Senate Bill S6157

                            
                    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.