Assembly Actions -
Lowercase Senate Actions - UPPERCASE |
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Jan 06, 2010 |
referred to finance |
Sep 10, 2009 |
recommitted to rules tabled vote reconsidered - restored to third reading lost ordered to third reading cal.960 |
Sep 04, 2009 |
referred to rules |
Senate Bill S6157
2009-2010 Legislative Session
Relates to legislative ethics reform; repealer
download bill text pdfSponsored By
(D, WF) Senate District
Archive: Last Bill Status - In Senate Committee Finance Committee
- Introduced
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- In Committee Assembly
- In Committee Senate
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- On Floor Calendar Assembly
- On Floor Calendar Senate
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- Passed Assembly
- Passed Senate
- Delivered to Governor
- Signed By Governor
Actions
Votes
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Floor Vote: Sep 10, 2009
aye (31)nay (29)
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Sep 10, 2009 - Rules Committee Vote
S615711Aye10Nay3Aye with Reservations0Absent0Excused0Abstained-
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Rules Committee Vote: Sep 10, 2009
aye (11)aye wr (3)
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2009-S6157 (ACTIVE) - Details
- Current Committee:
- Senate Finance
- Law Section:
- Legislative Law
- Laws Affected:
- Amd §§1-c, 1-d, 60, 80 & 81, Leg L; add §74-b, Pub Off L; amd §94, Exec L; amd §22 Chap of 2009 (as proposed in S.6064/A.9032); amd §§3-102, 14-102 & 14-126, rpld & add §3-104, add §16-120, El L
2009-S6157 (ACTIVE) - Sponsor Memo
BILL NUMBER: S6157 TITLE OF BILL : An act to amend the legislative law and the public officers law, in relation to ethics reform; to amend the executive law, in relation to review of disclosure statements; to amend a chapter of the laws of 2009 amending the executive law and other laws relating to governmental ethics and compliance, as proposed in legislative bills numbers S.6064 and A.9032, in relation to the effectiveness thereof; to amend the election law, in relation to a state board of elections enforcement unit, contribution delivery activities by an intermediary, and penalties for violations; and to repeal certain provisions of the election law relating to board of elections enforcement powers PURPOSE OR GENERAL IDEA OF BILL : Makes amendments to the ethics reforms proposed in S.6064/A.9032, and adds additional language to reform various provisions of the state's campaign finance laws. SUMMARY OF SPECIFIC PROVISIONS : Section 1 amends paragraphs (i), (ix) and (x) of subdivision (c) of section 1-c of the Legislative Law, to clarify the definition of
"lobbying" to include resolutions, and any other official action by the State Legislature. Section 2 amends subdivision (b) of section 1-d of the Legislative Law to provide that no person who has been a state or local elected official, a state employee or a registered lobbyist may serve on the State Commission on Lobbying and Ethics Compliance for 7 years after having served in such position. Section 3 requires the appropriate legislative committees with jurisdiction over the Joint Legislative Commission on Ethics Standards to hold an oversight hearing regarding the commission's annual report and recommendations of the commission within 45 days of the release of such report by the commission. Section 4 amends paragraph (d)(ii) of subdivision 2 of section 80 of the Legislative Law extends the prohibition on the appointment of persons who have been registered lobbyists to the Legislative Office of Ethics Investigations from 2 years to 7 years. Section 5 amends subitem (ii) of item (a) of clause 3 of subparagraph (iv) of paragraph (a) of subdivision 4 of section 80 of the legislative law, to alter the list of information that the Legislative Office of Ethics Investigations must submit to the Joint Legislative Commission. Section 6 amends subdivision a of section 81 of the Legislative Law to provide that no person who has been a state or local elected official, a state employee or a registered lobbyist may serve on the State Commission on Lobbying and Ethics Compliance for 7 years after having served in such position. Section 7 is amended by adding a new Legislative Law § 80(18), which requires the Joint Legislative Commission on Ethics Standards to develop a protocol for the Legislative Office of Ethics Investigations to perform random reviews of annual statements of financial disclosure filed by persons under the Joint Legislative Commission's jurisdiction. Section 8 adds a new Public Officers Law § 74-b to require state officers to report business dealings with lobbyists. Section 9 amends subdivision 2 of section 94 of the Executive Law to provide that no person who has been a state or local elected official, a state employee or a registered lobbyist may serve on the Executive Ethics and Compliance Commission for 7 years after having served in such position. Section 10 is amended by adding a new paragraph o of subdivision 8 of section 94 of the Executive Law, which requires the Executive Ethics and Compliance Commission to develop a protocol for the performance of random reviews of annual statements of financial disclosure filed by persons under the Commission's jurisdiction. Section 11 changes the sunset date of S.6064/A.9032, from 6 years to 3 years. Section 12 makes a conforming change to Election Law § 3-102, to add a reference to the State Board of Elections Enforcement Unit, which is created in section 9. Section 13 repeals Election Law § 3-104 and adds a new Election Law § 3-104 to establish the State Board of Elections Enforcement Unit, which shall have sole authority within the State Board of Elections to investigate alleged campaign finance complaints and violations. Section 14 amends Election Law § 14-102 (1) to require greater disclosure of contributor employment and campaign expenditure information. Section 15 amends Election Law § 14-126 to increase the maximum civil penalty for a violation of New York's campaign finance laws, and to make the willful acceptance of excess contributions subject to a fine of two times the amount of the excess plus a fine of up to $10,000, and must refund the excess contribution. Section 16 authorizes the Board of Elections Enforcement Unit to institute an enforcement in State Supreme Court for violations of the Article 14 of the Elections Law. Section 17 provides for an effective date. JUSTIFICATION : This bill seeks to improve the ethics reforms proposed in S.6064/A.9032 by: - requiring random audits of financial disclosure statements filed by legislators and legislative staff in the same manner that the State Commission on Lobbying and Ethics Compliance would be directed to perform random audits of lobbyists and their clients; - requiring state officers to report their business dealings with lobbyists; - allowing the Legislative Office of Ethics Investigations to initiate its own investigations, rather than waiting for a referral of a complaint; - clarifying the definition of "lobbying" to include resolutions, and any other official action by the State Legislature; - extending the prohibition on the appointment of persons who have been registered lobbyists to the Legislative Office of Ethics Investigations from 2 years to 7 years; and - changing the sunset date of S.6064/A.9032, from 6 years to 3 years. The ethics reforms proposed in S.6064/A.9032 will increase the independence and effectiveness of the state's ethics entities and fix some of the weaknesses of the current ethics oversight system. The bill also reforms various provisions of the state's campaign finance laws, as follows: - creates a dedicated enforcement unit within the State Board of Elections; - requires greater disclosure of campaign expenditure information; - authorizes the Board of Elections Enforcement Unit to institute an enforcement in State Supreme Court for violations of the Article 14 of the Elections Law; and - increases penalties for violations of Election Law Article 14. PRIOR LEGISLATIVE HISTORY : New bill. FISCAL IMPLICATIONS FOR STATE AND LOCAL GOVERNMENTS : The ethics reforms provisions of this bill (sections 1 through 11) will have no additional fiscal impacts on the state beyond those identified in the sponsor's memorandum for S.6064/A.9032. The campaign finance provisions of this bill (sections 12 through 16) will result in increased costs to the state as a result of the creation of a dedicated enforcement unit within the State Board of Elections. However, the increase in fines and the Board's ability to bring additional enforcement actions should offset at least some of these increased costs. EFFECTIVE DATE : The amendments to the Executive Law, the Legislative Law and the Public Officers Law are effective on the same date as provided for in S.6064/ A.9032. The amendments to the Election Law are effective 60 days after the bill becomes law. However, contributions lawfully received before the effective date of this act may not provide the basis for a violation of Article 14 of the Election Law.
2009-S6157 (ACTIVE) - Bill Text download pdf
S T A T E O F N E W Y O R K ________________________________________________________________________ 6157 2009-2010 Regular Sessions I N S E N A T E September 4, 2009 ___________ Introduced by Sen. SAMPSON -- read twice and ordered printed, and when printed to be committed to the Committee on Rules AN ACT to amend the legislative law and the public officers law, in relation to ethics reform; to amend the executive law, in relation to review of disclosure statements; to amend a chapter of the laws of 2009 amending the executive law and other laws relating to govern- mental ethics and compliance, as proposed in legislative bills numbers S.6064 and A.9032, in relation to the effectiveness thereof; to amend the election law, in relation to a state board of elections enforce- ment unit, contribution delivery activities by an intermediary, and penalties for violations; and to repeal certain provisions of the election law relating to board of elections enforcement powers THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM- BLY, DO ENACT AS FOLLOWS: Section 1. Paragraphs (i), (ix) and (x) of subdivision (c) of section 1-c of the legislative law, as added by chapter 1 of the laws of 2005, are amended and a new paragraph (xi) is added to read as follows: (i) the passage or defeat of any legislation OR RESOLUTION by either house of the state legislature, THE OUTCOME OF ANY ACTION OR PETITION BY EITHER HOUSE OF THE STATE LEGISLATURE or approval or disapproval of any legislation by the governor; (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[.]; OR (XI) THE OUTCOME OF ANY OTHER OFFICIAL ACT OF THE STATE LEGISLATURE. S 2. Subdivision (b) of section 1-d of the legislative law, as added by a chapter of the laws of 2009, amending the executive law and other laws relating to governmental ethics and compliance, as proposed in EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets [ ] is old law to be omitted. LBD14427-11-9
S. 6157 2 legislative bills numbers S.6064 and A.9032, is amended to read as follows: (b) The term of office of the members shall be for four years commenc- ing with the first day of January, two thousand ten. No member of the commission shall, OR SHALL HAVE WITHIN THE PRECEDING SEVEN YEARS: (I) hold any other state or local public office for which he or she receives compensation; [nor shall any member] (II) be employed by the state or any local political subdivision[. No person]; (III) BE subject to the jurisdiction of the commission and the provisions of this article or registered as a lobbyist in any jurisdiction [may serve on the commis- sion]. S 3. Section 60 of the legislative law, as amended by chapter 416 of the laws of 1954, is amended to read as follows: S 60. Testimony before legislative committees. 1. A legislative committee may require the attendance of witnesses in this state whom the committee may wish to examine, or may issue a commission for the exam- ination of witnesses who are out of the state or unable to attend the committee or excused from attendance, which commission if directed by the house or legislature by which the committee is appointed may be executed during the recess of the legislature. A commission issued as provided by this section shall be in the form used in the courts of record of this state and shall be executed in like manner. Unless other- wise instructed by the committee appointing them the commissioners shall examine privately every witness attending before them and shall not make public the particulars of such examination. No committee of either house or a joint committee of both houses shall have the power to take testi- mony at a private hearing or at a public hearing unless at least two of its members are present at such hearing. 2. THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS, AS ESTAB- LISHED BY SECTION EIGHTY-ONE OF THIS CHAPTER, SHALL BE SUBJECT TO OVER- SIGHT BY THE LEGISLATURE. THE LEGISLATIVE COMMITTEES RESPONSIBLE FOR OVERSIGHT OF THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS CREATED PURSUANT TO SECTION EIGHTY-ONE OF THIS CHAPTER SHALL HOLD HEAR- INGS REGARDING THE ANNUAL REPORT AND RECOMMENDATIONS OF THE COMMISSION WITHIN FORTY-FIVE DAYS OF THE PUBLIC RELEASE OF THE COMMISSION'S ANNUAL REPORT. S 4. Paragraph (d) of subdivision 2 of section 80 of the legislative law, as added by a chapter of the laws of 2009, amending the executive law and other laws relating to governmental ethics and compliance, as proposed in legislative bills numbers S.6064 and A.9032, is amended to read as follows: (d) No individual shall be eligible for appointment to, or service on, the board who IS, OR WHO HAS BEEN WITHIN THE PRECEDING SEVEN YEARS: (i) [is] a lobbyist registered in New York state; (ii) [has been registered in any such lobbying registry at any time during the previous two years before the date of appointment; (iii) is] a member of or candidate for a position in the New York state legislature; or [(iv) is] (III) an officer or employee of the New York state govern- ment. S 5. Subitem (ii) of item (a) of clause 3 of subparagraph (iv) of paragraph (a) of subdivision 4 of section 80 of the legislative law, as added by a chapter of the laws of 2009, amending the executive law and other laws relating to governmental ethics and compliance, as proposed in legislative bills numbers S.6064 and A.9032, is amended to read as follows: S. 6157 3 (ii) In addition it will transmit: (1) A description of any relevant information that it was unable to obtain and witnesses it was unable to interview, and the reasons there- for; (2) [A recommendation for the issuance of subpoenas where appropriate, if any; (3)] A citation of any relevant law, rule, regulation, or standard of conduct; [(4)] (3) The names of all witnesses; [and (5)] (4) Any conclusions regarding the validity of the allegations upon which it is based or the guilt or innocence of the individual who is the subject of the review; and [(6)] (5) Any supporting documentation. S 6. Subdivision a of section 81 of the legislative law, as added by a chapter of the laws of 2009, amending the executive law and other laws relating to governmental ethics and compliance, as proposed in legisla- tive bills numbers S.6064 and A.9032, is amended to read as follows: a. There is established a joint legislative commission on ethics standards which shall consist of eight members and which shall be responsible for training, education, and advice regarding sections seventy-three, seventy-three-a and seventy-four of the public officers law and enforcement of the filing of financial disclosure forms. Four members shall be members of the legislature and shall be appointed as follows: one by the temporary president of the senate, one by the speak- er of the assembly, one by the minority leader of the senate and one by the minority leader of the assembly. The remaining four members shall not be present or former members of the legislature, candidates for member of the legislature, employees of the legislature, political party chairmen as defined in paragraph (k) of subdivision one of section seventy-three of the public officers law, or lobbyists, as defined in section one-c of this chapter, or persons who have been employees of the legislature, political party chairmen as defined in paragraph (k) of subdivision one of section seventy-three of the public officers law, or lobbyists, as defined in section one-c of this chapter in the previous [two] SEVEN years, and shall be appointed as follows: one by the tempo- rary president of the senate, one by the speaker of the assembly, one by the minority leader of the senate, and one by the minority leader of the assembly. The commission shall serve as described in this section and have and exercise the powers and duties set forth in this section only with respect to members of the legislature, legislative employees as defined in section seventy-three of the public officers law, candidates for member of the legislature and individuals who have formerly held such positions or who have formerly been such candidates. S 7. Subdivision g of section 81 of the legislative law, as added by a chapter of the laws of 2009, amending the executive law and other laws relating to governmental ethics and compliance, as proposed in legisla- tive bills numbers S.6064 and A.9032, is amended by adding a new para- graph 18 to read as follows: 18. PROMULGATE GUIDELINES FOR THE LEGISLATIVE OFFICE OF ETHICS INVES- TIGATIONS TO CONDUCT A PROGRAM OF RANDOM REVIEWS OF ANNUAL FINANCIAL DISCLOSURE STATEMENTS FILED WITH THE COMMISSION, SUBJECT TO THE CONDI- TIONS OF THIS SECTION. SUCH PROGRAM SHALL BE CARRIED OUT IN THE FOLLOW- ING MANNER: (I) THE COMMISSION SHALL RANDOMLY 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 S. 6157 4 OF ANY PARTICULAR PERSON WHOSE STATEMENT IS SELECTED FOR REVIEW IS UNKNOWN TO THE COMMISSION, ITS STAFF AND TO THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS PRIOR TO SELECTION. (II) THE COMMISSION SHALL DEVELOP PROTOCOLS FOR THE CONDUCT OF SUCH RANDOM REVIEWS. SUCH RANDOM REVIEWS MAY REQUIRE THE PRODUCTION OF BOOKS, PAPERS, RECORDS OR MEMORANDA RELEVANT AND MATERIAL TO THE PREPARATION OF THE SELECTED STATEMENTS FOR EXAMINATION BY THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS. ANY SUCH PROTOCOLS SHALL ENSURE THAT SIMILARLY SITUATED STATEMENTS ARE AUDITED IN A UNIFORM MANNER. (III) THE COMMISSION SHALL 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 LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS CARRIES OUT THE PROVISIONS OF SUBPARA- GRAPHS (I) AND (II) OF THIS PARAGRAPH AND CERTIFIES THAT SUCH PROCESS COMPLIES WITH THE PROVISIONS OF SUCH SUBPARAGRAPHS. (IV) UPON COMPLETION OF A RANDOM REVIEW BY THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS CONDUCTED IN ACCORDANCE 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 DETERMI- NATION THAT SUCH REASONABLE CAUSE EXISTS, THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS MAY REQUIRE THE PRODUCTION OF FURTHER BOOKS, RECORDS OR MEMORANDA, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE AND TESTIMONY AND ADMINISTER OATHS OR AFFIRMATIONS, TO THE EXTENT THE COMMISSION DETERMINES SUCH ACTIONS ARE NECESSARY TO OBTAIN INFORMATION RELEVANT AND MATERIAL TO INVESTIGATING SUCH INACCURACIES OR OMISSIONS. S 8. The public officers law is amended by adding a new section 74-b to read as follows: S 74-B. REPORTS OF BUSINESS DEALINGS WITH LOBBYISTS. 1. A PUBLIC OFFI- CER WHO IS SUBJECT TO THE JURISDICTION OF THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION WHO RETAINS, EMPLOYS, DESIGNATES OR OTHERWISE DOES BUSINESS WITH A LOBBYIST OR LOBBYISTS SHALL, WITHIN THIRTY DAYS OF THE DATE UPON WHICH SUCH BUSINESS DEALINGS COMMENCE, FILE WITH THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION A REPORT OF SUCH BUSINESS DEALINGS. SUCH REPORTS SHALL BE FILED ON FORMS SUPPLIED BY SUCH COMMISSION AND SHALL CONTAIN: (A) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE PUBLIC OFFICER; (B) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED, EMPLOYED OR DESIGNATED BY SUCH PUBLIC OFFICER OR WITH WHOM SUCH PUBLIC OFFICER DID BUSINESS; (C) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS- ACTIONS BETWEEN THE PUBLIC OFFICER AND THE LOBBYIST OR LOBBYISTS; AND (D) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF THE BUSINESS DEALINGS. 2. A LEGISLATOR OR LEGISLATIVE EMPLOYEE WHO RETAINS, EMPLOYS, DESIG- NATES OR OTHERWISE DOES BUSINESS WITH A LOBBYIST OR LOBBYISTS SHALL, WITHIN THIRTY DAYS OF THE DATE UPON WHICH SUCH BUSINESS DEALINGS COMMENCE, FILE WITH THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS A REPORT OF SUCH BUSINESS DEALINGS. SUCH REPORTS SHALL BE FILED ON FORMS SUPPLIED BY SUCH COMMISSION AND SHALL CONTAIN: (A) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE PUBLIC OFFICER; (B) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED, EMPLOYED OR DESIGNATED BY SUCH PUBLIC OFFICER OR WITH WHOM SUCH PUBLIC OFFICER DID BUSINESS; (C) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS- ACTIONS BETWEEN THE PUBLIC OFFICER AND THE LOBBYIST OR LOBBYISTS; AND S. 6157 5 (D) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF THE BUSINESS DEALINGS. 3. ALL SUCH REPORTS SHALL BE SUBJECT TO REVIEW BY THE STATE COMMISSION ON LOBBYING AND ETHICS COMPLIANCE. 4. SUCH REPORTS SHALL BE KEPT ON FILE FOR A PERIOD OF THREE YEARS, SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD AND ACCESS TO SUCH INFORMATION SHALL ALSO BE MADE AVAILABLE FOR REMOTE COMPUTER USERS THROUGH THE INTERNET NETWORK. S 9. Subdivision 2 of section 94 of the executive law, as amended by a chapter of the laws of 2009, amending the executive law and other laws relating to governmental ethics and compliance, as proposed in legisla- tive bills numbers S.6064 and A.9032, is amended to read as follows: 2. The six members of the commission shall be appointed as follows: two by the governor, two by the attorney general, and two by the comp- troller. No two appointments by each of the foregoing officers shall be from the same political party as defined in section 1-104 of the election law. No member shall be, OR SHALL HAVE BEEN WITHIN THE PRECED- ING SEVEN YEARS, a member of the legislature, a candidate for member of the legislature, an employee of the legislature, a political party chairman as defined in paragraph (k) of subdivision one of section seventy-three of the public officers law, a state officer as defined by paragraph (i) of subdivision one of section seventy-three of the public officers law or employee or a lobbyist as defined in subdivision (a) of section one-c of the legislative law. S 10. Subdivision 8 of section 94 of the executive law, as amended by a chapter of the laws of 2009, amending the executive law and other laws relating to governmental ethics and compliance, as proposed in legisla- tive bills numbers S.6064 and A.9032, is amended by adding a new para- graph (o) to read as follows: (O) PROMULGATE GUIDELINES FOR RANDOM REVIEWS OF ANNUAL FINANCIAL DISCLOSURE STATEMENTS FILED WITH THE COMMISSION, SUBJECT TO THE CONDI- TIONS OF THIS SECTION. SUCH PROGRAM SHALL BE CARRIED OUT IN THE FOLLOW- ING MANNER: (I) THE COMMISSION SHALL RANDOMLY 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 PRIOR TO SELECTION. (II) THE COMMISSION SHALL DEVELOP PROTOCOLS FOR THE CONDUCT OF SUCH RANDOM REVIEWS. SUCH RANDOM REVIEWS MAY REQUIRE THE PRODUCTION OF BOOKS, PAPERS, RECORDS OR MEMORANDA RELEVANT AND MATERIAL TO THE PREPARATION OF THE SELECTED STATEMENTS FOR EXAMINATION BY THE COMMISSION. ANY SUCH PROTOCOLS SHALL ENSURE THAT SIMILARLY SITUATED STATEMENTS ARE REVIEWED IN A UNIFORM MANNER. (III) THE COMMISSION SHALL 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 SUBPARAGRAPHS (I) AND (II) OF THIS PARA- GRAPH AND CERTIFIES THAT SUCH PROCESS COMPLIES WITH THE PROVISIONS OF SUCH SUBPARAGRAPHS. (IV) UPON COMPLETION OF A RANDOM REVIEW BY THE COMMISSION CONDUCTED IN ACCORDANCE WITH THE PROVISIONS OF SUBPARAGRAPHS (I), (II) AND (III) OF THIS PARAGRAPH, THE COMMISSION SHALL DETERMINE WHETHER THERE IS REASON- ABLE 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- S. 6157 6 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. S 11. Section 22 of a chapter of the laws of 2009, amending the execu- tive law and other laws relating to governmental ethics and compliance, as proposed in legislative bills numbers S.6064 and A.9032, is amended to read as follows: S 22. This act shall take effect January 1, 2010; provided, however, sections five-a, five-b and fifteen of this act shall take effect Janu- ary 1, 2011; and provided further, that sections one through five and six through eleven of this act shall expire and be deemed repealed [6] 3 years after such effective date. S 12. Subdivision 3 of section 3-102 of the election law, as amended by chapter 9 of the laws of 1978, is amended to read as follows: 3. conduct, THROUGH THE ENFORCEMENT UNIT ESTABLISHED PURSUANT TO SECTION 3-104 OF THIS TITLE, any investigation necessary to carry out the provisions of this chapter; S 13. Section 3-104 of the election law is REPEALED and a new section 3-104 is added to read as follows: S 3-104. STATE BOARD OF ELECTIONS ENFORCEMENT UNIT. 1. THERE SHALL BE A UNIT KNOWN AS THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT ESTAB- LISHED WITHIN THE STATE BOARD OF ELECTIONS. 1-A. (A) FOR THE PURPOSE OF THIS ARTICLE, THE FOLLOWING TERMS SHALL HAVE THE FOLLOWING MEANINGS: (I) "DESIGNATING PANEL" MEANS THE DESIGNATING ENTITY FOR THE EXECUTIVE DIRECTOR POSITION AT THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT; (II) "DESIGNATING MEMBERS" MEANS THE MEMBERS OF THE DESIGNATING PANEL; (III) "EXECUTIVE DIRECTOR" MEANS THE EXECUTIVE DIRECTOR OF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT; (IV) "CANDIDATE" MEANS ANY INDIVIDUAL UNDER CONSIDERATION FOR EXECU- TIVE DIRECTOR BY THE DESIGNATING PANEL; (V) "APPOINTING OFFICER" MEANS THE STATE ELECTED OFFICIAL RESPONSIBLE FOR APPOINTING THE MEMBERS OF THE DESIGNATING PANEL. (B) A DESIGNATING PANEL IS HEREBY ESTABLISHED TO APPOINT AN EXECUTIVE DIRECTOR OF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT. (C) THE TERM OF THE EXECUTIVE DIRECTOR, UPON APPOINTMENT BY THE DESIG- NATING PANEL, SHALL BE THREE YEARS. THE EXECUTIVE DIRECTOR OF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT MAY BE DISMISSED ONLY FOR CAUSE BY A VOTE AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW. THE EXECUTIVE DIRECTOR SHALL APPOINT SUCH OTHER STAFF AS NECESSARY TO CARRY OUT THE DUTIES UNDER THIS SECTION. (D) THE DESIGNATING PANEL SHALL CONSIST OF NINE MEMBERS OF WHOM THREE SHALL BE APPOINTED BY THE GOVERNOR, AND ONE EACH BY THE ATTORNEY GENER- AL, THE STATE COMPTROLLER, THE SPEAKER OF THE ASSEMBLY, THE TEMPORARY PRESIDENT OF THE SENATE, THE MINORITY LEADER OF THE SENATE, AND THE MINORITY LEADER OF THE ASSEMBLY. OF THE THREE 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 PANEL. NO MEMBER OF THE DESIGNATING PANEL SHALL, WITHIN THE PRECEDING SEVEN YEARS: (I) HAVE SERVED AS A MEMBER OF THE LEGISLATURE OR AS AN EMPLOYEE OF STATE GOVERN- MENT, (II) SHALL HAVE HELD ANY OFFICE IN ANY POLITICAL PARTY, (III) HAVE BEEN A REGISTERED LOBBYIST IN THIS STATE OR IN ANY OTHER STATE; OR (IV) S. 6157 7 HAVE BEEN A PARTNER, OF COUNSEL OR OTHERWISE EMPLOYED BY A LOBBYING FIRM. (E) THE MEMBERS FIRST APPOINTED BY THE GOVERNOR SHALL HAVE RESPECTIVE- LY ONE, TWO AND THREE-YEAR TERMS AS HE OR SHE 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 THREE-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 TWO-YEAR TERM. EACH SUBSEQUENT APPOINTMENT SHALL BE FOR A TERM OF FOUR YEARS. (F) A VACANCY SHALL BE DEEMED TO OCCUR IMMEDIATELY UPON THE APPOINT- MENT OR ELECTION OF ANY MEMBER TO AN OFFICE THAT WOULD DISQUALIFY HIM OR HER FROM SERVING ON THE DESIGNATING PANEL. A VACANCY OCCURRING FOR ANY REASON OTHER THAN BY EXPIRATION OF TERM SHALL BE FILLED BY THE APPOINT- ING OFFICER FOR THE REMAINDER OF THE UNEXPIRED TERM. NO MEMBER OF THE DESIGNATING PANEL SHALL SERVE ON SUCH PANEL AFTER THE EXPIRATION OF HIS OR HER TERM. IF THE APPOINTING OFFICER FAILS TO APPOINT A PERSON TO A VACANT OFFICE WITHIN NINETY DAYS THE DESIGNATING PANEL SHALL, BY A MAJORITY VOTE WITHOUT VACANCY, SELECT A PERSON TO FILL THE VACANT OFFICE. (G) THE MEMBERS SHALL DESIGNATE ONE MEMBER TO SERVE AS CHAIR FOR A PERIOD OF TWO YEARS OR UNTIL HIS OR HER TERM OF OFFICE EXPIRES, WHICHEV- ER PERIOD IS SHORTER. (H) MEMBERS OF THE DESIGNATING PANEL SHALL NOT RECEIVE COMPENSATION, BUT SHALL BE ENTITLED TO RECEIVE REIMBURSEMENT FOR ACTUAL AND NECESSARY EXPENSES INCURRED IN THE DISCHARGE OF THEIR DUTIES. (I) SIX MEMBERS OF THE DESIGNATING PANEL SHALL CONSTITUTE A QUORUM. (J) THE DESIGNATING PANEL SHALL CONSIDER AND EVALUATE THE QUALIFICA- TIONS OF CANDIDATES FOR APPOINTMENT TO THE POSITION OF EXECUTIVE DIREC- TOR, 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 PANEL SHALL SELECT ONE SUCH PERSON TO SERVE AS EXECUTIVE DIRECTOR. (K) AN APPOINTMENT TO EXECUTIVE DIRECTOR BY THE DESIGNATING PANEL SHALL REQUIRE THE CONCURRENCE OF SIX MEMBERS OF THE DESIGNATING PANEL. THE APPOINTMENT SHALL BE TRANSMITTED 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 WRITTEN REPORT, WHICH SHALL BE RELEASED TO THE PUBLIC BY THE DESIGNATING PANEL AT THE TIME IT IS SUBMITTED. 2. THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT SHALL HAVE SOLE AUTHORITY WITHIN THE STATE BOARD OF ELECTIONS TO INVESTIGATE ON ITS OWN INITIATIVE OR UPON COMPLAINT, ALLEGED VIOLATIONS OF ARTICLE FOURTEEN OF THIS CHAPTER AND ALL COMPLAINTS ALLEGING ARTICLE FOURTEEN VIOLATIONS SHALL BE FORWARDED TO THIS UNIT. NOTHING IN THIS SECTION SHALL BE CONSTRUED TO DIMINISH OR ALTER THE STATE BOARD OF ELECTION'S JURISDIC- TION PURSUANT TO THIS CHAPTER. 3. UPON RECEIPT OF A COMPLAINT AND SUPPORTING INFORMATION ALLEGING A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT SHALL ANALYZE THE COMPLAINT TO DETERMINE IF AN INVESTIGATION SHOULD BE UNDERTAKEN. THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT SHALL, IF NECESSARY, REQUEST ADDITIONAL INFORMATION S. 6157 8 FROM THE COMPLAINANT TO ASSIST IT IN MAKING THIS DETERMINATION. SUCH ANALYSIS SHALL INCLUDE THE FOLLOWING: FIRST, WHETHER THE ALLEGATIONS, IF TRUE, WOULD CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER AND, SECOND, WHETHER THE ALLEGATIONS ARE SUPPORTED BY CREDIBLE EVIDENCE. 4. IF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT THE ALLEGATIONS, IF TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER OR THAT THE ALLEGATIONS ARE NOT SUPPORTED BY CREDIBLE EVIDENCE, IT SHALL ISSUE A LETTER TO THE COMPLAINANT DISMISSING THE COMPLAINT. 5. IF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT THE ALLEGATIONS, IF TRUE, WOULD CONSTITUTE A VIOLATION OF ARTICLE FOUR- TEEN OF THIS CHAPTER AND THAT THE ALLEGATIONS APPEAR TO BE SUPPORTED BY CREDIBLE EVIDENCE, IT SHALL PUBLICLY REPORT ITS INTENT TO COMMENCE AN INVESTIGATION TO THE STATE BOARD OF ELECTIONS NO LATER THAN THE BOARD'S NEXT REGULARLY SCHEDULED MEETING. SUCH REPORT SHALL SUMMARIZE THE RELE- VANT FACTS AND THE APPLICABLE LAW AND SHALL, TO THE EXTENT POSSIBLE, MAINTAIN THE CONFIDENTIALITY OF THE COMPLAINANT AND THE INDIVIDUAL SUBJECT TO THE COMPLAINT. 6. IF, UPON CONSIDERING THE ENFORCEMENT UNIT'S RECOMMENDATION TO COMMENCE AN INVESTIGATION, THE STATE BOARD OF ELECTIONS BELIEVES THAT THE ALLEGATIONS, IF TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, OR THE ALLEGATIONS ARE NOT SUPPORTED BY CREDI- BLE EVIDENCE OR, THAT ON BALANCE, THE EQUITIES FAVOR A DISMISSAL OF THE COMPLAINT, THE BOARD SHALL PUBLICLY DIRECT THAT AN INVESTIGATION NOT BE UNDERTAKEN. IN DETERMINING WHETHER THE EQUITIES FAVOR A DISMISSAL OF THE COMPLAINT, THE STATE BOARD OF ELECTIONS SHALL CONSIDER THE FOLLOWING FACTORS: (A) WHETHER THE COMPLAINT ALLEGES A DE MINIMUS VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER; OR (B) WHETHER THE SUBJECT OF THE COMPLAINT HAS MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION; OR (C) WHETHER THE SUBJECT OF THE COMPLAINT HAS A HISTORY OF SIMILAR VIOLATIONS. DETERMINATIONS OF THE STATE BOARD OF ELECTIONS TO DISMISS A COMPLAINT AND NOT PROCEED WITH A FORMAL INVESTIGATION SHALL BE VOTED UPON AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, AND SHALL BE MADE ON A FAIR AND EQUITABLE BASIS AND WITHOUT REGARD TO THE STATUS OF THE SUBJECT OF THE COMPLAINT. 7. ABSENT A DETERMINATION BY THE STATE BOARD OF ELECTIONS THAT AN INVESTIGATION SHALL NOT BE UNDERTAKEN, THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT SHALL COMMENCE AN INVESTIGATION ON A TIMELY BASIS. IF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT DETERMINES THAT ADDITIONAL INVESTIGATIVE POWERS, AS PROVIDED FOR IN SUBDIVISIONS FOUR, FIVE AND SIX OF SECTION 3-102 OF THIS TITLE, ARE NEEDED TO COMPLETE ITS INVESTI- GATION, IT SHALL REQUEST SUCH ADDITIONAL POWERS FROM THE STATE BOARD OF ELECTIONS. SUCH POWERS SHALL BE GRANTED BY THE BOARD IN PUBLIC, AS PROVIDED IN SUBDIVISION SIX OF THIS SECTION, ONLY WHEN THE BOARD FINDS THAT FURTHER INVESTIGATION IS WARRANTED AND JUSTIFIED. 8. AT THE CONCLUSION OF ITS INVESTIGATION, THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT SHALL PROVIDE THE STATE BOARD OF ELECTIONS WITH A WRITTEN RECOMMENDATION AS TO: (A) WHETHER SUBSTANTIAL REASON EXISTS TO BELIEVE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER HAS OCCURRED AND, IF SO, THE NATURE OF THE VIOLATION, AND THE APPROPRIATE PENALTY, AS DEFINED IN SECTION 14-126 OF THIS CHAPTER, BASED ON THE NATURE OF THE VIOLATION; AND (B) WHETHER A REFERRAL SHOULD BE MADE TO A DISTRICT ATTORNEY OR ATTORNEY GENERAL PURSUANT TO SUBDIVISION TEN OF THIS SECTION BECAUSE SUBSTANTIAL REASON EXISTS TO BELIEVE A VIOLATION WARRANTING CRIMINAL PROSECUTION HAS TAKEN PLACE. S. 6157 9 9. THE STATE BOARD OF ELECTIONS SHALL ACCEPT, MODIFY OR REJECT THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT RECOMMENDATION. IN MAKING ITS DETERMINATION, THE BOARD SHALL AGAIN CONSIDER: (A) WHETHER THE COMPLAINT ALLEGES A DE MINIMUS VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER; OR (B) WHETHER THE SUBJECT OF THE COMPLAINT HAS MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION; OR (C) WHETHER THE SUBJECT OF THE COMPLAINT HAS A HISTORY OF SIMILAR VIOLATIONS. ALL SUCH DETERMINATIONS SHALL BE VOTED UPON AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, AND SHALL BE MADE ON A FAIR AND EQUITABLE BASIS, WITHOUT REGARD TO THE STATUS OF THE SUBJECT OF THE COMPLAINT. 10. (A) IF THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT CONCLUDES THAT SUBSTANTIAL REASON EXISTS TO BELIEVE THAT A VIOLATION OF SUBDIVI- SION ONE OF SECTION 14-126 OF THIS CHAPTER HAS OCCURRED WHICH COULD WARRANT A CIVIL PENALTY, THE STATE BOARD OF ELECTIONS AND ENFORCEMENT UNIT SHALL COMMENCE A SPECIAL PROCEEDING IN THE SUPREME COURT PURSUANT TO SECTION 16-114 OF THIS CHAPTER. (B) IF THE STATE BOARD OF ELECTIONS CONCLUDES, AS PROVIDED IN SUBDIVI- SION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, THAT SUBSTANTIAL REASON EXISTS TO BELIEVE THAT A PERSON, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLI- TICAL COMMITTEE UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW, HAS UNLAWFULLY (I) ACCEPTED A MONETARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION ESTABLISHED IN ARTICLE FOURTEEN OF THIS CHAPTER, (II) EXPENDED CAMPAIGN FUNDS FOR A PERSONAL USE IN VIOLATION OF SECTION 14-130 OF THIS CHAPTER, OR (III) IN THE CASE OF A POLITICAL COMMITTEE, CONDUCTED ACTIVITIES PROHIBITED BY ARTICLE FOURTEEN OF THIS CHAPTER, WHICH COULD WARRANT A CIVIL PENALTY AS PROVIDED FOR IN SUBDIVISIONS TWO, THREE, SEVEN AND EIGHT OF SECTION 14-126 OF THIS CHAPTER, THE BOARD SHALL DIRECT THE COMMENCEMENT OF A SPECIAL PROCEEDING IN THE SUPREME COURT PURSUANT TO SECTION 16-120 OF THIS CHAPTER. (C) IF THE STATE BOARD OF ELECTIONS CONCLUDES, AS PROVIDED IN SUBDIVI- SION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, THAT SUBSTANTIAL REASON EXISTS TO BELIEVE A VIOLATION WARRANTING CRIMINAL PROSECUTION HAS TAKEN PLACE, THE BOARD SHALL REFER THE MATTER TO A DISTRICT ATTORNEY OR ATTORNEY GENERAL AND SHALL MAKE AVAILABLE TO SUCH DISTRICT ATTORNEY ALL PAPERS, DOCUMENTS, TESTIMONY AND FINDINGS RELEVANT TO ITS INVESTIGATION. 11. UPON NOTIFICATION THAT A SPECIAL PROCEEDING HAS BEEN COMMENCED BY A PARTY OTHER THAN THE STATE BOARD OF ELECTIONS, PURSUANT TO SECTION 16-114 OF THIS CHAPTER, THE STATE BOARD OF ELECTIONS SHALL DIRECT THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT TO INVESTIGATE THE ALLEGED VIOLATIONS UNLESS OTHERWISE DIRECTED BY THE COURT. 12. THE STATE BOARD OF ELECTIONS SHALL PROMULGATE RULES AND REGU- LATIONS CONSISTENT WITH LAW TO EFFECTUATE THE PROVISIONS OF THIS SECTION. S 14. 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 S. 6157 10 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, 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 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 15. Section 14-126 of the election law, as amended by chapter 8 of the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of 1994 and subdivisions 2, 3 and 4 as redesignated by chapter 9 of the laws of 1978, is amended to read as follows: S 14-126. Violations; penalties. 1. Any person who fails to file a statement required to be filed by this article shall be subject to a civil penalty, not in excess of [five hundred] ONE THOUSAND dollars, to be recoverable in a special proceeding or civil action to be brought by the state board of elections [or other board of elections] PURSUANT TO SECTION 16-114 OF THIS CHAPTER. 2. ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW, UNLAWFULLY ACCEPTS A MONETARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION ESTABLISHED IN THIS ARTICLE, SHALL BE REQUIRED TO REFUND SUCH EXCESS AMOUNT AND SHALL BE SUBJECT TO A CIVIL PENALTY EQUAL TO TWO TIMES THE EXCESS AMOUNT PLUS A FINE OF UP TO TEN THOUSAND DOLLARS, TO BE RECOVERABLE IN A SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE STATE BOARD OF ELECTIONS. 3. Any person who knowingly and willfully fails to file a statement required to be filed by this article within ten days after the date S. 6157 11 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.] 4. 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.] 5. 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 16. The election law is amended by adding a new section 16-120 to read as follows: S 16-120. ENFORCEMENT PROCEEDINGS. 1. THE SUPREME COURT OR A JUSTICE THEREOF, IN A PROCEEDING INSTITUTED BY THE STATE BOARD OF ELECTIONS, MAY IMPOSE A CIVIL PENALTY, AS PROVIDED FOR IN SUBDIVISION TWO 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. 2. UPON PROOF THAT A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, AS PROVIDED IN SUBDIVISION ONE OF THIS SECTION, HAS OCCURRED, THE COURT MAY IMPOSE A CIVIL PENALTY, PURSUANT TO SUBDIVISION TWO OF SECTION 14-126 OF THIS CHAPTER, AFTER CONSIDERING, AMONG OTHER FACTORS, THE SEVERITY OF THE VIOLATION OR VIOLATIONS, WHETHER THE SUBJECT OF THE VIOLATION MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION AND WHETHER THE SUBJECT OF THE VIOLATION HAS A HISTORY OF SIMILAR VIOLATIONS. ALL SUCH DETERMI- NATIONS SHALL BE MADE ON A FAIR AND EQUITABLE BASIS WITHOUT REGARD TO THE STATUS OF THE CANDIDATE OR POLITICAL COMMITTEE. S 17. This act shall take effect immediately; provided however that: (a) Sections one through ten of this act shall take effect on the same date and in the same manner as a chapter of the laws of 2009, amending the executive law and other laws relating to governmental ethics and compliance, as proposed in legislative bills numbers S.6064 and A.9032, takes effect; and (b) Sections twelve through sixteen of this act shall take effect on the sixtieth day after it shall have become a law; provided, however, that 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; and provided, further, that the state board of elections shall notify all candidates and political committees of the applicable provisions of this act within thirty days after this act shall have become a law.
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