senate Bill S3271

2013-2014 Legislative Session

Requires additional disclosures from lobbyists

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Archive: Last Bill Status - In Committee


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

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Assembly Actions - Lowercase
Senate Actions - UPPERCASE
Jan 08, 2014 referred to finance
Jan 31, 2013 referred to finance

Co-Sponsors

S3271 - Bill Details

See Assembly Version of this Bill:
A2020A
Current Committee:
Senate Finance
Law Section:
Legislative Law
Laws Affected:
Amd §§1-c, 1-h & 1-j, Leg L; add §§14-131 - 14-134, amd §§14-102 & 14-130, El L; amd §74, Pub Off L
Versions Introduced in Previous Legislative Sessions:
2011-2012: S3053A, A5868A
2009-2010: S744B, A8814A

S3271 - Bill Texts

view 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.

view sponsor memo
BILL NUMBER:S3271

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: This act shall shall be known and
cited as the"Lobbyist Disclosure Campaign Fund Act". 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 100 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 100 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.

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

                                  3271

                       2013-2014 Regular Sessions

                            I N  S E N A T E

                            January 31, 2013
                               ___________

Introduced  by  Sen. KRUEGER -- 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.  This act shall be known and may be cited as the "Lobbyist
Disclosure Campaign Fund Act".
  S 2. Section 1-c of the legislative law is amended  by  adding  a  new
subdivision (x) to read as follows:
  (X)  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 3.  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 4. Subdivision (b) of section 1-h of the legislative law is  amended
by adding a new paragraph 6 to read as follows:

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD01048-01-3

S. 3271                             2

  (6) THE NAME, ADDRESS AND TELEPHONE NUMBER OF ANY PUBLIC OFFICIAL WITH
WHOM THE LOBBYIST HAS ANY BUSINESS RELATIONSHIP.
  S  5. 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 6. Subdivision (b) of section 1-j of the legislative law is  amended
by adding a new paragraph 7 to read as follows:
 (7)  THE NAME, ADDRESS AND TELEPHONE NUMBER OF ANY PUBLIC OFFICIAL WITH
WHOM THE LOBBYIST HAS ANY BUSINESS RELATIONSHIP.
  S 7. 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

S. 3271                             3

THREE  OF  THIS  SECTION  WITH THE STATE BOARD OF ELECTIONS WITHIN SEVEN
CALENDAR DAYS AFTER THE DATE OF A CONTRIBUTION:
  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

S. 3271                             4

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.  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

S. 3271                             5

CANDIDATE SHALL ACCEPT  CONTRIBUTIONS  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  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.

S. 3271                             6

  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 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

S. 3271                             7

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:
  (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

S. 3271                             8

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 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

S. 3271                             9

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
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 8. 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;

S. 3271                            10

  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;
  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;

S. 3271                            11

  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.
  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  9.  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 10. 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

S. 3271                            12

and liabilities of the committee,  and  of  its  officers,  members  and
agents in its behalf. Such statements shall include the dollar amount of
any  receipt,  contribution or transfer, or the fair market value of any
receipt,  contribution  or  transfer,  which is other than of money, the
name and address of the transferor,  contributor  or  person  from  whom
received,  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 11. 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 12. 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 seven of this act shall
take effect two years after such effective date;  and  provided  further
that  sections eight, nine, ten and eleven 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 eight, nine, ten and
eleven of this act within thirty days after this act shall have become a
law.

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