election law and the public officers law,
in relation to campaign funds for personal use

PURPOSE:
This bill would require lobbyists to report campaign contributions,
professional relationships with public officials and employment
relationships with relatives of public officials. It will more
clearly delineate how candidates for elected office can and cannot
use their campaign funds, establish rules and methods for the
disposal of excess campaign funds and for the timing of such
disposal, require that they specifically detail campaign
contributions by lobbyists and prohibit the soliciting or receiving
of contributions for campaigns for state or federal office by senior
policy makers in the executive branch.

SUMMARY OF SPECIFIC PROVISIONS:
The legislative law is amended to
require campaign contributions and compensation paid to family
members of public officials by lobbyists to be included on each
bi-monthly lobbying report as well as each semiannual report to the
commission. Lobbyists would also be required to report the contact
information for any public official with whom he or she has a
business relationship.

Requires lobbyists, persons who own more than 10% of a lobbying
business, persons who hold senior management positions in lobbying
businesses or immediate family members to any of those persons must
file a report specifying political contributions to any state office
candidates with the state board of elections. Elected officials would
be required to report any behested payments they have solicited over
$5,000 per calendar year. These records shall be a matter of public
record.

Contribution limits for any lobbyists or persons intimately involved
with lobbying firms would be set for state office ($500 for statewide
office, $350 for senate and $250 for assembly). These persons would
also be prohibited from donating more than $5,000 to a political
committee which works to aid candidates. Lobbyists would be
prohibited from transmitting contributions on behalf of another
individual whose contributions would be limited by this law.
Lobbyists would be prohibited from serving as an officer of any
political committee, conducting personal business (over $2,000) with
any public official, deliver money earmarked for a particular
candidate or knowingly take steps to circumvent this law. No
candidates may accept any money which would be in violation of this
law.

Any person or business with a contract of $50,000 or more with the
state, any person who owns 10% or more of such a business, any senior
manager of such a business, or any family member of one of those


persons must report any campaign donations within seven days (if
within 36 days of the election) or within 31 days (all other times).
These reports, made to the state board of elections, shall be
available for public inspection.

Contribution limits to political campaigns would be set for persons or
businesses with certain contracts and it would be unlawful to make
contributions to political committees in excess of $4,000 per
election. Such persons and businesses would also be prohibited from
soliciting or transmitting contributions on behalf of others
participate in fundraising activities for certain candidates, serving
as an officer for a political committee, conducting personal business
transactions over $2,000 with any public official, delivering any
contribution for a specific candidate and attempting to circumvent
this law.

The state would be barred from entering into contracts with any person
or business that violates the provisions of this bill. All contracts
must contain a provision describing these requirements and before
entering into such a contract, the state shall receive a sworn
statement from the bidder that they have not made a contribution in
violation of this law.

Lobbyists, persons who have received large contracts from the state,
persons who own more than 10% of a lobbying business, a senior
manager of a lobbying business, or an immediate family member of any
of those people will be prohibited from appointment to a state public
board or commission which has the authority to award or audit any
public contract.

Amends the use of campaign funds for personal use by specifically
identifying what expenditures of campaign funds are permitted. These
include but are not limited to, promoting the nomination or election
of a candidate, expenses related to holding public office including
the production and circulation of flyers or other written materials,
sponsorship of local meetings, tickets or donations to local
charities, non-profit or political events, operational legislative
expenses, get-well-gifts, flowers or items of nominal value for
constituents. Travel related to official duties of office and the
purchase of office equipment or leasing is permitted.

This bill prohibits the use of campaign funds for personal use for the
benefit of defraying personal living expenses of the candidate or
immediate family members. No funds can be used to cover expenses
unrelated to the candidate's campaign or duties as an office holder
or increase the candidates' gross income. No household items,
utilities repairs or improvements of the candidate's personal
residence. No salary or fee expenses that exceed fair and
reasonable market value, tuition payments, dues, fees, or expenses
for private clubs or non-political organizations,
automobile purchases or leases, or cell phone equipment not used
solely for campaign purposes.

No funds shall be used for tickets to sporting events or to pay
attorney's fees associated with defending against any civil or
criminal prosecution for alleged violations of law that have
occurred while holding office or as a candidate.


An authorized
candidate must dispose of all funds and close the account within four
years from the end of the term of service or the date of their last
election. The funds can be
returned to the contributors, donated to charitable organizations,
state universities, and the state's general fund or transferred to a
political party committee registered with the board of elections.
Upon the death of a candidate all campaign contributions shall be
disposed of within twelve months.

JUSTIFICATION:
Recent lobbying scandals at the national level have highlighted the
potential for inappropriate and sometimes illegal influence by
lobbyists over government officials. In the past, two state
legislators and one top-ranking Pataki Administration official have
been sent to prison and another lawmaker resigned in disgrace for
violating the public trust. In order to restore that trust, it is
essential that New York adopt strict standards of behavior for its
public officials, and enforce those standards in a vigilant and
consistent manner.

New York, in comparison with other states, has not been a leader in
terms of adopting strong ethics standards for our public officials.
This legislation would increase the amount of information shared with
the public regarding relationships between lobbyists and legislators
and bring much needed sunlight into our governmental process.

The first provision of this legislation addresses difficulties in
determining the extent of lobbyists' contributions to political
campaigns. In the wake of the Abramoff scandal at the national level,
it is clear that such contributions are often given by lobbyists with
the goal of inappropriately or illegally influencing the governmental
decision making process. This legislation would reveal any such
relationship to the public.

The next two provisions address issues of business employment
relationships between lobbyists and public officials or their
families. Because the New York state legislature is officially a part
time job, New York State legislators are often employed in positions
with law firms that do business with lobbying firms. These
relationships should be disclosed to the public. similarly, the
public has a right to know if close relatives of legislators are
employed as lobbyists, to citizens who are in a position to evaluate
whether such relationships result in inappropriate influence over a
government decision making.

This bill also addresses a number of concerns with how campaign funds
are raised and expended. Currently, New York's election law( allowing
candidates to spend campaign funds for "any lawful purpose," is among
the most lax in the nation. While spending campaign funds for
personal use is technically prohibited, the lack of any definition
for what constitutes a personal use renders the provision
meaningless. This shortcoming in the law is striking when compared to
the detailed restrictions issued by the Federal Election Commission.
And when it is combined with the provision that allows elected
officials to retain campaign funds for any use related to the holding
of public office( it gives legislators virtual carte blanche for


expenditures that are, at best, tangentially related to their
campaigns and official duties.

Examples of successful, unsuccessful or former candidates using excess
campaign funds for luxury vehicles, sky boxes, extravagant meals,
international travel and home improvements have regularly appeared in
newspapers
across the state. There is a growing and justifiable public
perception that campaign funds are being used to enhance the post
election lifestyles of candidates for public office. Such largesse
turns the ideal of representatives serving the public on its head.

Campaign donors have a reasonable expectation that their contributions
will be used for the candidate's election efforts and the execution
of his or her duties. They do not expect their contributions to
subsidize personal spending. This legislation addresses these abuses
while preserving elected officials' ability to fluid the legitimate
work of their offices.

By adding a detailed list, both in generalities and specific examples,
to the current language, the line as to what can and cannot be done
is brightly drawn. In addition to the obvious need to spend campaign
funds on campaigns, the expanded definition makes it clear that
expenditures related to holding public office are restricted to those
costs that would not otherwise be incurred if an individual was a
private citizen.

In addition, the bill sets limits on how long campaign committees can
be maintained by former candidates. Reports of committees continuing
years after campaigns were ended are all too common. By setting time
limits and also specifying how excess funds can be disbursed, this
abuse will be eliminated.

The bill also requires campaign committees to identify contributions
from lobbyists registered with the Temporary State Lobbying Commission.
This is in response to concerns that past changes in the
interpretation of what constitutes an illegal gift by the commission
will result in the use of campaign funds from lobbyists in place of
the prohibited gifts from lobbyists. coupled with the more stringent
standard for the personal use of campaign funds, the detailing of
lobbyists contributions will make it all the more difficult to
justify such expenditures.

Finally the bill prohibits the soliciting or receiving of
contributions for a campaign for state or federal office while in a
senior policy position in the executive branch. This is in response
to the past disclosure that the head of an executive agency who
acknowledged that he was not a candidate for any office, continued to
raise and spend campaign funds to enhance his life style. To engage
in such actions while overseeing an industry which is actively and at
great expense lobbies state government, at the very least gives the
impression that favorable decisions were being sold and, true or not,
feeds public cynicism. The legislation, again in conjunction with the
new, more clearly delineated limits on the use of campaign funds,
prohibits such misuse of campaign funds.

FISCAL IMPLICATIONS:


None.

EFFECTIVE DATE:
This act shall take effect on the first of January next succeeding the
date on which it shall have become a law, except that various
sections of the bill take effect at various different dates, with
provisions.

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

                                  3053

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                            February 7, 2011
                               ___________

Introduced  by Sens. KRUEGER, DUANE, SERRANO, SQUADRON -- read twice and
  ordered printed, and when printed to be committed to the Committee  on
  Finance

AN ACT to amend the legislative law and the election law, in relation to
  disclosures  required for lobbyists, and to amend the election law and
  the public officers law, in relation to campaign  funds  for  personal
  use

  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 (w) to read as follows:
  (W)  THE TERM "FAMILY MEMBER" SHALL MEAN ANY OF THE FOLLOWING, INCLUD-
ING  PARENTS,  STEPPARENTS,  SPOUSE,  DOMESTIC  PARTNERS,  GRANDPARENTS,
BROTHERS, SISTERS, UNCLES, AND AUNTS, WHETHER OF THE WHOLE BLOOD OR HALF
BLOOD OR BY OR THROUGH LEGAL SANCTION.
  S 2.  Paragraph 5 of subdivision (b) of section 1-h of the legislative
law is amended by adding two new subparagraphs (vi) and (vii) to read as
follows:
  (VI)  THE CAMPAIGN CONTRIBUTIONS MADE, IN ANY FORM, TO ANY CAMPAIGN OR
POLITICAL COMMITTEE IN NEW YORK STATE BY THE CLIENT BY WHOM OR ON  WHOSE
BEHALF  THE  LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED, BY THE LOBBY-
IST, AND BY ANY EMPLOYEES OF THE LOBBYIST.
  (VII) THE AMOUNT OF COMPENSATION PAID AND  THE  NAMES  OF  ANY  FAMILY
MEMBERS  OF  A PUBLIC OFFICIAL TO WHOM A LOBBYIST AND THE CLIENT BY WHOM
OR ON WHOSE BEHALF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED  HAS
PAID  COMPENSATION  OF  MORE  THAN FIVE HUNDRED DOLLARS IN THE PRECEDING
CALENDAR YEAR FOR PERSONAL EMPLOYMENT OR PROFESSIONAL SERVICES.
  S 3. Subdivision (b) of section 1-h of the legislative law is  amended
by adding a new paragraph 6 to read as follows:
  (6) THE NAME, ADDRESS AND TELEPHONE NUMBER OF ANY PUBLIC OFFICIAL WITH
WHOM THE LOBBYIST HAS ANY BUSINESS RELATIONSHIP.

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD08084-01-1

S. 3053                             2

  S  4. Paragraph 5 of subdivision (b) of section 1-j of the legislative
law is amended by adding two new subparagraphs (vi) and (vii) to read as
follows:
   (VI) THE CAMPAIGN CONTRIBUTIONS MADE, IN ANY FORM, TO ANY CAMPAIGN OR
POLITICAL  COMMITTEE IN NEW YORK STATE BY THE CLIENT BY WHOM OR ON WHOSE
BEHALF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED, BY  THE  LOBBY-
IST, AND BY ANY EMPLOYEES OF THE LOBBYIST.
  (VII)  THE  AMOUNT  OF  COMPENSATION  PAID AND THE NAMES OF ANY FAMILY
MEMBERS OF A PUBLIC OFFICIAL TO WHOM A LOBBYIST AND THE CLIENT  BY  WHOM
OR  ON WHOSE BEHALF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED HAS
PAID COMPENSATION OF MORE THAN FIVE HUNDRED  DOLLARS  IN  THE  PRECEDING
CALENDAR YEAR FOR PERSONAL EMPLOYMENT OR PROFESSIONAL SERVICES.
  S  5. Subdivision (b) of section 1-j of the legislative law is amended
by adding a new paragraph 6 to read as follows:
 (6) THE NAME, ADDRESS AND TELEPHONE NUMBER OF ANY PUBLIC OFFICIAL  WITH
WHOM THE LOBBYIST HAS ANY BUSINESS RELATIONSHIP.
  S  6. The election law is amended by adding three new sections 14-131,
14-132 and 14-133 to read as follows:
  S 14-131. LOBBYIST REPORTING AND CONTRIBUTION LIMITS.  1. DEFINITIONS.
THE FOLLOWING DEFINITIONS SHALL APPLY TO THIS SECTION:
  A. "AGENT" MEANS ANY PERSON ACTING AT THE DIRECTION OF OR ON BEHALF OF
AN INDIVIDUAL OR BUSINESS ENTITY;
  B.  "BUSINESS  ENTITY"  MEANS  A  BUSINESS  CORPORATION,  PROFESSIONAL
SERVICES  CORPORATION,  LIMITED  LIABILITY COMPANY, PARTNERSHIP, LIMITED
PARTNERSHIP, BUSINESS TRUST, ASSOCIATION OR ANY OTHER  LEGAL  COMMERCIAL
ENTITY  ORGANIZED  UNDER  THE  LAWS  OF THIS STATE OR ANY OTHER STATE OR
FOREIGN JURISDICTION, INCLUDING ANY SUBSIDIARY  DIRECTLY  OR  INDIRECTLY
CONTROLLED  BY  THE  BUSINESS  ENTITY,  AND  ANY POLITICAL ORGANIZATION,
INCLUDING BUT NOT LIMITED TO ANY POLITICAL ORGANIZATION ORGANIZED  UNDER
SECTION 527 OF THE INTERNAL REVENUE CODE, THAT IS DIRECTLY OR INDIRECTLY
CONTROLLED BY THE BUSINESS ENTITY;
  C.  "IMMEDIATE  FAMILY"  MEANS ANY SPOUSE OR CHILD OF AN INDIVIDUAL OR
ANY FINANCIALLY DEPENDENT  RELATIVES  WHO  RESIDE  IN  THE  INDIVIDUAL'S
HOUSEHOLD;
  D.  "HOUSEKEEPING  ACCOUNT"  MEANS  AN  ACCOUNT  MAINTAINED BY A PARTY
COMMITTEE OR CONSTITUTED COMMITTEE FROM WHICH EXPENDITURES ARE  MADE  TO
MAINTAIN  A PERMANENT HEADQUARTERS AND STAFF AND CARRY ON ORDINARY PARTY
ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDI-
DACY OF SPECIFIC CANDIDATES;
  E. "CANDIDATE FOR STATE OFFICE" MEANS A CANDIDATE  FOR  THE  FOLLOWING
STATE  OFFICES:  GOVERNOR,  LIEUTENANT GOVERNOR, ATTORNEY GENERAL, COMP-
TROLLER, SENATOR, AND MEMBER OF THE ASSEMBLY;
  F. "BEHESTED PAYMENTS" MEANS CONTRIBUTIONS OR  PAYMENTS  SOLICITED  BY
STATE  ELECTED  OFFICIALS  TO  BE  USED FOR LEGISLATIVE, GOVERNMENTAL OR
CHARITABLE PURPOSES, BUT NOT CAMPAIGN PURPOSES; AND
  G. "PERSONAL BUSINESS TRANSACTION"  MEANS  TRANSACTIONS  FOR  SERVICES
OFFERED  BY  THE  ELECTED  OFFICIAL  IN HIS OR HER CAPACITY AS A PRIVATE
CITIZEN TO ANY MEMBER OF THE PUBLIC.
  2. THE FOLLOWING PERSONS AND BUSINESS ENTITIES WHO MAKE A CONTRIBUTION
TO A CANDIDATE FOR STATE OFFICE, A POLITICAL COMMITTEE WORKING  DIRECTLY
OR  INDIRECTLY  TO  AID OR PARTICIPATE IN SUCH CANDIDATE'S NOMINATION OR
ELECTION, A POLITICAL COMMITTEE ESTABLISHED OR CONTROLLED BY SUCH CANDI-
DATE, OR A STATE OR LOCAL COMMITTEE OF A POLITICAL  PARTY,  INCLUDING  A
HOUSEKEEPING  ACCOUNT,  SHALL  FILE  REPORTS  AS REQUIRED BY SUBDIVISION
THREE OF THIS SECTION WITH THE STATE BOARD  OF  ELECTIONS  WITHIN  SEVEN
CALENDAR DAYS AFTER THE DATE OF A CONTRIBUTION:

S. 3053                             3

  A.  A  LOBBYIST REGISTERED UNDER SECTION ONE-E OF THE LEGISLATIVE LAW,
INCLUDING ANY PERSON, ORGANIZATION, GROUP OF PERSONS OR BUSINESS  ENTITY
THAT IS SO REGISTERED;
  B.  ANY  PERSON  WHO  OWNS  MORE THAN TEN PERCENT OF A BUSINESS ENTITY
DESCRIBED IN PARAGRAPH A OF THIS SUBDIVISION;
  C. ANY PERSON EMPLOYED BY AN ORGANIZATION, GROUP, OR  BUSINESS  ENTITY
DESCRIBED  IN PARAGRAPH A OF THIS SUBDIVISION WHO HOLDS A SENIOR MANAGE-
MENT POSITION AS DEFINED BY THE COMMISSION ON GOVERNMENTAL ETHICS;
  D. THE IMMEDIATE FAMILY MEMBER OF A PERSON WHO IS DESCRIBED  IN  PARA-
GRAPH A, B OR C OF THIS SUBDIVISION; OR
  E.  ANY  POLITICAL  COMMITTEE  ESTABLISHED  OR CONTROLLED BY A PERSON,
ORGANIZATION, GROUP OF PERSONS OR BUSINESS  ENTITY  DESCRIBED  IN  PARA-
GRAPHS A, B, C OR D OF THIS SUBDIVISION.
  3. THE BOARD OF ELECTIONS SHALL PRESCRIBE FORMS AND PROCEDURES FOR THE
REPORTING  REQUIRED IN SUBDIVISION TWO OF THIS SECTION WHICH, AT A MINI-
MUM, SHALL REQUIRE ELECTRONIC FILING OF THE FOLLOWING INFORMATION:
  A. THE NAME, ADDRESS, EMPLOYER AND NAME OF SPOUSE OF THE PERSON MAKING
THE CONTRIBUTION AND THE NAME OF THE SPOUSE'S EMPLOYER;
  B. THE NAME OF THE CANDIDATE, POLITICAL COMMITTEE, OR STATE  OR  LOCAL
COMMITTEE  OF  A  POLITICAL  PARTY,  INCLUDING  A  HOUSEKEEPING ACCOUNT,
RECEIVING THE CONTRIBUTION;
  C. THE AMOUNT AND DATE OF THE CONTRIBUTION; AND
  D. IF AN ORGANIZATION, GROUP OF PERSONS, OR BUSINESS ENTITY IS  MAKING
THE CONTRIBUTION:
  (I)  THE NAMES AND BUSINESS ADDRESSES OF ALL PERSONS WHO OWN MORE THAN
TEN PERCENT OF THE ORGANIZATION, GROUP OR ENTITY; OR
  (II) THE NAMES AND BUSINESS ADDRESSES OF ALL PERSONS EMPLOYED  BY  THE
ORGANIZATION,  GROUP,  OR  BUSINESS  ENTITY WHO HOLD A SENIOR MANAGEMENT
POSITION AS DEFINED BY THE COMMISSION ON GOVERNMENTAL ETHICS.
  4. ELECTED OFFICIALS MUST  REPORT  ANY  BEHESTED  PAYMENTS  THEY  HAVE
SOLICITED  IF THEY TOTAL FIVE THOUSAND DOLLARS OR MORE PER CALENDAR YEAR
FROM A SINGLE SOURCE WITHIN THIRTY DAYS OF THE DATE THE BEHESTED PAYMENT
IS MADE ON FORMS PROSCRIBED BY THE COMMISSION ON GOVERNMENTAL ETHICS.
  5. THE BOARD OF ELECTIONS SHALL MAINTAIN COMPLETED FORMS  AND  REPORTS
DESCRIBED  IN SUBDIVISION TWO OF THIS SECTION FOR PUBLIC INSPECTION BOTH
AT THE BOARD OF ELECTIONS OFFICE AND  THROUGH  THE  BOARD  OF  ELECTIONS
ELECTRONIC FILING SYSTEM FOR CAMPAIGN FINANCE DISCLOSURE (EFS).
  6. IT SHALL BE UNLAWFUL FOR ANY PERSON, ORGANIZATION, GROUP OF PERSONS
OR  BUSINESS ENTITY DESCRIBED IN PARAGRAPHS A, B, C, D AND E OF SUBDIVI-
SION TWO OF THIS SECTION TO:
  A. MAKE CONTRIBUTIONS TO A CANDIDATE FOR  STATE  OFFICE,  A  POLITICAL
COMMITTEE  WORKING  DIRECTLY OR INDIRECTLY TO AID OR PARTICIPATE IN SUCH
CANDIDATE'S NOMINATION OR ELECTION, OR A POLITICAL COMMITTEE ESTABLISHED
OR CONTROLLED BY SUCH CANDIDATE THAT EXCEED THE  FOLLOWING  AMOUNTS  PER
ELECTION FOR THE FOLLOWING OFFICES:
  (I) GOVERNOR:  FIVE HUNDRED DOLLARS;
  (II) LIEUTENANT GOVERNOR:  FIVE HUNDRED DOLLARS;
  (III) ATTORNEY GENERAL:  FIVE HUNDRED DOLLARS;
  (IV) COMPTROLLER:  FIVE HUNDRED DOLLARS;
  (V) SENATOR: THREE HUNDRED FIFTY DOLLARS; AND
  (VI) MEMBER OF ASSEMBLY: TWO HUNDRED FIFTY DOLLARS;
  B. MAKE CONTRIBUTIONS TO:
  (I)  POLITICAL  COMMITTEES  WORKING  DIRECTLY  OR INDIRECTLY TO AID OR
PARTICIPATE IN THE NOMINATION OR ELECTION OF A CANDIDATE FOR THE OFFICES
DESCRIBED IN SUBPARAGRAPHS (I), (II), (III), (IV), (V) AND (VI) OF PARA-
GRAPH A OF THIS SUBDIVISION, OR OTHER POLITICAL  COMMITTEES  ESTABLISHED

S. 3053                             4

OR  CONTROLLED BY A CANDIDATE FOR THE OFFICES DESCRIBED IN SUBPARAGRAPHS
(I), (II), (III), (IV), (V) AND (VI) OF PARAGRAPH A OF THIS SUBDIVISION,
THAT IN THE AGGREGATE EXCEED FOUR THOUSAND DOLLARS PER ELECTION; OR
  (II)  STATE  OR  LOCAL  COMMITTEES OF A POLITICAL PARTY, OR ANY HOUSE-
KEEPING ACCOUNT, IN AN AMOUNT GREATER  THAN  ONE  THOUSAND  DOLLARS  PER
ELECTION,  AND IN AN AGGREGATE TO ALL STATE OR LOCAL COMMITTEES OF POLI-
TICAL PARTIES IN AN AGGREGATE THAT  EXCEEDS  TWO  THOUSAND  DOLLARS  PER
ELECTION;
  C.  TRANSMIT  A  CONTRIBUTION  ON  BEHALF  OF ANOTHER TO, OR SOLICIT A
CONTRIBUTION ON BEHALF OF:
  (I) A CANDIDATE FOR ANY OF THE OFFICES  FOR  WHICH  CONTRIBUTIONS  ARE
LIMITED UNDER PARAGRAPH A OF THIS SUBDIVISION;
  (II)  ANY POLITICAL COMMITTEE WORKING DIRECTLY OR INDIRECTLY TO AID OR
PARTICIPATE IN THE NOMINATION OR ELECTION OF A CANDIDATE FOR OFFICE  FOR
WHICH  THEIR  CONTRIBUTIONS  ARE LIMITED IN PARAGRAPH A OF THIS SUBDIVI-
SION, OR ANY OTHER POLITICAL COMMITTEE ESTABLISHED OR  CONTROLLED  BY  A
CANDIDATE  FOR  THE  OFFICES  FOR  WHICH THEIR CONTRIBUTIONS ARE LIMITED
UNDER PARAGRAPH A OF THIS SUBDIVISION;
  (III) A STATE OR LOCAL COMMITTEE OF A  POLITICAL  PARTY,  INCLUDING  A
HOUSEKEEPING ACCOUNT;
  D. PARTICIPATE IN ANY FUND-RAISING ACTIVITIES FOR:
  (I)  A  CANDIDATE  FOR  ANY OF THE OFFICES FOR WHICH CONTRIBUTIONS ARE
LIMITED UNDER PARAGRAPH A OF THIS SUBDIVISION;
  (II) ANY POLITICAL COMMITTEE WORKING DIRECTLY OR INDIRECTLY TO AID  OR
PARTICIPATE  IN THE NOMINATION OR ELECTION OF A CANDIDATE FOR OFFICE FOR
WHICH THEIR CONTRIBUTIONS ARE LIMITED IN PARAGRAPH A  OF  THIS  SUBDIVI-
SION,  OR  ANY  OTHER POLITICAL COMMITTEE ESTABLISHED OR CONTROLLED BY A
CANDIDATE FOR THE OFFICES FOR  WHICH  THEIR  CONTRIBUTIONS  ARE  LIMITED
UNDER PARAGRAPH A OF THIS SUBDIVISION;
  (III)  A  STATE  OR  LOCAL COMMITTEE OF A POLITICAL PARTY, INCLUDING A
HOUSEKEEPING ACCOUNT;
  E. SERVE AS CHAIRPERSON, TREASURER, OR ANY OTHER OFFICER OF:
  (I) ANY POLITICAL COMMITTEE WORKING DIRECTLY OR INDIRECTLY TO  AID  OR
PARTICIPATE  IN THE NOMINATION OR ELECTION OF A CANDIDATE FOR OFFICE FOR
WHICH THEIR CONTRIBUTIONS ARE LIMITED UNDER PARAGRAPH A OF THIS SUBDIVI-
SION; OR
  (II) ANY OTHER POLITICAL COMMITTEE  ESTABLISHED  OR  CONTROLLED  BY  A
CANDIDATE FOR WHICH THEIR CONTRIBUTIONS ARE LIMITED UNDER PARAGRAPH A OF
THIS SUBDIVISION;
  F.  CONDUCT PERSONAL BUSINESS TRANSACTIONS IN AN AMOUNT OVER TWO THOU-
SAND DOLLARS IN ANY CALENDAR YEAR WITH A  PUBLIC  OFFICIAL  HOLDING  THE
OFFICES  FOR  WHICH THEIR CONTRIBUTIONS ARE LIMITED UNDER PARAGRAPH A OF
THIS SUBDIVISION;
  G. DELIVER TO ANY CONDUIT OR INTERMEDIARY ANY  CONTRIBUTION  EARMARKED
FOR A PARTICULAR CANDIDATE FOR THE OFFICES FOR WHICH THEIR CONTRIBUTIONS
ARE  LIMITED  UNDER  PARAGRAPH  A  OF THIS SUBDIVISION, OR ANY COMMITTEE
WORKING DIRECTLY OR INDIRECTLY TO AID OR PARTICIPATE IN SUCH CANDIDATE'S
NOMINATION OR ELECTION, OR ANY OTHER POLITICAL COMMITTEE ESTABLISHED  OR
CONTROLLED BY SUCH CANDIDATE; OR
  H.  KNOWINGLY  TAKE OTHER STEPS TO CIRCUMVENT THE RESTRICTIONS IN THIS
SUBSECTION.
  7. NO CANDIDATE FOR STATE OFFICE, COMMITTEE WORKING DIRECTLY OR  INDI-
RECTLY TO AID OR PARTICIPATE IN SUCH CANDIDATE'S NOMINATION OR ELECTION,
OR  ANY  OTHER  POLITICAL  COMMITTEE  ESTABLISHED  OR CONTROLLED BY SUCH
CANDIDATE SHALL ACCEPT  CONTRIBUTIONS  FROM  ANY  PERSON,  ORGANIZATION,
GROUP  OF  PERSONS, OR BUSINESS ENTITY DESCRIBED IN PARAGRAPH A, B, C, D

S. 3053                             5

OR E OF SUBDIVISION TWO  OF  THIS  SECTION  THAT  EXCEED  THE  FOLLOWING
AMOUNTS PER ELECTION FOR THE FOLLOWING OFFICES:
  A. GOVERNOR:  FIVE HUNDRED DOLLARS;
  B. LIEUTENANT GOVERNOR:  FIVE HUNDRED DOLLARS;
  C. COMPTROLLER:  FIVE HUNDRED DOLLARS;
  D. ATTORNEY GENERAL:  FIVE HUNDRED DOLLARS;
  E. SENATOR: THREE HUNDRED FIFTY DOLLARS; AND
  F. MEMBER OF ASSEMBLY: TWO HUNDRED FIFTY DOLLARS.
  8.  NO STATE OR LOCAL POLITICAL PARTY COMMITTEES, INCLUDING ANY HOUSE-
KEEPING ACCOUNT, SHALL ACCEPT CONTRIBUTIONS IN AN  AMOUNT  GREATER  THAN
ONE  THOUSAND  DOLLARS PER ELECTION FROM ANY PERSON, ORGANIZATION, GROUP
OF PERSONS OR BUSINESS ENTITY DESCRIBED IN PARAGRAPH A, B, C, D OR E  OF
SUBDIVISION TWO OF THIS SECTION.
  9. NO PUBLIC OFFICIAL HOLDING ANY OF THE OFFICES LISTED IN PARAGRAPH A
OF SUBDIVISION SIX OF THIS SECTION SHALL CONDUCT PERSONAL BUSINESS TRAN-
SACTIONS  IN  AN  AMOUNT  OVER TWO THOUSAND DOLLARS IN ANY CALENDAR YEAR
WITH ANY PERSON, ORGANIZATION,  GROUP  OF  PERSONS  OR  BUSINESS  ENTITY
DESCRIBED  IN  PARAGRAPH  A,  B,  C,  D  OR E OF SUBDIVISION TWO OF THIS
SECTION.
  10. THIS SECTION SHALL NOT PROHIBIT  ANY  PERSON  FROM  INFORMING  ANY
OTHER PERSON OF A POSITION TAKEN BY A PUBLIC OFFICIAL OR A CANDIDATE FOR
PUBLIC OFFICE.
  11.  THE  PROVISIONS OF SUBDIVISIONS TWO AND SIX OF THIS SECTION SHALL
NOT APPLY TO THE CAMPAIGN OF ANY PERSON DESCRIBED IN PARAGRAPH A,  B,  C
OR  D  OF  SUBDIVISION TWO OF THIS SECTION WHO IS A CANDIDATE FOR ANY OF
THOSE OFFICES LISTED IN PARAGRAPH A OF SUBDIVISION SIX OF THIS SECTION.
  S 14-132. GOVERNMENT CONTRACTOR REPORTING AND CONTRIBUTION LIMITS.  1.
DEFINITIONS. THE FOLLOWING DEFINITIONS SHALL APPLY TO THIS SECTION:
  A. "AGENT" MEANS ANY PERSON ACTING AT THE DIRECTION OF OR ON BEHALF OF
AN INDIVIDUAL OR BUSINESS ENTITY;
  B.  "BUSINESS  ENTITY"  MEANS  A  BUSINESS  CORPORATION,  PROFESSIONAL
SERVICES  CORPORATION,  LIMITED  LIABILITY COMPANY, PARTNERSHIP, LIMITED
PARTNERSHIP, BUSINESS TRUST, ASSOCIATION OR ANY OTHER  LEGAL  COMMERCIAL
ENTITY  ORGANIZED  UNDER  THE  LAWS  OF THIS STATE OR ANY OTHER STATE OR
FOREIGN JURISDICTION, INCLUDING ANY SUBSIDIARY  DIRECTLY  OR  INDIRECTLY
CONTROLLED  BY  THE  BUSINESS  ENTITY,  AND  ANY POLITICAL ORGANIZATION,
INCLUDING BUT NOT LIMITED TO ANY POLITICAL ORGANIZATION ORGANIZED  UNDER
SECTION 527 OF THE INTERNAL REVENUE CODE, THAT IS DIRECTLY OR INDIRECTLY
CONTROLLED BY THE BUSINESS ENTITY;
  C.  "IMMEDIATE  FAMILY"  MEANS ANY SPOUSE OR CHILD OF AN INDIVIDUAL OR
ANY FINANCIALLY DEPENDENT  RELATIVES  WHO  RESIDE  IN  THE  INDIVIDUAL'S
HOUSEHOLD;
  D.  "HOUSEKEEPING  ACCOUNT"  MEANS  AN  ACCOUNT  MAINTAINED BY A PARTY
COMMITTEE OR CONSTITUTED COMMITTEE FROM WHICH EXPENDITURES ARE  MADE  TO
MAINTAIN  A PERMANENT HEADQUARTERS AND STAFF AND CARRY ON ORDINARY PARTY
ACTIVITIES WHICH ARE NOT FOR THE EXPRESS PURPOSE OF PROMOTING THE CANDI-
DACY OF SPECIFIC CANDIDATES;
  E. "CANDIDATE FOR STATE OFFICE" MEANS A CANDIDATE  FOR  THE  FOLLOWING
STATE  OFFICES:  GOVERNOR,  LIEUTENANT GOVERNOR, ATTORNEY GENERAL, COMP-
TROLLER, SENATOR, AND MEMBER OF THE ASSEMBLY; AND
  F. "PERSONAL BUSINESS TRANSACTION"  MEANS  TRANSACTIONS  FOR  SERVICES
OFFERED  BY  THE  ELECTED  OFFICIAL  IN HIS OR HER CAPACITY AS A PRIVATE
CITIZEN TO ANY MEMBER OF THE PUBLIC.
  2. THE FOLLOWING PERSONS AND BUSINESS ENTITIES WHO MAKE A CONTRIBUTION
TO A CANDIDATE FOR STATE OFFICE, A POLITICAL COMMITTEE WORKING  DIRECTLY
OR  INDIRECTLY  TO  AID OR PARTICIPATE IN SUCH CANDIDATE'S NOMINATION OR

S. 3053                             6

ELECTION, A POLITICAL COMMITTEE ESTABLISHED OR CONTROLLED BY SUCH CANDI-
DATE, OR A STATE OR LOCAL COMMITTEE OF A POLITICAL  PARTY,  INCLUDING  A
HOUSEKEEPING  ACCOUNT,  SHALL  FILE  REPORTS  AS REQUIRED BY SUBDIVISION
THREE  OF THIS SECTION WITH THE BOARD OF ELECTIONS WITHIN SEVEN CALENDAR
DAYS AFTER THE DATE OF A CONTRIBUTION MADE WITHIN THIRTY-SIX DAYS OF  AN
ELECTION,   OR,  FOR  CONTRIBUTIONS  MADE  AT  ANY  OTHER  TIME,  WITHIN
THIRTY-SIX DAYS OF THE DATE OF THE  CONTRIBUTION  OR  THE  DATE  OF  ANY
APPLICABLE CONTRACT, WHICHEVER OCCURS LATER:
  A. ANY PERSON, ORGANIZATION, GROUP OF PERSONS, OR BUSINESS ENTITY THAT
HAS  RECEIVED, IN A CALENDAR YEAR FIFTY THOUSAND DOLLARS OR MORE THROUGH
CONTRACTS FROM THE STATE OR ANY STATE-APPOINTED ENTITY WITH  CONTRACTING
POWER;
  B. ANY PERSON WHO OWNS MORE THAN TEN PERCENT OF A BUSINESS ENTITY THAT
IS DESCRIBED IN PARAGRAPH A OF THIS SUBDIVISION;
  C.  ANY  PERSON EMPLOYED BY AN ORGANIZATION, GROUP, OR BUSINESS ENTITY
DESCRIBED IN PARAGRAPH A OF THIS SUBDIVISION WHO HOLDS A SENIOR  MANAGE-
MENT POSITION AS DEFINED BY THE STATE ETHICS COMMISSION;
  D.  THE  IMMEDIATE FAMILY MEMBER OF A PERSON WHO IS DESCRIBED IN PARA-
GRAPH A, B OR C OF THIS SUBDIVISION; OR
  E. ANY POLITICAL COMMITTEE ESTABLISHED  OR  CONTROLLED  BY  A  PERSON,
ORGANIZATION, GROUP OF PERSONS OR BUSINESS ENTITY DESCRIBED IN PARAGRAPH
A, B, C AND D OF THIS SUBDIVISION.
  3. THE BOARD OF ELECTIONS SHALL PRESCRIBE FORMS AND PROCEDURES FOR THE
REPORTING  REQUIRED IN SUBDIVISION TWO OF THIS SECTION WHICH, AT A MINI-
MUM, SHALL REQUIRE THE ELECTRONIC FILING OF THE FOLLOWING INFORMATION:
  A. THE NAME, ADDRESS, EMPLOYER AND THE NAME OF SPOUSE  OF  THE  PERSON
MAKING THE CONTRIBUTION AND THE NAME OF THE SPOUSE'S EMPLOYER;
  B.  THE  NAME OF THE CANDIDATE, POLITICAL COMMITTEE, OR STATE OR LOCAL
COMMITTEE OF  A  POLITICAL  PARTY,  INCLUDING  A  HOUSEKEEPING  ACCOUNT,
RECEIVING THE CONTRIBUTION;
  C.  THE  AMOUNT OF THE CONTRACT WITH THE STATE OR OTHER ENTITY DEFINED
IN PARAGRAPH A OF SUBDIVISION TWO OF THIS SECTION,  AND  THE  DATES  AND
OTHER INFORMATION IDENTIFYING EACH CONTRACT FOR SERVICES OR GOODS; AND
  D.  IF AN ORGANIZATION, GROUP OF PERSONS, OR BUSINESS ENTITY IS MAKING
THE CONTRIBUTION:
  (I) THE NAMES AND BUSINESS ADDRESSES OF ALL PERSONS WHO OWN MORE  THAN
TEN PERCENT OF THE ORGANIZATION, GROUP OR ENTITY; OR
  (II)  THE  NAMES AND BUSINESS ADDRESSES OF ALL PERSONS EMPLOYED BY THE
ORGANIZATION, GROUP, OR BUSINESS ENTITY WHO  HOLD  A  SENIOR  MANAGEMENT
POSITION AS DEFINED BY THE COMMISSION ON GOVERNMENTAL ETHICS.
  4.  THE  BOARD OF ELECTIONS SHALL MAINTAIN COMPLETED FORMS AND REPORTS
DESCRIBED IN SUBDIVISION TWO OF THIS SECTION FOR PUBLIC INSPECTION  BOTH
AT  THE  BOARD  OF  ELECTIONS  OFFICE AND THROUGH THE BOARD OF ELECTIONS
ELECTRONIC FILING SYSTEM FOR CAMPAIGN FINANCE DISCLOSURE (EFS).
  5. FROM TWELVE MONTHS AFTER A BID OR PROPOSAL TO THE  RELEVANT  AGENCY
OR  CONTRACTING AUTHORITY FOR A CONTRACT DESCRIBED IN SUBDIVISION TWO OF
THIS SECTION AND EITHER TWELVE MONTHS AFTER COMPLETION OF THE APPLICABLE
CONTRACT, OR UPON COMPLETION OF THE APPLICABLE ELECTED  OFFICIAL'S  TERM
IN  OFFICE,  WHICHEVER  IS  LONGER, IT SHALL BE UNLAWFUL FOR ANY PERSON,
ORGANIZATION, GROUP OF PERSONS OR BUSINESS  ENTITY  DESCRIBED  IN  PARA-
GRAPHS A, B, C AND D OR E OF SUBDIVISION TWO OF THIS SECTION TO:
  A.  MAKE  CONTRIBUTIONS TO A CANDIDATE FOR STATE OFFICE, ANY POLITICAL
COMMITTEE WORKING DIRECTLY OR INDIRECTLY TO AID OR PARTICIPATE  IN  SUCH
CANDIDATE'S  NOMINATION  OR  ELECTION,  OR ANY OTHER POLITICAL COMMITTEE
ESTABLISHED OR CONTROLLED BY SUCH CANDIDATE THAT  EXCEED  THE  FOLLOWING
AMOUNTS PER ELECTION FOR THE FOLLOWING OFFICES:

S. 3053                             7

  (I) GOVERNOR: FIVE HUNDRED DOLLARS;
  (II) LIEUTENANT GOVERNOR: FIVE HUNDRED DOLLARS;
  (III) COMPTROLLER: FIVE HUNDRED DOLLARS;
  (IV) ATTORNEY GENERAL: FIVE HUNDRED DOLLARS;
  (V) SENATOR: THREE HUNDRED FIFTY DOLLARS; OR
  (VI) MEMBER OF ASSEMBLY: TWO HUNDRED FIFTY DOLLARS;
  B. MAKE CONTRIBUTIONS TO:
  (I)  POLITICAL  COMMITTEES  WORKING  DIRECTLY  OR INDIRECTLY TO AID OR
PARTICIPATE IN THE NOMINATION OR ELECTION OF A CANDIDATE FOR THE OFFICES
DESCRIBED IN SUBPARAGRAPHS (I), (II), (III), (IV), (V) AND (VI) OF PARA-
GRAPH A OF THIS SUBDIVISION, OR OTHER POLITICAL  COMMITTEES  ESTABLISHED
OR  CONTROLLED BY A CANDIDATE FOR THE OFFICES DESCRIBED IN SUBPARAGRAPHS
(I), (II), (III), (IV), (V) AND (VI) OF PARAGRAPH A OF THIS  SUBDIVISION
THAT IN THE AGGREGATE EXCEED FOUR THOUSAND DOLLARS PER ELECTION; OR
  (II)  STATE  OR  LOCAL  COMMITTEES OF A POLITICAL PARTY, OR ANY HOUSE-
KEEPING ACCOUNT, IN AN AMOUNT GREATER  THAN  ONE  THOUSAND  DOLLARS  PER
ELECTION,  AND IN AN AGGREGATE TO ALL STATE OR LOCAL COMMITTEES OF POLI-
TICAL PARTIES IN AN AGGREGATE THAT  EXCEEDS  TWO  THOUSAND  DOLLARS  PER
ELECTION;
  C.  SOLICIT A CONTRIBUTION ON BEHALF OF, OR TRANSMIT A CONTRIBUTION ON
BEHALF OF ANOTHER TO:
  (I) A CANDIDATE FOR ANY OF THE OFFICES  FOR  WHICH  CONTRIBUTIONS  ARE
LIMITED UNDER PARAGRAPH A OF THIS SUBDIVISION;
  (II)  ANY POLITICAL COMMITTEE WORKING DIRECTLY OR INDIRECTLY TO AID OR
PARTICIPATE IN THE NOMINATION OR ELECTION OF A CANDIDATE FOR OFFICE  FOR
WHICH  THEIR  CONTRIBUTIONS  ARE LIMITED IN PARAGRAPH A OF THIS SUBDIVI-
SION, OR ANY OTHER POLITICAL COMMITTEE ESTABLISHED OR  CONTROLLED  BY  A
CANDIDATE  FOR  THE  OFFICES  FOR  WHICH THEIR CONTRIBUTIONS ARE LIMITED
UNDER PARAGRAPH A OF THIS SUBDIVISION;
  (III) A STATE OR LOCAL COMMITTEE OF  A  POLITICAL  PARTY  INCLUDING  A
HOUSEKEEPING ACCOUNT;
  D. PARTICIPATE IN ANY FUND-RAISING ACTIVITIES FOR:
  (I)  A  CANDIDATE  FOR  ANY OF THE OFFICES FOR WHICH CONTRIBUTIONS ARE
LIMITED UNDER PARAGRAPH A OF THIS SUBDIVISION;
  (II) ANY POLITICAL COMMITTEE WORKING DIRECTLY OR INDIRECTLY TO AID  OR
PARTICIPATE  IN THE NOMINATION OR ELECTION OF A CANDIDATE FOR OFFICE FOR
WHICH THEIR CONTRIBUTIONS ARE LIMITED IN PARAGRAPH A  OF  THIS  SUBDIVI-
SION,  OR  ANY  OTHER POLITICAL COMMITTEE ESTABLISHED OR CONTROLLED BY A
CANDIDATE FOR THE OFFICES FOR  WHICH  THEIR  CONTRIBUTIONS  ARE  LIMITED
UNDER PARAGRAPH A OF THIS SUBDIVISION;
  (III)  A  STATE  OR  LOCAL COMMITTEE OF A POLITICAL PARTY, INCLUDING A
HOUSEKEEPING ACCOUNT;
  E. SERVE AS CHAIRPERSON, TREASURER, OR ANY OTHER OFFICER OF:
  (I) ANY POLITICAL COMMITTEE WORKING DIRECTLY OR INDIRECTLY TO  AID  OR
PARTICIPATE  IN THE NOMINATION OR ELECTION OF A CANDIDATE FOR OFFICE FOR
WHICH THEIR CONTRIBUTIONS ARE LIMITED UNDER PARAGRAPH A OF THIS SUBDIVI-
SION; OR
  (II) ANY OTHER POLITICAL COMMITTEE  ESTABLISHED  OR  CONTROLLED  BY  A
CANDIDATE FOR WHICH THEIR CONTRIBUTIONS ARE LIMITED UNDER PARAGRAPH A OF
THIS SUBDIVISION;
  F.  CONDUCT PERSONAL BUSINESS TRANSACTIONS IN AN AMOUNT OVER TWO THOU-
SAND DOLLARS IN ANY CALENDAR YEAR WITH A  PUBLIC  OFFICIAL  HOLDING  THE
OFFICES  FOR  WHICH THEIR CONTRIBUTIONS ARE LIMITED UNDER PARAGRAPH A OF
THIS SUBDIVISION;
  G. DELIVER TO ANY CONDUIT OR INTERMEDIARY ANY  CONTRIBUTION  EARMARKED
FOR A PARTICULAR CANDIDATE FOR THE OFFICES FOR WHICH THEIR CONTRIBUTIONS

S. 3053                             8

ARE  LIMITED  UNDER  PARAGRAPH  A  OF THIS SUBDIVISION, OR ANY COMMITTEE
WORKING DIRECTLY OR INDIRECTLY TO AID OR PARTICIPATE IN SUCH CANDIDATE'S
NOMINATION OR ELECTION, OR ANY OTHER POLITICAL COMMITTEE ESTABLISHED  OR
CONTROLLED BY SUCH CANDIDATE; OR
  H.  KNOWINGLY  TAKE  ANY  STEP  TO CIRCUMVENT THE RESTRICTIONS IN THIS
SUBDIVISION.
  I. THE PROVISIONS OF THIS SECTION SHALL NOT  APPLY  FOR  A  CONTRACTOR
MAKING  A CONTRIBUTION, OR ANY DISCLOSURE THEREOF REQUIRED BY THIS ARTI-
CLE, IN ANY CALENDAR  YEAR  IN  WHICH  SUCH  CONTRACTOR  RECEIVES  FUNDS
DISBURSED  BY  THE  STATE  OR  ANY INSTRUMENTALITY THEREOF PURSUANT TO A
FEDERAL STATUTE, RULE OR REGULATION THAT WOULD RENDER THE STATE OR  SUCH
INSTRUMENTALITY OR CONTRACTOR INELIGIBLE TO RECEIVE SUCH FUNDS BY VIRTUE
OF THE OPERATION OF THIS SECTION.
  THIS  SUBDIVISION SHALL NOT BE APPLICABLE TO CONTRIBUTIONS MADE BY ANY
PERSON, ORGANIZATION, GROUP OF PERSONS OR BUSINESS ENTITY AT A TIME WHEN
THE PERSON, ORGANIZATION, GROUP OF PERSONS OR BUSINESS  ENTITY  DID  NOT
MEET  THE DESCRIPTIONS OF PARAGRAPHS A, B, C, D AND E OF SUBDIVISION TWO
OF THIS SECTION.
  6. THE STATE OR ANY STATE DEPARTMENT, PUBLIC ENTITY OR AUTHORITY  WITH
CONTRACT-MAKING  POWER  SHALL  NOT  ENTER INTO AN AGREEMENT OR OTHERWISE
CONTRACT TO PROCURE SERVICES OR ANY MATERIAL, SUPPLIES OR EQUIPMENT,  OR
TO  ACQUIRE, SELL, OR LEASE ANY LAND OR BUILDING FROM ANY PERSON, ORGAN-
IZATION, GROUP OF PERSONS OR BUSINESS ENTITY DESCRIBED IN PARAGRAPHS  A,
B,  C  AND  D OF SUBDIVISION TWO OF THIS SECTION WHO HAS MADE A CONTRIB-
UTION PROHIBITED IN SUBDIVISION FIVE OF THIS SECTION.  THIS  SUBDIVISION
SHALL  NOT  BE APPLICABLE TO CONTRIBUTIONS MADE BY ANY PERSON, ORGANIZA-
TION, GROUP OF PERSONS OR BUSINESS ENTITY AT A  TIME  WHEN  THE  PERSON,
ORGANIZATION,  GROUP  OF  PERSONS  OR  BUSINESS  ENTITY DID NOT MEET THE
DESCRIPTIONS OF PARAGRAPH A, B, C, D OR E OF  SUBDIVISION  TWO  OF  THIS
SECTION.  NOTHING IN THIS SECTION SHALL IMPAIR THE POWER OF THE STATE OR
ANY INSTRUMENTALITY THEREOF TO ENTER INTO A CONTRACT WITH ANY CONTRACTOR
WHERE  FEDERAL  FUNDS  WOULD  SUPPORT THE PAYMENT OR PERFORMANCE OF SUCH
CONTRACT AND A FEDERAL STATUTE, RULE  OR  REGULATION  WOULD  RENDER  THE
STATE  OR  SUCH INSTRUMENTALITY OR CONTRACTOR INELIGIBLE TO RECEIVE SUCH
FUNDS BY VIRTUE OF THE OPERATION OF THIS SECTION.
  7. EVERY CONTRACT AND BID APPLICATION AND  SPECIFICATIONS  PROMULGATED
BY  THE  STATE  OR ANY STATE DEPARTMENT, PUBLIC ENTITY OR AUTHORITY WITH
CONTRACT-MAKING POWER SHALL CONTAIN A PROVISION DESCRIBING THE  REQUIRE-
MENTS OF SECTION 14-116 OF THIS ARTICLE.
  8. BEFORE ENTERING INTO ANY AGREEMENT OR ANY OTHER CONTRACT TO PROCURE
FROM  ANY  PERSON,  ORGANIZATION,  GROUP  OF  PERSONS OR BUSINESS ENTITY
SERVICES OR ANY MATERIAL, SUPPLIES OR EQUIPMENT, OR TO ACQUIRE, SELL, OR
LEASE ANY LAND OR BUILDING, THE STATE OR ANY  STATE  DEPARTMENT,  PUBLIC
ENTITY  OR  AUTHORITY  WITH  CONTRACT-MAKING POWER SHALL RECEIVE A SWORN
STATEMENT FROM THE CONTRACTOR, MADE UNDER PENALTY OF PERJURY,  THAT  THE
BIDDER  OR  OFFERER  HAS  NOT  MADE  A CONTRIBUTION IN VIOLATION OF THIS
SECTION.
  9. NO CANDIDATE FOR STATE OFFICE SHALL ACCEPT  CAMPAIGN  CONTRIBUTIONS
FROM  A  PERSON,  ORGANIZATION,  GROUP  OF  PERSONS  OR  BUSINESS ENTITY
DESCRIBED IN PARAGRAPH A, B, C, D  OR  E  OF  SUBDIVISION  TWO  OF  THIS
SECTION  IN AN AMOUNT EXCEEDING THOSE PERMITTED IN PARAGRAPH A OF SUBDI-
VISION FIVE OF THIS SECTION FOR TWELVE MONTHS AFTER  COMPLETION  OF  THE
APPLICABLE CONTRACT, OR THE REMAINDER OF THE CANDIDATE'S TERM IN OFFICE,
WHICHEVER  IS  LONGER.    THIS  SUBDIVISION  SHALL  NOT BE APPLICABLE TO
CONTRIBUTIONS MADE BY ANY PERSON,  ORGANIZATION,  GROUP  OF  PERSONS  OR
BUSINESS  ENTITY  AT  A  TIME  WHEN  THE  PERSON, ORGANIZATION, GROUP OF

S. 3053                             9

PERSONS OR BUSINESS ENTITY DID NOT MEET THE DESCRIPTIONS OF PARAGRAPH A,
B, C, D OR E OF SUBDIVISION TWO OF THIS SECTION.
  10.  NO PUBLIC OFFICIAL HOLDING ANY OF THE OFFICES LISTED IN PARAGRAPH
A OF SUBDIVISION FIVE OF THIS SECTION SHALL  CONDUCT  PERSONAL  BUSINESS
TRANSACTIONS IN AN AMOUNT OVER TWO THOUSAND DOLLARS IN ANY CALENDAR YEAR
WITH  ANY  PERSON,  ORGANIZATION,  GROUP  OF  PERSONS OR BUSINESS ENTITY
DESCRIBED IN PARAGRAPHS A, B,  C  AND  D  OF  SUBDIVISION  TWO  OF  THIS
SECTION.
  11.  THIS  SECTION  SHALL  NOT  PROHIBIT ANY PERSON FROM INFORMING ANY
OTHER PERSON OF A POSITION TAKEN BY A PUBLIC OFFICIAL OR A CANDIDATE FOR
PUBLIC OFFICE.
  12. THE PROVISIONS OF SUBDIVISIONS TWO AND FIVE OF THIS SECTION  SHALL
NOT  APPLY  TO THE CAMPAIGN OF ANY PERSON DESCRIBED IN PARAGRAPH A, B, C
OR D OF SUBDIVISION TWO OF THIS SECTION WHO IS A CANDIDATE  FOR  ANY  OF
THOSE OFFICES LISTED IN PARAGRAPH A OF SUBDIVISION FIVE OF THIS SECTION.
  S  14-133.  COMMISSIONING  AUTHORITIES AND LICENSING AUTHORITIES.  THE
FOLLOWING PERSONS SHALL NOT BE APPOINTED TO  A  STATE  PUBLIC  BOARD  OR
COMMISSION  WHICH  HAS  THE  AUTHORITY  TO  AWARD  OR  AUDIT  ANY PUBLIC
CONTRACT:
  1. A LOBBYIST REGISTERED UNDER SECTION ONE-E OF THE LEGISLATIVE LAW;
  2. ANY PERSON OR BUSINESS ENTITY WHO, IN THE PREVIOUS TWO  YEARS,  HAS
RECEIVED  FIFTY  THOUSAND  DOLLARS OR MORE THROUGH ONE OR MORE CONTRACTS
FROM THE STATE OR ANY STATE-APPOINTED ENTITY WITH CONTRACTING POWER;
  3. ANY PERSON WHO OWNS MORE THAN TEN PERCENT OF A BUSINESS ENTITY THAT
IS DESCRIBED IN SUBDIVISION TWO OF THIS SECTION;
  4. ANY PERSON EMPLOYED BY AN ORGANIZATION, GROUP, OR  BUSINESS  ENTITY
DESCRIBED  IN SUBDIVISION TWO OF THIS SECTION WHO HOLDS A SENIOR MANAGE-
MENT POSITION AS DEFINED BY THE COMMISSION ON GOVERNMENTAL ETHICS; OR
  5. AN IMMEDIATE FAMILY MEMBER OF A  PERSON  DESCRIBED  IN  SUBDIVISION
ONE, TWO, THREE, OR FOUR OF THIS SECTION.
  S  7.  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. 1.  Contributions  received
by  a  candidate  or a political committee may ONLY be expended for [any
lawful purpose. Such funds shall not be converted by  any  person  to  a
personal  use  which is unrelated to a political campaign or the holding
of a public office  or  party  position]  BONA  FIDE  PURPOSES  DIRECTLY
RELATED TO EITHER:
  A. PROMOTING THE NOMINATION OR ELECTION OF A CANDIDATE; OR
  B.  PERFORMING  THOSE  DUTIES OF PUBLIC OFFICE OR PARTY POSITION WHICH
ARE NOT PAID FOR OR ELIGIBLE FOR REIMBURSEMENT BY THE STATE OR ANY POLI-
TICAL SUBDIVISION OR PRIVATE PARTY.
  2. PERMISSIBLE ORDINARY AND NECESSARY EXPENSES RELATING TO THE HOLDING
OF PUBLIC OFFICE OR PARTY POSITION SHALL INCLUDE:
  A. PRODUCTION AND CIRCULATION OF FLYERS  OR  OTHER  WRITTEN  MATERIALS
RELATED  TO  DUTIES  OF OFFICEHOLDER; THE PLACEMENT OF HOLIDAY GREETINGS
AND CONGRATULATORY ADS AND MEMORIAL NOTICES IN LOCAL  NEWSPAPERS,  MAGA-
ZINES, JOURNALS OR OTHER PUBLICATION;
  B.  SPONSORSHIP OR HOSTING OF COMMUNITY MEETINGS; TICKETS OR DONATIONS
TO LOCAL CHARITABLE, NON-PROFIT OR POLITICAL  EVENTS,  ORGANIZATIONS  OR
ACTIVITIES  THAT  PROMOTE  THE  WELFARE  OF  CONSTITUENTS  OR  POLITICAL
CAMPAIGNS;
  C. INCIDENTAL EXPENDITURES FOR THE OPERATION OF  LEGISLATIVE  OFFICES,
INCLUDING  PURCHASE OF ITEMS SUCH AS MEMORIAL OR GET-WELL GIFTS, FLOWERS
OR SIMILAR ITEMS OF NOMINAL VALUE FOR CONSTITUENTS OR OTHERS;

S. 3053                            10

  D. MEMBERSHIP IN ORGANIZATIONS RELATED TO OFFICIAL DUTIES AND COSTS OF
ATTENDING  INFORMATIONAL  MEETINGS  ATTENDED  IN  CONNECTION  WITH  SUCH
DUTIES; AND
  E. TRAVEL RELATED TO DUTIES OF OFFICE, PROVIDED THAT THE TRAVEL IS NOT
UNDERTAKEN  FOR ANY PURPOSE RESULTING IN A PERSONAL OR FINANCIAL BENEFIT
TO THE CANDIDATE OR OFFICEHOLDER. IF SUCH EXPENSES INVOLVE BOTH PERSONAL
ACTIVITY AND CAMPAIGN OR OFFICIAL ACTIVITIES, THE  INCREMENTAL  EXPENSES
ASSOCIATED  WITH  THE  PERSONAL  ACTIVITIES ARE PERSONAL USES UNLESS THE
CAMPAIGN IS REIMBURSED FOR SUCH SUMS  FROM  OTHER  THAN  CAMPAIGN  FUNDS
WITHIN THIRTY DAYS OF THE EXPENDITURE.
  NOTHING  IN  THIS  SECTION  SHALL PROHIBIT A CANDIDATE FROM PURCHASING
OFFICE EQUIPMENT WITH PERSONAL FUNDS AND LEASING OR RENTING SUCH  EQUIP-
MENT  OR  PROPERTY  TO  A  COMMITTEE  WORKING WITH OR FOR THE CANDIDATE,
PROVIDED THE CANDIDATE OR THE CAMPAIGN TREASURER SIGN A WRITTEN LEASE OR
RENTAL AGREEMENT AND FILES IT WITH  THE  APPROPRIATE  REQUIRED  CAMPAIGN
FINANCIAL  FILING  WHICH  SHALL  INCLUDE THE LEASE OR RENTAL PRICE WHICH
SHALL NOT EXCEED THE FAIR LEASE OR RENTAL VALUE OF THE EQUIPMENT  OR  IN
THE AGGREGATE EXCEED THE COST OF ITS PURCHASE.
  3.  CAMPAIGN FUNDS SHALL NOT BE CONVERTED TO PERSONAL USE, WHICH SHALL
BE DEFINED AS EXPENDITURES THAT:
  A. ARE FOR THE PERSONAL BENEFIT OF OR TO DEFRAY NORMAL LIVING EXPENSES
OF THE CANDIDATE, OFFICEHOLDER, IMMEDIATE FAMILY OR PARTNER OF EITHER OR
ANY OTHER PERSON;
  B. ARE USED TO FULFILL ANY COMMITMENT,  OBLIGATION,  OR  EXPENSE  THAT
WOULD  EXIST  IRRESPECTIVE  OF  THE CANDIDATE'S CAMPAIGN OR DUTIES AS AN
OFFICEHOLDER; OR
  C. ARE PUT TO ANY USE FOR WHICH THE CANDIDATE OR OFFICEHOLDER WOULD BE
REQUIRED TO TREAT THE AMOUNT OF THE EXPENDITURE AS  GROSS  INCOME  UNDER
SECTION 61 OF THE INTERNAL REVENUE CODE.
  4.  EXPENDITURES  FOR  PERSONAL  USE  SHALL  ALSO INCLUDE, BUT ARE NOT
LIMITED TO, EXPENDITURES FOR:
  A. RESIDENTIAL OR HOUSEHOLD  ITEMS,  SUPPLIES,  MAINTENANCE  OR  OTHER
EXPENDITURES,  INCLUDING MORTGAGE, RENT, UTILITIES, REPAIRS, OR IMPROVE-
MENTS FOR ANY PART OF ANY PERSONAL RESIDENCE OF A CANDIDATE  OR  OFFICE-
HOLDER, HIS OR HER IMMEDIATE FAMILY OR PARTNER;
  B.  RENT  OR UTILITY PAYMENTS THAT EXCEED FAIR MARKET VALUE FOR USE OF
ANY PART OF ANY NON-RESIDENTIAL PROPERTY OWNED  BY  A  CANDIDATE,  OR  A
MEMBER OF A CANDIDATE'S FAMILY OR PARTNER USED FOR CAMPAIGN PURPOSES;
  C.  SALARY  AND  OTHER  FEES  FOR  BONA FIDE SERVICES TO A CAMPAIGN OR
LEGISLATIVE OFFICE THAT EXCEED FAIR AND REASONABLE MARKET VALUE OF  SUCH
SERVICES;
  D.  INTEREST  OR  ANY  OTHER  FINANCE CHARGES FOR MONIES LOANED TO THE
CAMPAIGN BY THE CANDIDATE OR THE SPOUSE OR PARTNER OF SUCH CANDIDATE;
  E. TUITION PAYMENTS;
  F. DUES, FEES, OR GRATUITIES AT PRIVATE CLUBS, RECREATIONAL FACILITIES
OR OTHER NONPOLITICAL ORGANIZATIONS,  UNLESS  CONNECTED  TO  A  SPECIFIC
WIDELY ATTENDED FUNDRAISING EVENT THAT TAKES PLACE ON THE ORGANIZATION'S
PREMISES;
  G.  AUTOMOBILE  PURCHASES  OR LONG TERM LEASES; SHORT TERM CAR RENTALS
AND CELLULAR EQUIPMENT AND SERVICES NOT USED  EXCLUSIVELY  FOR  CAMPAIGN
PURPOSES OR DUTIES AS AN OFFICEHOLDER;
  H. ADMISSION TO SPORTING EVENTS, CONCERTS, THEATERS, OR OTHER FORMS OF
ENTERTAINMENT,  UNLESS  PART  OF  A  SPECIFIC  CAMPAIGN  OR OFFICEHOLDER
RELATED ACTIVITY; AND
  I. PAYMENT OF ANY FINES, FEES, OR PENALTIES ASSESSED PURSUANT TO  THIS
CHAPTER.

S. 3053                            11

  5. NO CAMPAIGN FUNDS SHALL BE USED TO PAY ATTORNEY'S FEES OR ANY COSTS
OF  DEFENDING AGAINST ANY CIVIL OR CRIMINAL INVESTIGATION OR PROSECUTION
FOR ALLEGED VIOLATIONS OF STATE OR FEDERAL  LAW  ALLEGED  TO  HAVE  BEEN
COMMITTED WHILE HOLDING PUBLIC OFFICE OR AS A CANDIDATE FOR OFFICE WHERE
THE  CANDIDATE  OR  PUBLIC OR PARTY OFFICIAL, MEMBERS OF THEIR IMMEDIATE
FAMILIES OR PARTNERS OR THE CAMPAIGN IS THE TARGET OF SUCH INVESTIGATION
OR PROSECUTION UNLESS SUCH EXPENDITURE IS  USED  EXCLUSIVELY  FOR  COSTS
RELATED  TO  CIVIL OR CRIMINAL ACTIONS FOR ALLEGED VIOLATIONS RELATED TO
ACTIVITIES PROMOTING THE NOMINATION OR ELECTION OF A CANDIDATE.
  S 8. The election law is amended by adding a  new  section  14-134  to
read as follows:
  S  14-134.  DISPOSITION OF CAMPAIGN FUNDS. 1. AN AUTHORIZED CONTINUING
CANDIDATE COMMITTEE MUST DISPOSE OF ALL  FUNDS  AND  CLOSE  WITHIN  FOUR
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 CANDIDATE.
  2.  ANY  CANDIDATE OR POLITICAL COMMITTEE REQUIRED TO DISPOSE OF FUNDS
PURSUANT TO THIS SECTION SHALL, AT THE OPTION OF THE CANDIDATE,  OR  THE
TREASURER  OF A POLITICAL COMMITTEE FORMED SOLELY TO PROMOTE THE PASSAGE
OR DEFEAT OF A BALLOT PROPOSAL, 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;
  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.
  3. NO CANDIDATE OR POLITICAL COMMITTEE SHALL DISPOSE OF CAMPAIGN FUNDS
BY  MAKING EXPENDITURES FOR PERSONAL USE AS DEFINED IN SECTION 14-130 OF
THIS ARTICLE.
  4. 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  9.  Subdivision 1 of section 14-102 of the election law, as amended
by chapter 8 and 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

S. 3053                            12

received,  IF THE CONTRIBUTOR IS A LOBBYIST REGISTERED PURSUANT TO ARTI-
CLE ONE-A OF THE LEGISLATIVE LAW and if the transferor,  contributor  or
person  is  a  political  committee;  the name of and the political unit
represented by the committee, the date of its receipt, the dollar amount
of  every expenditure, the name and address of the person to whom it was
made or the name of and the political unit represented by the  committee
to  which  it was made and the date thereof, and shall state clearly the
purpose of such expenditure. 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 sepa-
rate items in said statements, and receipts and contributions  aggregat-
ing not more than ninety-nine dollars, from any one contributor need not
be  specifically  accounted  for  by  separate items in said statements,
provided however, that such  expenditures,  receipts  and  contributions
shall be subject to the other provisions of section 14-118 of this arti-
cle.
  S  10.  Subdivision  3  of  section  74  of the public officers law is
amended by adding a new paragraph j to read as follows:
  J. NO OFFICER OR EMPLOYEE OF A STATE AGENCY REQUIRED TO FILE AN ANNUAL
STATEMENT OF FINANCIAL DISCLOSURE PURSUANT TO SECTION SEVENTY-THREE-A OF
THIS ARTICLE SHALL SOLICIT OR RECEIVE CONTRIBUTIONS FOR A  CAMPAIGN  FOR
STATE OR FEDERAL OFFICE.
  S 11. This act shall take effect on the first of January next succeed-
ing  the date on which it shall have become a law; provided that section
14-132 of the election law as added by section six  of  this  act  shall
take  effect  two  years after such effective date; and provided further
that sections seven, eight, nine and ten of this act shall  take  effect
on the sixtieth day after it shall have become a law; provided, however,
that  the  state board of elections shall notify all registered campaign
committees of the applicable provisions of sections seven,  eight,  nine
and  ten of this act within thirty days after this act shall have become
a law.

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